openldap/doc/drafts/draft-ietf-ldapbis-protocol-xx.txt

Internet-Draft                                  Editor:  J. Sermersheim 
Intended Category: Standard Track                           Novell, Inc 
Document: draft-ietf-ldapbis-protocol-19.txt                   Dec 2003 
Obsoletes: RFC 2251, 2830                                               
 
 
                            LDAP: The Protocol 
 
 
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."  
    
   The list of current Internet-Drafts can be accessed at 
   http://www.ietf.org/ietf/1id-abstracts.txt  
    
   The list of Internet-Draft Shadow Directories can be accessed at 
   http://www.ietf.org/shadow.html. 
    
   Distribution of this memo is unlimited. Technical discussion of this 
   document will take place on the IETF LDAP Revision Working Group 
   (LDAPbis) mailing list <ietf-ldapbis@openldap.org>. Please send 
   editorial comments directly to the editor <jimse@novell.com>. 
    
    
Abstract 
 
   This document describes the protocol elements, along with their 
   semantics and encodings, of the Lightweight Directory Access Protocol 
   (LDAP). LDAP provides access to distributed directory services that 
   act in accordance with X.500 data and service models. These protocol 
   elements are based on those described in the X.500 Directory Access 
   Protocol (DAP). 
    
    
Table of Contents 
    
   1. Introduction....................................................2 
   1.1. Relationship to Obsolete Specifications.......................3 
   2. Conventions.....................................................3 
   3. Protocol Model..................................................3 
   4. Elements of Protocol............................................4 
   4.1. Common Elements...............................................4 
   4.1.1. Message Envelope............................................4 
   4.1.2. String Types................................................6 
 
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   4.1.3. Distinguished Name and Relative Distinguished Name..........6 
   4.1.4. Attribute Descriptions......................................7 
   4.1.5. Attribute Value.............................................7 
   4.1.6. Attribute Value Assertion...................................7 
   4.1.7. Attribute and PartialAttribute..............................8 
   4.1.8. Matching Rule Identifier....................................8 
   4.1.9. Result Message..............................................8 
   4.1.10. Referral..................................................10 
   4.1.11. Controls..................................................11 
   4.2. Bind Operation...............................................12 
   4.3. Unbind Operation.............................................15 
   4.4. Unsolicited Notification.....................................16 
   4.5. Search Operation.............................................17 
   4.6. Modify Operation.............................................25 
   4.7. Add Operation................................................26 
   4.8. Delete Operation.............................................27 
   4.9. Modify DN Operation..........................................28 
   4.10. Compare Operation...........................................29 
   4.11. Abandon Operation...........................................30 
   4.12. Extended Operation..........................................30 
   4.13. StartTLS Operation..........................................31 
   5. Protocol Element Encodings and Transfer........................33 
   5.1. Protocol Encoding............................................34 
   5.2. Transfer Protocols...........................................34 
   6. Security Considerations........................................34 
   7. Acknowledgements...............................................36 
   8. Normative References...........................................36 
   9. Informative References.........................................37 
   10. IANA Considerations...........................................37 
   11. Editor's Address..............................................38 
   Appendix A - LDAP Result Codes....................................39 
   A.1 Non-Error Result Codes........................................39 
   A.2 Result Codes..................................................39 
   Appendix B - Complete ASN.1 Definition............................43 
   Appendix C - Changes..............................................48 
   C.1 Changes made to made to RFC 2251:.............................48 
   C.2 Changes made to made to RFC 2830:.............................53 
    
 
1. Introduction 
    
   The Directory is "a collection of open systems cooperating to provide 
   directory services" [X.500]. A directory user, which may be a human 
   or other entity, accesses the Directory through a client (or 
   Directory User Agent (DUA)). The client, on behalf of the directory 
   user, interacts with one or more servers (or Directory System Agents 
   (DSA)). Clients interact with servers using a directory access 
   protocol.  
    
   This document details the protocol elements of the Lightweight 
   Directory Access Protocol (LDAP), along with their semantics. 
   Following the description of protocol elements, it describes the way 
   in which the protocol elements are encoded and transferred. 
    
  
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1.1. Relationship to Obsolete Specifications 
    
   This document is an integral part of the LDAP Technical Specification 
   [Roadmap] which obsoletes the previously defined LDAP technical 
   specification, RFC 3377, in its entirety. 
    
   This document obsoletes all of RFC 2251 except the following: 
   Sections 3.2, 3.4, 4.1.3 (last paragraph), 4.1.4, 4.1.5, 4.1.5.1, 
   4.1.9 (last paragraph), 5.1, 6.1, and 6.2 (last paragraph) are 
   obsoleted by [Models]. 
   Section 3.3 is obsoleted by [Roadmap]. 
   Sections 4.2.1 (portions), and 4.2.2 are obsoleted by [AuthMeth]. 
    
   Appendix C.1 summarizes substantive changes to the remaining 
   sections. 
    
   This document also obsoletes RFC 2830, Sections 2 and 4 in entirety. 
   The remainder of RFC 2830 is obsoleted by [AuthMeth]. Appendix C.2 
   summarizes substantive changes to the remaining sections. 
    
    
2. Conventions 
    
   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 [Keyword]. 
    
   The terms "connection" and "LDAP connection" both refer to the 
   underlying transport protocol connection between two protocol peers. 
    
   The term "TLS connection" refers to a TLS-protected LDAP connection. 
    
   The terms "association" and "LDAP association" both refer to the 
   association of the LDAP connection and its current authentication and 
   authorization state. 
 
 
3. Protocol Model 
 
   The general model adopted by this protocol is one of clients 
   performing protocol operations against servers. In this model, a 
   client transmits a protocol request describing the operation to be 
   performed to a server. The server is then responsible for performing 
   the necessary operation(s) in the Directory. Upon completion of the 
   operation(s), the server returns a response containing an appropriate 
   result code to the requesting client. 
    
   Although servers are required to return responses whenever such 
   responses are defined in the protocol, there is no requirement for 
   synchronous behavior on the part of either clients or servers. 
   Requests and responses for multiple operations may be exchanged 
   between a client and server in any order, provided the client 
   eventually receives a response for every request that requires one. 
  
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   The core protocol operations defined in this document can be mapped 
   to a subset of the X.500 (1993) Directory Abstract Service. However 
   there is not a one-to-one mapping between LDAP protocol operations 
   and X.500 Directory Access Protocol (DAP) operations. Server 
   implementations acting as a gateway to X.500 directories may need to 
   make multiple DAP requests to service a single LDAP request. 
 
    
4. Elements of Protocol 
    
   The LDAP protocol is described using Abstract Syntax Notation One 
   ([ASN.1]), and is transferred using a subset of ASN.1 Basic Encoding 
   Rules ([BER]). Section 5.1 specifies how the protocol elements are 
   encoded and transferred. 
 
   In order to support future Standards Track extensions to this 
   protocol, extensibility is implied where it is allowed (per ASN.1). 
   In addition, ellipses (...) have been supplied in ASN.1 types that 
   are explicitly extensible as discussed in [LDAPIANA]. Because of the 
   implied extensibility, clients and servers MUST (unless otherwise 
   specified) ignore trailing SEQUENCE components whose tags they do not 
   recognize.  
    
   Changes to the LDAP protocol other than through the extension 
   mechanisms described here require a different version number. A 
   client indicates the version it is using as part of the bind request, 
   described in Section 4.2. If a client has not sent a bind, the server 
   MUST assume the client is using version 3 or later. 
    
   Clients may determine the protocol versions a server supports by 
   reading the supportedLDAPVersion attribute from the root DSE (DSA-
   Specific Entry) [Models]. 
    
    
4.1. Common Elements 
    
   This section describes the LDAPMessage envelope Protocol Data Unit 
   (PDU) format, as well as data type definitions, which are used in the 
   protocol operations. 
    
    
4.1.1. Message Envelope 
    
   For the purposes of protocol exchanges, all protocol operations are 
   encapsulated in a common envelope, the LDAPMessage, which is defined 
   as follows: 
    
        LDAPMessage ::= SEQUENCE { 
             messageID       MessageID, 
             protocolOp      CHOICE { 
                  bindRequest     BindRequest, 
                  bindResponse    BindResponse, 
                  unbindRequest   UnbindRequest, 
  
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                  searchRequest   SearchRequest, 
                  searchResEntry  SearchResultEntry, 
                  searchResDone   SearchResultDone, 
                  searchResRef    SearchResultReference, 
                  modifyRequest   ModifyRequest, 
                  modifyResponse  ModifyResponse, 
                  addRequest      AddRequest, 
                  addResponse     AddResponse, 
                  delRequest      DelRequest, 
                  delResponse     DelResponse, 
                  modDNRequest    ModifyDNRequest, 
                  modDNResponse   ModifyDNResponse, 
                  compareRequest  CompareRequest, 
                  compareResponse CompareResponse, 
                  abandonRequest  AbandonRequest, 
                  extendedReq     ExtendedRequest, 
                  extendedResp    ExtendedResponse, 
                  ... }, 
             controls       [0] Controls OPTIONAL } 
    
        MessageID ::= INTEGER (0 .. maxInt) 
    
        maxInt INTEGER ::= 2147483647 -- (2^^31 - 1) -- 
    
   The function of the LDAPMessage is to provide an envelope containing 
   common fields required in all protocol exchanges. At this time the 
   only common fields are the message ID and the controls. 
    
   If the server receives a PDU from the client in which the LDAPMessage 
   SEQUENCE tag cannot be recognized, the messageID cannot be parsed, 
   the tag of the protocolOp is not recognized as a request, or the 
   encoding structures or lengths of data fields are found to be 
   incorrect, then the server SHOULD return the Notice of Disconnection 
   described in Section 4.4.1, with the resultCode set to protocolError, 
   and MUST immediately close the connection.  
    
   In other cases where the client or server cannot parse a PDU, it 
   SHOULD abruptly close the connection where further communication 
   (including providing notice) would be pernicious. Otherwise, server 
   implementations MUST return an appropriate response to the request, 
   with the resultCode set to protocolError. 
    
   The ASN.1 type Controls is defined in Section 4.1.11. 
    
    
4.1.1.1. Message ID 
    
   All LDAPMessage envelopes encapsulating responses contain the 
   messageID value of the corresponding request LDAPMessage. 
    
   The message ID of a request MUST have a non-zero value different from 
   the values of any other requests outstanding in the LDAP association 
   of which this message is a part. The zero value is reserved for the 
   unsolicited notification message. 
  
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   Typical clients increment a counter for each request. 
    
   A client MUST NOT send a request with the same message ID as an 
   earlier request on the same LDAP association unless it can be 
   determined that the server is no longer servicing the earlier 
   request. Otherwise the behavior is undefined. For operations that do 
   not return responses (unbind, abandon, and abandoned operations), the 
   client SHOULD assume the operation is in progress until a subsequent 
   bind request completes. 
 
 
4.1.2. String Types 
    
   The LDAPString is a notational convenience to indicate that, although 
   strings of LDAPString type encode as ASN.1 OCTET STRING types, the 
   [ISO10646] character set (a superset of [Unicode]) is used, encoded 
   following the [UTF-8] algorithm. Note that Unicode characters U+0000 
   through U+007F are the same as ASCII 0 through 127, respectively, and 
   have the same single octet UTF-8 encoding.  Other Unicode characters 
   have a multiple octet UTF-8 encoding. 
    
        LDAPString ::= OCTET STRING -- UTF-8 encoded, 
                                    -- [ISO10646] characters 
    
   The LDAPOID is a notational convenience to indicate that the 
   permitted value of this string is a (UTF-8 encoded) dotted-decimal 
   representation of an OBJECT IDENTIFIER. Although an LDAPOID is 
   encoded as an OCTET STRING, values are limited to the definition of 
   <numericoid> given in Section 1.3 of [Models]. 
    
        LDAPOID ::= OCTET STRING -- Constrained to <numericoid> [Models] 
         
   For example, 
    
        1.3.6.1.4.1.1466.1.2.3 
    
    
4.1.3. Distinguished Name and Relative Distinguished Name 
    
   An LDAPDN is defined to be the representation of a Distinguished Name 
   (DN) after encoding according to the specification in [LDAPDN]. 
    
        LDAPDN ::= LDAPString 
                   -- Constrained to <distinguishedName> [LDAPDN] 
    
   A RelativeLDAPDN is defined to be the representation of a Relative 
   Distinguished Name (RDN) after encoding according to the 
   specification in [LDAPDN]. 
    
        RelativeLDAPDN ::= LDAPString 
                           -- Constrained to <name-component> [LDAPDN] 
    
    
  
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4.1.4. Attribute Descriptions 
    
   The definition and encoding rules for attribute descriptions are 
   defined in Section 2.5 of [Models]. Briefly, an attribute description 
   is an attribute type and zero or more options. 
    
        AttributeDescription ::= LDAPString 
                                -- Constrained to <attributedescription> 
                                -- [Models] 
         
 
4.1.5. Attribute Value 
    
   A field of type AttributeValue is an OCTET STRING containing an 
   encoded attribute value. The attribute value is encoded according to 
   the LDAP-specific encoding definition of its corresponding syntax. 
   The LDAP-specific encoding definitions for different syntaxes and 
   attribute types may be found in other documents and in particular 
   [Syntaxes]. 
 
        AttributeValue ::= OCTET STRING 
    
   Note that there is no defined limit on the size of this encoding; 
   thus protocol values may include multi-megabyte attributes (e.g. 
   photographs). 
    
   Attributes may be defined which have arbitrary and non-printable 
   syntax. Implementations MUST NOT display nor attempt to decode a 
   value if its syntax is not known. The implementation may attempt to 
   discover the subschema of the source entry, and retrieve the 
   descriptions of attributeTypes from it [Models]. 
    
   Clients MUST NOT send attribute values in a request that are not 
   valid according to the syntax defined for the attributes. 
    
    
4.1.6. Attribute Value Assertion 
    
   The AttributeValueAssertion type definition is similar to the one in 
   the X.500 Directory standards. It contains an attribute description 
   and a matching rule assertion value suitable for that type. 
    
        AttributeValueAssertion ::= SEQUENCE { 
             attributeDesc   AttributeDescription, 
             assertionValue  AssertionValue } 
    
        AssertionValue ::= OCTET STRING 
    
   The syntax of the AssertionValue depends on the context of the LDAP 
   operation being performed. For example, the syntax of the EQUALITY 
   matching rule for an attribute is used when performing a Compare 
   operation. Often this is the same syntax used for values of the 
   attribute type, but in some cases the assertion syntax differs from 

  
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   the value syntax. See objectIdentiferFirstComponentMatch in 
   [Syntaxes] for an example. 
    
    
4.1.7. Attribute and PartialAttribute 
    
   Attributes and partial attributes consist of an attribute description 
   and values of that attribute description. A PartialAttribute allows 
   zero values, while Attribute requires at least one value. 
    
        PartialAttribute ::= SEQUENCE { 
             type       AttributeDescription, 
             vals       SET OF value AttributeValue } 
    
        Attribute ::= PartialAttribute(WITH COMPONENTS { 
             ...,  
             vals (SIZE(1..MAX))}) 
    
   Each attribute value is distinct in the set (no duplicates). The set 
   of attribute values is unordered. Implementations MUST NOT rely upon 
   the ordering being repeatable. 
    
4.1.8. Matching Rule Identifier 
    
   Matching rules are defined in 4.1.3 of [Models]. A matching rule is 
   identified in the LDAP protocol by the printable representation of 
   either its <numericoid>, or one of its short name descriptors 
   [Models], e.g. "caseIgnoreIA5Match" or "1.3.6.1.4.1.453.33.33". 
    
        MatchingRuleId ::= LDAPString 
         
    
4.1.9. Result Message 
    
   The LDAPResult is the construct used in this protocol to return 
   success or failure indications from servers to clients. To various 
   requests, servers will return responses of LDAPResult or responses 
   containing the components of LDAPResult to indicate the final status 
   of a protocol operation request. 
    
        LDAPResult ::= SEQUENCE { 
             resultCode         ENUMERATED { 
                  success                      (0), 
                  operationsError              (1), 
                  protocolError                (2), 
                  timeLimitExceeded            (3), 
                  sizeLimitExceeded            (4), 
                  compareFalse                 (5), 
                  compareTrue                  (6), 
                  authMethodNotSupported       (7), 
                  strongAuthRequired           (8), 
                       -- 9 reserved -- 
                  referral                     (10), 
                  adminLimitExceeded           (11), 
  
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                  unavailableCriticalExtension (12), 
                  confidentialityRequired      (13), 
                  saslBindInProgress           (14), 
                  noSuchAttribute              (16), 
                  undefinedAttributeType       (17), 
                  inappropriateMatching        (18), 
                  constraintViolation          (19), 
                  attributeOrValueExists       (20), 
                  invalidAttributeSyntax       (21), 
                       -- 22-31 unused -- 
                  noSuchObject                 (32), 
                  aliasProblem                 (33), 
                  invalidDNSyntax              (34), 
                       -- 35 reserved for undefined isLeaf -- 
                  aliasDereferencingProblem    (36), 
                       -- 37-47 unused -- 
                  inappropriateAuthentication  (48), 
                  invalidCredentials           (49), 
                  insufficientAccessRights     (50), 
                  busy                         (51), 
                  unavailable                  (52), 
                  unwillingToPerform           (53), 
                  loopDetect                   (54), 
                       -- 55-63 unused -- 
                  namingViolation              (64), 
                  objectClassViolation         (65), 
                  notAllowedOnNonLeaf          (66), 
                  notAllowedOnRDN              (67), 
                  entryAlreadyExists           (68), 
                  objectClassModsProhibited    (69), 
                       -- 70 reserved for CLDAP -- 
                  affectsMultipleDSAs          (71), 
                       -- 72-79 unused -- 
                  other                        (80), 
                  ... }, 
                       -- 81-90 reserved for APIs -- 
             matchedDN          LDAPDN, 
             diagnosticMessage  LDAPString, 
             referral           [3] Referral OPTIONAL } 
    
   The resultCode enumeration is extensible as defined in Section 3.5 of 
   [LDAPIANA]. The meanings of the result codes are given in Appendix A. 
   If a server detects multiple errors for an operation, only one result 
   code is returned. The server should return the result code that best 
   indicates the nature of the error encountered. 
    
   The diagnosticMessage field of this construct may, at the server's 
   option, be used to return a string containing a textual, human-
   readable (terminal control and page formatting characters should be 
   avoided) diagnostic message. As this diagnostic message is not 
   standardized, implementations MUST NOT rely on the values returned. 
   If the server chooses not to return a textual diagnostic, the 
   diagnosticMessage field MUST be empty. 
    
  
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   For certain result codes (typically, but not restricted to 
   noSuchObject, aliasProblem, invalidDNSyntax and 
   aliasDereferencingProblem), the matchedDN field is set to the name of 
   the lowest entry (object or alias) in the Directory that was matched. 
   If no aliases were dereferenced while attempting to locate the entry, 
   this will be a truncated form of the name provided, or if aliases 
   were dereferenced, of the resulting name, as defined in Section 12.5 
   of [X.511]. Otherwise the matchedDN field is empty. 
    
    
4.1.10. Referral 
    
   The referral result code indicates that the contacted server does not 
   hold the target entry of the request. The referral field is present 
   in an LDAPResult if the resultCode field value is referral, and 
   absent with all other result codes. It contains one or more 
   references to one or more servers or services that may be accessed 
   via LDAP or other protocols. Referrals can be returned in response to 
   any operation request (except unbind and abandon which do not have 
   responses). At least one URI MUST be present in the Referral. 
    
   During a search operation, after the baseObject is located, and 
   entries are being evaluated, the referral is not returned. Instead, 
   continuation references, described in Section 4.5.3, are returned 
   when the search scope spans multiple naming contexts, and several 
   different servers would need to be contacted to complete the 
   operation. 
    
        Referral ::= SEQUENCE SIZE (1..MAX) OF uri URI 
    
        URI ::= LDAPString     -- limited to characters permitted in 
                               -- URIs 
    
   If the client wishes to progress the operation, it MUST follow the 
   referral by contacting one of the services. If multiple URIs are 
   present, the client assumes that any URI may be used to progress the 
   operation. 
    
   Clients that follow referrals MUST ensure that they do not loop 
   between servers. They MUST NOT repeatedly contact the same server for 
   the same request with the same target entry name, scope and filter. 
   Some clients use a counter that is incremented each time referral 
   handling occurs for an operation, and these kinds of clients MUST be 
   able to handle at least ten nested referrals between the root and a 
   leaf entry. 
    
   A URI for a server implementing LDAP and accessible via [TCP]/[IP] 
   (v4 or v6) is written as an LDAP URL according to [LDAPURL].  
    
   When an LDAP URL is used, the following instructions are followed: 
   -    If an alias was dereferenced, the <dn> part of the URL MUST be 
        present, with the new target object name. Note that UTF-8 
        characters appearing in a DN or search filter may not be legal 

  
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        for URLs (e.g. spaces) and MUST be escaped using the % method in 
        [URI].  
   -    It is RECOMMENDED that the <dn> part be present to avoid 
        ambiguity. 
   -    If the <dn> part is present, the client MUST use this name in 
        its next request to progress the operation, and if it is not 
        present the client will use the same name as in the original 
        request.  
   -    Some servers (e.g. participating in distributed indexing) may 
        provide a different filter in a URL of a referral for a search 
        operation. 
   -    If the <filter> part of the LDAP URL is present, the client MUST 
        use this filter in its next request to progress this search, and 
        if it is not present the client MUST use the same filter as it 
        used for that search. 
   -    For search, it is RECOMMENDED that the <scope> part be present 
        to avoid ambiguity. 
   -    If the <scope> part is missing, the scope of the original search 
        is used by the client to progress the operation. 
   -    Other aspects of the new request may be the same as or different 
        from the request which generated the referral. 
    
   Other kinds of URIs may be returned. The syntax and semantics of such 
   URIs is left to future specifications. Clients ignore URIs that they 
   do not support. 
    
    
4.1.11. Controls 
    
   A control is a way to specify extension information for an LDAP 
   message. A control only alters the semantics of the message it is 
   attached to. 
    
        Controls ::= SEQUENCE OF control Control 
    
        Control ::= SEQUENCE { 
             controlType             LDAPOID, 
             criticality             BOOLEAN DEFAULT FALSE, 
             controlValue            OCTET STRING OPTIONAL } 
    
   The controlType field is the UTF-8 encoded dotted-decimal 
   representation of an OBJECT IDENTIFIER which uniquely identifies the 
   control, or the request control and its paired response control. This 
   prevents conflicts between control names. 
    
   The criticality field is either TRUE or FALSE and only applies to 
   request messages that have a corresponding response message. For all 
   other messages (such as abandonRequest, unbindRequest and all 
   response messages), the criticality field SHOULD be FALSE. 
    
   If the server recognizes the control type and it is appropriate for 
   the operation, the server will make use of the control when 
   performing the operation. 
    
  
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   If the server does not recognize the control type or it is not 
   appropriate for the operation, and the criticality field is TRUE, the 
   server MUST NOT perform the operation, and for operations that have a 
   response, MUST set the resultCode to unavailableCriticalExtension. 
    
   If the control is unrecognized or inappropriate but the criticality 
   field is FALSE, the server MUST ignore the control. 
    
   The controlValue contains any information associated with the 
   control. Its format is defined by the specification of the control. 
   Implementations MUST be prepared to handle arbitrary contents of the 
   controlValue octet string, including zero bytes. It is absent only if 
   there is no value information which is associated with a control of 
   its type. controlValues that are defined in terms of ASN.1 and BER 
   encoded according to Section 5.1, also follow the extensibility rules 
   in Section 4. 
 
   Servers list the controlType of all request controls they recognize 
   in the supportedControl attribute [Models] in the root DSE. 
 
   Controls SHOULD NOT be combined unless the semantics of the 
   combination has been specified. The semantics of control 
   combinations, if specified, are generally found in the control 
   specification most recently published. In the absence of combination 
   semantics, the behavior of the operation is undefined.  
   Additionally, unless order-dependent semantics are given in a 
   specification, the order of a combination of controls in the SEQUENCE 
   is ignored. 
    
   This document does not specify any controls. Controls may be 
   specified in other documents. The specification of a control consists 
   of: 
    
   - the OBJECT IDENTIFIER assigned to the control, 
    
   - whether the control is always non critical, always critical, or 
     optionally critical, 
    
   - whether there is information associated with the control, and if 
     so, the format of the controlValue contents, 
    
   - the semantics of the control, and 
    
   - optionally, semantics regarding the combination of the control 
     with other controls. 
    
    
4.2. Bind Operation 
    
   The function of the Bind Operation is to allow authentication 
   information to be exchanged between the client and server. The Bind 
   operation should be thought of as the "authenticate" operation. 
   Authentication and security-related semantics of this operation are 
   given in [AuthMeth].  
  
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   The Bind Request is defined as follows: 
    
        BindRequest ::= [APPLICATION 0] SEQUENCE { 
             version                 INTEGER (1 .. 127), 
             name                    LDAPDN, 
             authentication          AuthenticationChoice } 
    
        AuthenticationChoice ::= CHOICE { 
             simple                  [0] OCTET STRING, 
                                     -- 1 and 2 reserved 
             sasl                    [3] SaslCredentials, 
             ... } 
    
        SaslCredentials ::= SEQUENCE { 
             mechanism               LDAPString, 
             credentials             OCTET STRING OPTIONAL } 
    
   Parameters of the Bind Request are: 
    
   - version: A version number indicating the version of the protocol 
     to be used in this protocol association. This document describes 
     version 3 of the LDAP protocol. Note that there is no version 
     negotiation. The client sets this parameter to the version it 
     desires. If the server does not support the specified version, it 
     MUST respond with protocolError in the resultCode field of the 
     BindResponse. 
    
   - name: The name of the Directory object that the client wishes to 
     bind as. This field may take on a null value (a zero length 
     string) for the purposes of anonymous binds ([AuthMeth] Section 7) 
     or when using Simple Authentication and Security Layer [SASL] 
     authentication ([AuthMeth] Section 4.3). Server behavior is 
     undefined when the name is a null value, simple authentication is 
     used, and a password is specified. The server SHALL NOT perform 
     alias dereferencing in determining the object to bind as. 
    
   - authentication: information used to authenticate the name, if any, 
     provided in the Bind Request. This type is extensible as defined 
     in Section 3.6 of [LDAPIANA]. Servers that do not support a choice 
     supplied by a client will return authMethodNotSupported in the 
     resultCode field of the BindResponse. 
     The simple form of an AuthenticationChoice specifies a simple 
     password to be used for authentication.  
     Textual passwords (consisting of a character sequence with a known 
     character set and encoding) SHALL be transferred as [UTF-8] 
     encoded [Unicode]. The determination of whether a password is 
     textual is a local client matter. 
     Prior to transfer, clients SHOULD prepare text passwords by 
     applying the [SASLprep] profile of the [Stringprep] algorithm. 
     Passwords consisting of other data (such as random octets) MUST 
     NOT be altered. 
    

  
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   Authorization is the use of this authentication information when 
   performing operations. Authorization MAY be affected by factors 
   outside of the LDAP Bind Request, such as those provided by lower 
   layer security services. 
    
    
4.2.1. Processing of the Bind Request 
    
   Before processing a BindResponse, all outstanding operations MUST 
   either complete or be abandoned. The server may either wait for the 
   outstanding operations to complete, or abandon them. The server then 
   proceeds to authenticate the client in either a single-step, or 
   multi-step bind process. Each step requires the server to return a 
   BindResponse to indicate the status of authentication.  
    
   If the client did not bind before sending a request and receives an 
   operationsError to that request, it may then send a Bind Request. If 
   this also fails or the client chooses not to bind on the existing 
   connection, it may close the connection, reopen it and begin again by 
   first sending a PDU with a Bind Request. This will aid in 
   interoperating with servers implementing other versions of LDAP. 
    
   Clients may send multiple Bind Requests on a connection to change the 
   authentication and/or security associations or to complete a multi-
   stage bind process. Authentication from earlier binds is subsequently 
   ignored. 
 
   For some SASL authentication mechanisms, it may be necessary for the 
   client to invoke the BindRequest multiple times. This is indicated by 
   the server sending a BindResponse with the resultCode set to 
   saslBindInProgress. This indicates that the server requires the 
   client to send a new bind request, with the same sasl mechanism, to 
   continue the authentication process. If at any stage the client 
   wishes to abort the bind process it MAY unbind and then drop the 
   underlying connection. Clients MUST NOT invoke operations between two 
   Bind Requests made as part of a multi-stage bind. 
    
   A client may abort a SASL bind negotiation by sending a BindRequest 
   with a different value in the mechanism field of SaslCredentials, or 
   an AuthenticationChoice other than sasl. 
    
   If the client sends a BindRequest with the sasl mechanism field as an 
   empty string, the server MUST return a BindResponse with 
   authMethodNotSupported as the resultCode. This will allow clients to 
   abort a negotiation if it wishes to try again with the same SASL 
   mechanism. 
    
   A failed Bind Operation has the effect of leaving the connection in 
   an anonymous state. An abandoned Bind operation also has the effect 
   of leaving the connection in an anonymous state when (and if) the 
   server processes the abandonment of the bind. Client implementers 
   should note that the client has no way of being sure when (or if) an 
   abandon request succeeds, therefore, to arrive at a known 
   authentication state after abandoning a bind operation, clients may 
  
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   either unbind (which results in the underlying connection being 
   closed) or by issuing a bind request and then examining the 
   BindResponse returned by the server. 
    
4.2.2. Bind Response 
    
   The Bind Response is defined as follows. 
    
        BindResponse ::= [APPLICATION 1] SEQUENCE { 
             COMPONENTS OF LDAPResult, 
             serverSaslCreds    [7] OCTET STRING OPTIONAL } 
    
   BindResponse consists simply of an indication from the server of the 
   status of the client's request for authentication. 
    
   A successful bind operation is indicated by a BindResponse with a 
   resultCode set to success. Otherwise, an appropriate result code is 
   set in the BindResponse. For bind, the protocolError result code may 
   be used to indicate that the version number supplied by the client is 
   unsupported. 
 
   If the client receives a BindResponse response where the resultCode 
   field is protocolError, it MUST close the connection as the server 
   will be unwilling to accept further operations. (This is for 
   compatibility with earlier versions of LDAP, in which the bind was 
   always the first operation, and there was no negotiation.) 
    
   The serverSaslCreds are used as part of a SASL-defined bind mechanism 
   to allow the client to authenticate the server to which it is 
   communicating, or to perform "challenge-response" authentication. If 
   the client bound with the simple choice, or the SASL mechanism does 
   not require the server to return information to the client, then this 
   field SHALL NOT be included in the BindResponse. 
    
    
4.3. Unbind Operation 
    
   The function of the Unbind Operation is to terminate an LDAP 
   association and connection. The Unbind operation is not the 
   antithesis of the Bind operation as the name implies. The naming of 
   these operations is historical. The Unbind operation should be 
   thought of as the "quit" operation. 
    
   The Unbind Operation is defined as follows: 
    
        UnbindRequest ::= [APPLICATION 2] NULL 
    
   The Unbind Operation has no response defined. Upon transmission of 
   the UnbindRequest, each protocol peer is to consider the LDAP 
   association terminated, MUST cease transmission of messages to the 
   other peer, and MUST close the connection. Any outstanding operations 
   on the server are, when possible, abandoned, and when not possible, 
   completed without transmission of the response. 
    
  
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4.4. Unsolicited Notification 
    
   An unsolicited notification is an LDAPMessage sent from the server to 
   the client which is not in response to any LDAPMessage received by 
   the server. It is used to signal an extraordinary condition in the 
   server or in the connection between the client and the server. The 
   notification is of an advisory nature, and the server will not expect 
   any response to be returned from the client. 
    
   The unsolicited notification is structured as an LDAPMessage in which 
   the messageID is zero and protocolOp is of the extendedResp form. The 
   responseName field of the ExtendedResponse always contains an LDAPOID 
   which is unique for this notification. 
    
   One unsolicited notification (Notice of Disconnection) is defined in 
   this document. The specification of an unsolicited notification 
   consists of: 
    
   - the OBJECT IDENTIFIER assigned to the notification (to be 
     specified in the responseName, 
    
   - the format of the contents (if any) of the responseValue, 
    
   - the circumstances which will cause the notification to be 
     returned, and 
    
   - the semantics of the operation. 
    
    
4.4.1. Notice of Disconnection 
    
   This notification may be used by the server to advise the client that 
   the server is about to close the connection due to an error 
   condition. Note that this notification is NOT a response to an unbind 
   requested by the client: the server MUST follow the procedures of 
   Section 4.3. This notification is intended to assist clients in 
   distinguishing between an error condition and a transient network 
   failure. As with a connection close due to network failure, the 
   client MUST NOT assume that any outstanding requests which modified 
   the Directory have succeeded or failed. 
    
   The responseName is 1.3.6.1.4.1.1466.20036, the response field is 
   absent, and the resultCode is used to indicate the reason for the 
   disconnection. 
    
   The following result codes have these meanings when used in this 
   notification: 
    
   - protocolError: The server has received data from the client in 
     which the LDAPMessage structure could not be parsed. 
    
   - strongAuthRequired: The server has detected that an established 
     security association between the client and server has 
  
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     unexpectedly failed or been compromised, or that the server now 
     requires the client to authenticate using a strong(er) mechanism. 
    
   - unavailable: This server will stop accepting new connections and 
     operations on all existing connections, and be unavailable for an 
     extended period of time. The client may make use of an alternative 
     server. 
    
   Upon transmission of the UnbindRequest, each protocol peer is to 
   consider the LDAP association terminated, MUST cease transmission of 
   messages to the other peer, and MUST close the connection. 
    
    
4.5. Search Operation 
    
   The Search Operation is used to request a server to return, subject 
   to access controls and other restrictions, a set of entries matching 
   a complex search criterion. This can be used to read attributes from 
   a single entry, from entries immediately subordinate to a particular 
   entry, or a whole subtree of entries. 
    
    
4.5.1. Search Request 
    
   The Search Request is defined as follows: 
    
        SearchRequest ::= [APPLICATION 3] SEQUENCE { 
             baseObject      LDAPDN, 
             scope           ENUMERATED { 
                  baseObject              (0), 
                  singleLevel             (1), 
                  wholeSubtree            (2) }, 
             derefAliases    ENUMERATED { 
                  neverDerefAliases       (0), 
                  derefInSearching        (1), 
                  derefFindingBaseObj     (2), 
                  derefAlways             (3) }, 
             sizeLimit       INTEGER (0 .. maxInt), 
             timeLimit       INTEGER (0 .. maxInt), 
             typesOnly       BOOLEAN, 
             filter          Filter, 
             attributes      AttributeSelection } 
    
        AttributeSelection ::= SEQUENCE OF selection LDAPString 
                -- constrained to <attributeSelection> below 
    
        Filter ::= CHOICE { 
             and             [0] SET SIZE (1..MAX) OF filter Filter, 
             or              [1] SET SIZE (1..MAX) OF filter Filter, 
             not             [2] Filter, 
             equalityMatch   [3] AttributeValueAssertion, 
             substrings      [4] SubstringFilter, 
             greaterOrEqual  [5] AttributeValueAssertion, 
             lessOrEqual     [6] AttributeValueAssertion, 
  
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             present         [7] AttributeDescription, 
             approxMatch     [8] AttributeValueAssertion, 
             extensibleMatch [9] MatchingRuleAssertion } 
    
        SubstringFilter ::= SEQUENCE { 
             type           AttributeDescription, 
             -- at least one must be present, 
             -- initial and final can occur at most once 
             substrings     SEQUENCE SIZE (1..MAX) OF substring CHOICE { 
                  initial [0] AssertionValue, 
                  any     [1] AssertionValue, 
                  final   [2] AssertionValue } } 
    
        MatchingRuleAssertion ::= SEQUENCE { 
             matchingRule    [1] MatchingRuleId OPTIONAL, 
             type            [2] AttributeDescription OPTIONAL, 
             matchValue      [3] AssertionValue, 
             dnAttributes    [4] BOOLEAN DEFAULT FALSE } 
    
   Parameters of the Search Request are: 
    
   - baseObject: The name of the base object entry relative to which 
     the search is to be performed. 
    
   - scope: Specifies the scope of the search to be performed. The 
     semantics (as described in [X.511]) of the possible values of this 
     field are: 
        
             baseObject:  The scope is constrained to the entry named by 
             baseObject. 
              
             oneLevel: The scope is constrained to the immediate 
             subordinates of the entry named by baseObject. 
              
             wholeSubtree: the scope is constrained to the entry named 
             by the baseObject, and all its subordinates. 
    
    
   - derefAliases: An indicator as to how alias objects (as defined in 
     [X.501]) are to be handled in searching. The semantics of the 
     possible values of this field are: 
    
             neverDerefAliases: Do not dereference aliases in searching 
             or in locating the base object of the search. 
    
             derefInSearching: While searching, dereference any alias 
             object subordinate to the base object which is also in the 
             search scope. The filter is applied to the dereferenced 
             object(s). If the search scope is wholeSubtree, the search 
             continues in the subtree of any dereferenced object. 
             Aliases in that subtree are also dereferenced. Servers 
             SHOULD detect looping in this process to prevent denial of 
             service attacks and duplicate entries. 
              
  
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             derefFindingBaseObj: Dereference aliases in locating the 
             base object of the search, but not when searching 
             subordinates of the base object. 
    
             derefAlways: Dereference aliases both in searching and in 
             locating the base object of the search. 
    
   - sizeLimit: A size limit that restricts the maximum number of 
     entries to be returned as a result of the search. A value of zero 
     in this field indicates that no client-requested size limit 
     restrictions are in effect for the search. Servers may enforce a 
     maximum number of entries to return. 
    
   - timeLimit: A time limit that restricts the maximum time (in 
     seconds) allowed for a search. A value of zero in this field 
     indicates that no client-requested time limit restrictions are in 
     effect for the search. Servers may enforce a maximum time limit 
     for the search. 
    
   - typesOnly: An indicator as to whether search results are to 
     contain both attribute descriptions and values, or just attribute 
     descriptions. Setting this field to TRUE causes only attribute 
     descriptions (no values) to be returned. Setting this field to 
     FALSE causes both attribute descriptions and values to be 
     returned. 
    
   - filter: A filter that defines the conditions that must be 
     fulfilled in order for the search to match a given entry. 
      
     The 'and', 'or' and 'not' choices can be used to form combinations 
     of filters. At least one filter element MUST be present in an 
     'and' or 'or' choice. The others match against individual 
     attribute values of entries in the scope of the search. 
     (Implementor's note: the 'not' filter is an example of a tagged 
     choice in an implicitly-tagged module. In BER this is treated as 
     if the tag was explicit.) 
    
     A server MUST evaluate filters according to the three-valued logic 
     of X.511 (1993) Section 7.8.1. In summary, a filter is evaluated 
     to either "TRUE", "FALSE" or "Undefined". If the filter evaluates 
     to TRUE for a particular entry, then the attributes of that entry 
     are returned as part of the search result (subject to any 
     applicable access control restrictions). If the filter evaluates 
     to FALSE or Undefined, then the entry is ignored for the search. 
      
     A filter of the "and" choice is TRUE if all the filters in the SET 
     OF evaluate to TRUE, FALSE if at least one filter is FALSE, and 
     otherwise Undefined. A filter of the "or" choice is FALSE if all 
     of the filters in the SET OF evaluate to FALSE, TRUE if at least 
     one filter is TRUE, and Undefined otherwise. A filter of the "not" 
     choice is TRUE if the filter being negated is FALSE, FALSE if it 
     is TRUE, and Undefined if it is Undefined. 
      
     The present match evaluates to TRUE where there is an attribute or 
  
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     subtype of the specified attribute description present in an 
     entry, and FALSE otherwise (including a presence test with an 
     unrecognized attribute description.) 
      
     The matching rule for equalityMatch filter items is defined by the 
     EQUALITY matching rule for the attribute type. 
    
     The matching rule for AssertionValues in a substrings filter item 
     is defined by the SUBSTR matching rule for the attribute type. 
     Note that the AssertionValue in a substrings filter item MUST 
     conform to the assertion syntax of the EQUALITY matching rule for 
     the attribute type rather than the assertion syntax of the SUBSTR 
     matching rule for the attribute type. The entire SubstringFilter 
     is converted into an assertion value of the substrings matching 
     rule prior to applying the rule. 
    
     The matching rule for greaterOrEqual and lessOrEqual filter items 
     is defined by the ORDERING matching rule for the attribute type. 
    
     The approxMatch evaluates to TRUE when there is a value of the 
     attribute or subtype for which some locally-defined approximate 
     matching algorithm (e.g. spelling variations, phonetic match, 
     etc.) returns TRUE. If an item matches for equality, it also 
     satisfies an approximate match. If approximate matching is not 
     supported, this filter item should be treated as an equalityMatch. 
      
     An extensibleMatch is evaluated as follows: 
    
      
       If the matchingRule field is absent, the type field MUST be 
        present, and an equality match is performed for that type. 
      
      
       If the type field is absent and the matchingRule is present, the 
        matchValue is compared against all attributes in an entry which 
        support that matchingRule. The matchingRule determines the 
        syntax for the assertion value. The filter item evaluates to 
        TRUE if it matches with at least one attribute in the entry, 
        FALSE if it does not match any attribute in the entry, and 
        Undefined if the matchingRule is not recognized or the 
        assertionValue is invalid.  
      
      
       If the type field is present and the matchingRule is present, 
        the matchValue is compared against entry attributes of the 
        specified type. In this case, the matchingRule MUST be one 
        suitable for use with the specified type (see [Syntaxes]), 
        otherwise the filter item is undefined.  
      
      
       If the dnAttributes field is set to TRUE, the match is 
        additionally applied against all the AttributeValueAssertions in 
        an entry's distinguished name, and evaluates to TRUE if there is 
        at least one attribute in the distinguished name for which the 
        filter item evaluates to TRUE. The dnAttributes field is present 
        to alleviate the need for multiple versions of generic matching 
        rules (such as word matching), where one applies to entries and 

  
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        another applies to entries and dn attributes as well. 
         
     A filter item evaluates to Undefined when the server would not be 
     able to determine whether the assertion value matches an entry. If 
     an attribute description in an equalityMatch, substrings, 
     greaterOrEqual, lessOrEqual, approxMatch or extensibleMatch filter 
     is not recognized by the server, a matching rule id in the 
     extensibleMatch is not recognized by the server, the assertion 
     value is invalid, or the type of filtering requested is not 
     implemented, then the filter is Undefined. Thus for example if a 
     server did not recognize the attribute type shoeSize, a filter of 
     (shoeSize=*) would evaluate to FALSE, and the filters 
     (shoeSize=12), (shoeSize>=12) and (shoeSize<=12) would evaluate to 
     Undefined. 
      
     Servers MUST NOT return errors if attribute descriptions or 
     matching rule ids are not recognized, assertion values are 
     invalid, or the assertion syntax is not supported. More details of 
     filter processing are given in Section 7.8 of [X.511]. 
    
   - attributes: A list of the attributes to be returned from each 
     entry which matches the search filter. LDAPString values of this 
     field are constrained to the following Augmented Backus-Naur Form 
     [(ABNF)]: 
    
     attributeSelection = noattrs /  
                         *( attributedescription / specialattr ) 
    
     noattrs = %x31 %x2E %x31 ; "1.1" 
    
     specialattr = ASTERISK 
    
     ASTERISK = %x2A ; asterisk ("*") 
    
     <attributedescription> is defined in Section 2.5 of [Models]. 
    
     There are two special values which may be used: an empty list with 
     no attributes, and the attribute description string "*". Both of 
     these signify that all user attributes are to be returned. (The 
     "*" allows the client to request all user attributes in addition 
     to any specified operational attributes). Client implementors 
     should note that even if all user attributes are requested, some 
     attributes and or attribute values of the entry may not be 
     included in search results due to access controls or other 
     restrictions. Furthermore, servers will not return operational 
     attributes, such as objectClasses or attributeTypes, unless they 
     are listed by name. Operational attributes are described in 
     [Models]. 
    
     Attributes MUST NOT be named more than once in the list, and are 
     returned at most once in an entry. If there are attribute 
     descriptions in the list which are not recognized, they are 
     ignored by the server. 
      
  
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     If the client does not want any attributes returned, it can 
     specify a list containing only the attribute with OID "1.1". This 
     OID was chosen because it does not (and can not) correspond to any 
     attribute in use. 
    
   Note that an X.500 "list"-like operation can be emulated by the 
   client requesting a one-level LDAP search operation with a filter 
   checking for the presence of the objectClass attribute, and that an 
   X.500 "read"-like operation can be emulated by a base object LDAP 
   search operation with the same filter. A server which provides a 
   gateway to X.500 is not required to use the Read or List operations, 
   although it may choose to do so, and if it does, it must provide the 
   same semantics as the X.500 search operation. 
    
    
4.5.2. Search Result 
    
   The results of the search operation are returned as zero or more 
   searchResultEntry messages, zero or more SearchResultReference 
   messages, followed by a single searchResultDone message. 
    
        SearchResultEntry ::= [APPLICATION 4] SEQUENCE { 
             objectName      LDAPDN, 
             attributes      PartialAttributeList } 
    
        PartialAttributeList ::= SEQUENCE OF  
                             partialAttribute PartialAttribute   
        -- Note that the PartialAttributeList may hold zero elements. 
        -- This may happen when none of the attributes of an entry 
        -- were requested, or could be returned. 
        -- Note also that the partialAttribute vals set may hold zero 
        -- elements. This may happen when typesOnly is requested, access 
        -- controls prevent the return of values, or other reasons. 
    
        SearchResultReference ::= [APPLICATION 19] SEQUENCE  
                                  SIZE (1..MAX) OF uri URI 
    
        SearchResultDone ::= [APPLICATION 5] LDAPResult 
    
   Each SearchResultEntry represents an entry found during the search. 
   Each SearchResultReference represents an area not yet explored during 
   the search. The SearchResultEntry and SearchResultReference PDUs may 
   come in any order. Following all the SearchResultReference and 
   SearchResultEntry responses, the server returns a SearchResultDone 
   response, which contains an indication of success, or detailing any 
   errors that have occurred. 
    
   Each entry returned in a SearchResultEntry will contain all 
   appropriate attributes as specified in the attributes field of the 
   Search Request. Return of attributes is subject to access control and 
   other administrative policy. 
    
   Some attributes may be constructed by the server and appear in a 
   SearchResultEntry attribute list, although they are not stored 
  
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   attributes of an entry. Clients SHOULD NOT assume that all attributes 
   can be modified, even if permitted by access control. 
    
   If the server's schema defines short names [Models] for an attribute 
   type then the server SHOULD use one of those names in attribute 
   descriptions for that attribute type (in preference to using the 
   <numericoid> [Models] format of the attribute type's object 
   identifier). The server SHOULD NOT use the short name if that name is 
   known by the server to be ambiguous, or otherwise likely to cause 
   interoperability problems. 
    
    
4.5.3. Continuation References in the Search Result 
    
   If the server was able to locate the entry referred to by the 
   baseObject but was unable to search all the entries in the scope at 
   and subordinate to the baseObject, the server may return one or more 
   SearchResultReference entries, each containing a reference to another 
   set of servers for continuing the operation. A server MUST NOT return 
   any SearchResultReference if it has not located the baseObject and 
   thus has not searched any entries; in this case it would return a 
   SearchResultDone containing a referral result code. 
    
   If a server holds a copy or partial copy of the subordinate naming 
   context, it may use the search filter to determine whether or not to 
   return a SearchResultReference response. Otherwise 
   SearchResultReference responses are always returned when in scope. 
    
   The SearchResultReference is of the same data type as the Referral.  
    
   A URI for a server implementing LDAP and accessible via [TCP]/[IP] 
   (v4 or v6) is written as an LDAP URL according to [LDAPURL].  
    
   In order to complete the search, the client issues a new search 
   operation for each SearchResultReference that is returned. Note that 
   the abandon operation described in Section 4.11 applies only to a 
   particular operation sent on an association between a client and 
   server. The client must abandon subsequent search operations it 
   wishes to individually.  
    
   Clients that follow search continuation references MUST ensure that 
   they do not loop between servers. They MUST NOT repeatedly contact 
   the same server for the same request with the same target entry name, 
   scope and filter. Some clients use a counter that is incremented each 
   time search result reference handling occurs for an operation, and 
   these kinds of clients MUST be able to handle at least ten nested 
   search result references between the root and a leaf entry. 
    
   When an LDAP URL is used, the following instructions are followed: 
   -    The <dn> part of the URL MUST be present, with the new target 
        object name. The client MUST use this name when following the 
        referral. Note that UTF-8 characters appearing in a DN or search 
        filter may not be legal for URLs (e.g. spaces) and MUST be 
        escaped using the % method in [URI].  
  
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   -    It is RECOMMENDED that the <dn> part be present to avoid 
        ambiguity. 
   -    Some servers (e.g. participating in distributed indexing) may 
        provide a different filter in a URL of a SearchResultReference. 
   -    If the <filter> part of the URL is present, the client MUST use 
        this filter in its next request to progress this search, and if 
        it is not present the client MUST use the same filter as it used 
        for that search.  
   -    If the originating search scope was singleLevel, the <scope> 
        part of the URL will be "base". 
   -    it is RECOMMENDED that the <scope> part be present to avoid 
        ambiguity. 
   -    If the <scope> part is missing, the scope of the original search 
        is used by the client to progress the operation. 
   -    Other aspects of the new search request may be the same as or 
        different from the search request which generated the 
        SearchResultReference. 
   -    The name of an unexplored subtree in a SearchResultReference 
        need not be subordinate to the base object. 
 
   Other kinds of URIs may be returned. The syntax and semantics of such 
   URIs is left to future specifications. Clients ignore URIs that they 
   do not support. 
 
    
4.5.3.1. Example 
    
   For example, suppose the contacted server (hosta) holds the entry 
   "DC=Example,DC=NET" and the entry "CN=Manager,DC=Example,DC=NET". It 
   knows that either LDAP-capable servers (hostb) or (hostc) hold 
   "OU=People,DC=Example,DC=NET" (one is the master and the other server 
   a shadow), and that LDAP-capable server (hostd) holds the subtree 
   "OU=Roles,DC=Example,DC=NET". If a subtree search of 
   "DC=Example,DC=NET" is requested to the contacted server, it may 
   return the following: 
    
     SearchResultEntry for DC=Example,DC=NET 
     SearchResultEntry for CN=Manager,DC=Example,DC=NET 
     SearchResultReference { 
       ldap://hostb/OU=People,DC=Example,DC=NET??sub 
       ldap://hostc/OU=People,DC=Example,DC=NET??sub } 
     SearchResultReference { 
       ldap://hostd/OU=Roles,DC=Example,DC=NET??sub } 
     SearchResultDone (success) 
    
   Client implementors should note that when following a 
   SearchResultReference, additional SearchResultReference may be 
   generated. Continuing the example, if the client contacted the server 
   (hostb) and issued the search for the subtree 
   "OU=People,DC=Example,DC=NET", the server might respond as follows: 
    
     SearchResultEntry for OU=People,DC=Example,DC=NET 
     SearchResultReference { 
       ldap://hoste/OU=Managers,OU=People,DC=Example,DC=NET??sub } 
  
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     SearchResultReference { 
       ldap://hostf/OU=Consultants,OU=People,DC=Example,DC=NET??sub } 
     SearchResultDone (success) 
    
   If the contacted server does not hold the base object for the search, 
   then it will return a referral to the client. For example, if the 
   client requests a subtree search of "DC=Example,DC=ORG" to hosta, the 
   server may return only a SearchResultDone containing a referral. 
    
     SearchResultDone (referral) { 
       ldap://hostg/DC=Example,DC=ORG??sub } 
    
    
4.6. Modify Operation 
    
   The Modify Operation allows a client to request that a modification 
   of an entry be performed on its behalf by a server. The Modify 
   Request is defined as follows: 
    
        ModifyRequest ::= [APPLICATION 6] SEQUENCE { 
             object          LDAPDN, 
             changes         SEQUENCE OF change SEQUENCE { 
                  operation       ENUMERATED { 
                       add     (0), 
                       delete  (1), 
                       replace (2) }, 
                  modification    PartialAttribute } } 
 
   Parameters of the Modify Request are: 
    
   - object: The name of the object to be modified. The value of this 
     field contains the DN of the entry to be modified. The server 
     SHALL NOT perform any alias dereferencing in determining the 
     object to be modified. 
    
   - changes: A list of modifications to be performed on the entry. The 
     entire list of modifications MUST be performed in the order they 
     are listed, as a single atomic operation. While individual 
     modifications may violate certain aspects of the directory schema 
     (such as the object class definition and DIT content rule), the 
     resulting entry after the entire list of modifications is 
     performed MUST conform to the requirements of the directory 
     schema. 
    
   -   operation: Used to specify the type of modification being 
        performed. Each operation type acts on the following 
        modification. The values of this field have the following  
        semantics respectively: 
    
             add: add values listed to the modification attribute, 
             creating the attribute if necessary; 
    
             delete: delete values listed from the modification 
             attribute, removing the entire attribute if no values are 
  
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             listed, or if all current values of the attribute are 
             listed for deletion; 
    
             replace: replace all existing values of the modification 
             attribute with the new values listed, creating the 
             attribute if it did not already exist. A replace with no 
             value will delete the entire attribute if it exists, and is 
             ignored if the attribute does not exist. 
    
   -   modification: A PartialAttribute (which may have an empty SET of 
        vals) used to hold the attribute type or attribute type and 
        values being modified. 
    
   Upon receipt of a Modify Request, the server attempts to perform the 
   necessary modifications to the DIT and returns the result in a Modify 
   Response, defined as follows: 
    
        ModifyResponse ::= [APPLICATION 7] LDAPResult 
    
   The server will return to the client a single Modify Response 
   indicating either the successful completion of the DIT modification, 
   or the reason that the modification failed. Note that due to the 
   requirement for atomicity in applying the list of modifications in 
   the Modify Request, the client may expect that no modifications of 
   the DIT have been performed if the Modify Response received indicates 
   any sort of error, and that all requested modifications have been 
   performed if the Modify Response indicates successful completion of 
   the Modify Operation. If the association changes or the connection 
   fails, whether the modification occurred or not is indeterminate. 
    
   The Modify Operation cannot be used to remove from an entry any of 
   its distinguished values, i.e. those values which form the entry's 
   relative distinguished name. An attempt to do so will result in the 
   server returning the notAllowedOnRDN result code. The Modify DN 
   Operation described in Section 4.9 is used to rename an entry. 
    
   Note that due to the simplifications made in LDAP, there is not a 
   direct mapping of the changes in an LDAP ModifyRequest onto the 
   changes of a DAP ModifyEntry operation, and different implementations 
   of LDAP-DAP gateways may use different means of representing the 
   change. If successful, the final effect of the operations on the 
   entry MUST be identical. 
    
    
4.7. Add Operation 
    
   The Add Operation allows a client to request the addition of an entry 
   into the Directory. The Add Request is defined as follows: 
    
        AddRequest ::= [APPLICATION 8] SEQUENCE { 
             entry           LDAPDN, 
             attributes      AttributeList } 
    
        AttributeList ::= SEQUENCE OF attribute Attribute 
  
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   Parameters of the Add Request are: 
    
   - entry: the name of the entry to be added. Note that the server 
     SHALL NOT dereference any aliases in locating the entry to be 
     added. 
    
   - attributes: the list of attributes that make up the content of the 
     entry being added. Clients MUST include distinguished values 
     (those forming the entry's own RDN) in this list, the objectClass 
     attribute, and values of any mandatory attributes of the listed 
     object classes. Clients MUST NOT supply NO-USER-MODIFICATION 
     attributes such as the createTimestamp or creatorsName attributes, 
     since the server maintains these automatically. 
    
   The entry named in the entry field of the AddRequest MUST NOT exist 
   for the AddRequest to succeed. The immediate superior (parent) of an 
   object or alias entry to be added MUST exist. For example, if the 
   client attempted to add "CN=JS,DC=Example,DC=NET", the 
   "DC=Example,DC=NET" entry did not exist, and the "DC=NET" entry did 
   exist, then the server would return the noSuchObject result code with 
   the matchedDN field containing "DC=NET". If the parent entry exists 
   but is not in a naming context held by the server, the server SHOULD 
   return a referral to the server holding the parent entry. 
    
   Server implementations SHOULD NOT restrict where entries can be 
   located in the Directory unless DIT structure rules are in place. 
   Some servers allow the administrator to restrict the classes of 
   entries which can be added to the Directory. 
    
   Upon receipt of an Add Request, a server will attempt to add the 
   requested entry. The result of the add attempt will be returned to 
   the client in the Add Response, defined as follows: 
    
        AddResponse ::= [APPLICATION 9] LDAPResult 
    
   A response of success indicates that the new entry is present in the 
   Directory. 
    
    
4.8. Delete Operation 
    
   The Delete Operation allows a client to request the removal of an 
   entry from the Directory. The Delete Request is defined as follows: 
    
        DelRequest ::= [APPLICATION 10] LDAPDN 
    
   The Delete Request consists of the name of the entry to be deleted. 
   The server SHALL NOT dereference aliases while resolving the name of 
   the target entry to be removed. 
    
   Only leaf entries (those with no subordinate entries) can be deleted 
   with this operation. 
    
  
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   Upon receipt of a Delete Request, a server will attempt to perform 
   the entry removal requested and return the result in the Delete 
   Response defined as follows: 
    
        DelResponse ::= [APPLICATION 11] LDAPResult 
    
    
4.9. Modify DN Operation 
    
   The Modify DN Operation allows a client to change the Relative 
   Distinguished Name (RDN) of an entry in the Directory, and/or to move 
   a subtree of entries to a new location in the Directory. The Modify 
   DN Request is defined as follows: 
    
        ModifyDNRequest ::= [APPLICATION 12] SEQUENCE { 
             entry           LDAPDN, 
             newrdn          RelativeLDAPDN, 
             deleteoldrdn    BOOLEAN, 
             newSuperior     [0] LDAPDN OPTIONAL } 
    
   Parameters of the Modify DN Request are: 
    
   - entry: the name of the entry to be changed. This entry may or may 
     not have subordinate entries. Note that the server SHALL NOT 
     dereference any aliases in locating the entry to be changed. 
    
   - newrdn: the new RDN of the entry. 
    
   - deleteoldrdn: a boolean parameter that controls whether the old 
     RDN attribute values are to be retained as attributes of the 
     entry, or deleted from the entry. 
    
   - newSuperior: if present, this is the name of an existing object 
     entry which becomes the immediate superior (parent) of the 
     existing entry. 
    
   Upon receipt of a ModifyDNRequest, a server will attempt to perform 
   the name change and return the result in the Modify DN Response, 
   defined as follows: 
    
        ModifyDNResponse ::= [APPLICATION 13] LDAPResult 
    
   For example, if the entry named in the "entry" parameter was "cn=John 
   Smith,c=US", the newrdn parameter was "cn=John Cougar Smith", and the 
   newSuperior parameter was absent, then this operation would attempt 
   to rename the entry to be "cn=John Cougar Smith,c=US". If there was 
   already an entry with that name, the operation would fail with the 
   entryAlreadyExists result code. 
    
   The object named in newSuperior MUST exist. For example, if the 
   client attempted to add "CN=JS,DC=Example,DC=NET", the 
   "DC=Example,DC=NET" entry did not exist, and the "DC=NET" entry did 
   exist, then the server would return the noSuchObject result code with 
   the matchedDN field containing "DC=NET". 
  
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   If the deleteoldrdn parameter is TRUE, the values forming the old RDN 
   are deleted from the entry. If the deleteoldrdn parameter is FALSE, 
   the values forming the old RDN will be retained as non-distinguished 
   attribute values of the entry. The server MUST fail the operation and 
   return an error in the result code if the setting of the deleteoldrdn 
   parameter would cause a schema inconsistency in the entry. 
    
   Note that X.500 restricts the ModifyDN operation to only affect 
   entries that are contained within a single server. If the LDAP server 
   is mapped onto DAP, then this restriction will apply, and the 
   affectsMultipleDSAs result code will be returned if this error 
   occurred. In general, clients MUST NOT expect to be able to perform 
   arbitrary movements of entries and subtrees between servers or 
   between naming contexts. 
    
    
4.10. Compare Operation 
    
   The Compare Operation allows a client to compare an assertion 
   provided with an entry in the Directory. The Compare Request is 
   defined as follows: 
    
        CompareRequest ::= [APPLICATION 14] SEQUENCE { 
             entry           LDAPDN, 
             ava             AttributeValueAssertion } 
    
   Parameters of the Compare Request are: 
    
   - entry: the name of the entry to be compared. Note that the server 
     SHALL NOT dereference any aliases in locating the entry to be 
     compared. 
    
   - ava: the assertion with which an attribute in the entry is to be 
     compared. 
    
   Upon receipt of a Compare Request, a server will attempt to perform 
   the requested comparison using the EQUALITY matching rule for the 
   attribute type and return the result in the Compare Response, defined 
   as follows: 
    
        CompareResponse ::= [APPLICATION 15] LDAPResult 
    
   In the event that the attribute or subtype is not present in the 
   entry, the resultCode field is set to noSuchAttribute. If the 
   attribute is unknown, the resultCode is set to 
   undefinedAttributeType. Note that errors and the result of comparison 
   are all returned in the same construct. 
    
   Note that some directory systems may establish access controls which 
   permit the values of certain attributes (such as userPassword) to be 
   compared but not interrogated by other means. 
    
    
  
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4.11. Abandon Operation 
    
   The function of the Abandon Operation is to allow a client to request 
   that the server abandon an outstanding operation. The Abandon Request 
   is defined as follows: 
    
        AbandonRequest ::= [APPLICATION 16] MessageID 
    
   The MessageID MUST be that of an operation which was requested 
   earlier in this LDAP association. The abandon request itself has its 
   own message id. This is distinct from the id of the earlier operation 
   being abandoned. 
    
   There is no response defined in the Abandon operation. Upon receipt 
   of an AbandonRequest, the server MAY abandon the operation identified 
   by the MessageID. Operation responses are not sent for successfully 
   abandoned operations, thus the application of the Abandon operation 
   is limited to uses where the client does not require an indication of 
   its outcome. 
    
   Abandon and Unbind operations cannot be abandoned. The ability to 
   abandon other (particularly update) operations is at the discretion 
   of the server. 
    
   In the event that a server receives an Abandon Request on a Search 
   Operation in the midst of transmitting responses to the search, that 
   server MUST cease transmitting entry responses to the abandoned 
   request immediately, and MUST NOT send the SearchResponseDone. Of 
   course, the server MUST ensure that only properly encoded LDAPMessage 
   PDUs are transmitted. 
    
   Clients MUST NOT send abandon requests for the same operation 
   multiple times, and MUST also be prepared to receive results from 
   operations it has abandoned (since these may have been in transit 
   when the abandon was requested, or are not able to be abandoned). 
    
   Servers MUST discard abandon requests for message IDs they do not 
   recognize, for operations which cannot be abandoned, and for 
   operations which have already been abandoned. 
    
    
4.12. Extended Operation 
    
   The extended operation allows additional operations to be defined for 
   services not already available in the protocol. For example, to add 
   operations to install transport layer security (see Section 4.13). 
    
   The extended operation allows clients to make requests and receive 
   responses with predefined syntaxes and semantics. These may be 
   defined in RFCs or be private to particular implementations.  
    
   Each extended operation consists of an extended request and an 
   extended response.  
    
  
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        ExtendedRequest ::= [APPLICATION 23] SEQUENCE { 
             requestName      [0] LDAPOID, 
             requestValue     [1] OCTET STRING OPTIONAL } 
    
   The requestName is a dotted-decimal representation of the unique 
   OBJECT IDENTIFIER corresponding to the request. The requestValue is 
   information in a form defined by that request, encapsulated inside an 
   OCTET STRING. 
    
   The server will respond to this with an LDAPMessage containing the 
   ExtendedResponse. 
    
        ExtendedResponse ::= [APPLICATION 24] SEQUENCE { 
             COMPONENTS OF LDAPResult, 
             responseName     [10] LDAPOID OPTIONAL, 
             responseValue    [11] OCTET STRING OPTIONAL } 
    
   The responseName is typically not required to be present as the 
   syntax and semantics of the response (including the format of the 
   responseValue) is implicitly known and associated with the request by 
   the messageID. 
    
   If the requestName is not recognized by the server, the server MUST 
   NOT provide a responseName nor a responseValue and MUST return a 
   resultCode of protocolError. 
    
   The requestValue and responseValue fields contain any information 
   associated with the operation. The format of these fields is defined 
   by the specification of the extended operation. Implementations MUST 
   be prepared to handle arbitrary contents of these fields, including 
   zero bytes. Values that are defined in terms of ASN.1 and BER encoded 
   according to Section 5.1, also follow the extensibility rules in 
   Section 4. 
    
   It is RECOMMENDED that servers list the requestName of extended 
   operations they support in the supportedExtension attribute [Models] 
   of the root DSE. 
    
   Extended operations may be specified in other documents. The 
   specification of an extended operation consists of: 
    
   - the OBJECT IDENTIFIER assigned to the requestName (and possibly 
     responseName), 
    
   - the format of the contents of the requestValue and responseValue 
     (if any), 
    
   - the semantics of the operation, 
 
    
4.13. StartTLS Operation 
 


  
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   The Start Transport Layer Security (StartTLS) operation provides the 
   ability to establish Transport Layer Security ([TLS]) on an LDAP 
   connection. The StartTLS operation is defined using the extended 
   operation mechanism described in Section 4.12. 
    
4.13.1. StartTLS Request 
 
   A client requests TLS establishment by transmitting a StartTLS 
   request PDU to the server. The StartTLS request is defined in terms 
   of an ExtendedRequest. The requestName is "1.3.6.1.4.1.1466.20037", 
   and the requestValue field is always absent.  
    
   The client MUST NOT send any PDUs on this connection following this 
   request until it receives a StartTLS extended response. 
    
4.13.2. StartTLS Response 
 
   When a StartTLS request is made, servers supporting the operation 
   MUST return a StartTLS response PDU to the requestor. The StartTLS 
   response responseName is also "1.3.6.1.4.1.1466.20037", and the 
   response field is absent.  
    
   The server MUST set the resultCode field to either success or one of 
   the other values outlined in Section 4.13.2.2. 
    
4.13.2.1. "Success" Response 
 
   If the StartTLS Response contains a result code of success, this 
   indicates that the server is willing and able to negotiate TLS. Refer 
   to Section 5.3 of [AuthMeth] for details. 
    
4.13.2.2. Response other than "success" 
 
   If the ExtendedResponse contains a result code other than success, 
   this indicates that the server is unwilling or unable to negotiate 
   TLS. The following result codes have these meanings for this 
   operation: 
    
   -  operationsError:  operations sequencing incorrect; e.g. TLS is 
                       already established. 
    
   - protocolError:    TLS is not supported or incorrect PDU structure. 
    
   - unavailable:      Some major problem with TLS, or the server is 
                       shutting down. 
    
   The server MUST return operationsError if the client violates any of 
   the StartTLS extended operation sequencing requirements described in 
   Section 5.3 of [AuthMeth]. 
    
   If the server does not support TLS (whether by design or by current 
   configuration), it MUST set the resultCode field to protocolError. 
   The client's current association is unaffected if the server does not 
  
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   support TLS. The client may proceed with any LDAP operation, or it 
   may close the connection. 
    
   The server MUST return unavailable if it supports TLS but cannot 
   establish a TLS connection for some reason, e.g. the certificate 
   server not responding, it cannot contact its TLS implementation, or 
   if the server is in process of shutting down. The client may retry 
   the StartTLS operation, or it may proceed with any other LDAP 
   operation, or it may close the LDAP connection. 
 
4.13.3. Closing a TLS Connection 
 
   Two forms of TLS connection closure -- graceful and abrupt -- are 
   supported. 
    
4.13.3.1. Graceful Closure 
 
   Either the client or server MAY terminate the TLS connection and 
   leave the LDAP connection intact by sending and receiving a TLS 
   closure alert. 
    
   The initiating protocol peer sends the TLS closure alert. If it 
   wishes to leave the LDAP connection intact, it then MUST cease to 
   send further PDUs and MUST ignore any received PDUs until it receives 
   a TLS closure alert from the other peer.  
    
   Once the initiating protocol peer receives a TLS closure alert from 
   the other peer it MAY send and receive LDAP PDUs. 
    
   When a protocol peer receives the initial TLS closure alert, it may 
   choose to allow the underlying LDAP connection intact. In this case, 
   it MUST immediately transmit a TLS closure alert. Following this, it 
   MAY send and receive LDAP PDUs. 
    
   Protocol peers MAY drop the underlying LDAP connection after sending 
   or receiving a TLS closure alert. 
 
   After the TLS connection has been closed, the server MUST NOT send 
   responses to any request message received before the TLS closure. 
   Thus, clients wishing to receive responses to messages sent while the 
   TLS connection is intact MUST wait for those message responses before 
   sending the TLS closure alert.  
    
4.13.3.2. Abrupt Closure 
 
   Either the client or server MAY abruptly close the TLS connection by 
   dropping the underlying transfer protocol connection. In this 
   circumstance, a server MAY send the client a Notice of Disconnection 
   before dropping the underlying LDAP connection. 
    
    
5. Protocol Element Encodings and Transfer 
    
  
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   One underlying service, LDAP over TCP, is defined here. This service 
   is generally applicable to applications providing or consuming X.500-
   based directory services on the Internet. 
    
   Implementations of LDAP over TCP MUST implement the mapping as 
   described in Section 5.2.1 
    
 
5.1. Protocol Encoding 
    
   The protocol elements of LDAP SHALL be encoded for exchange using the 
   Basic Encoding Rules [BER] of [ASN.1] with the following 
   restrictions: 
    
   (1) Only the definite form of length encoding is used. 
    
   (2) OCTET STRING values are encoded in the primitive form only. 
    
   (3) If the value of a BOOLEAN type is true, the encoding of the 
       value octet is set to hex "FF". 
    
   (4) If a value of a type is its default value, it is absent. Only 
       some BOOLEAN and INTEGER types have default values in this 
       protocol definition. 
    
   These restrictions are meant to ease the overhead of encoding and 
   decoding certain elements in BER. 
    
   These restrictions do not apply to ASN.1 types encapsulated inside of 
   OCTET STRING values, such as attribute values, unless otherwise 
   stated. 
    
    
5.2. Transfer Protocols 
    
   This protocol is designed to run over connection-oriented, reliable 
   transports, with all 8 bits in an octet being significant in the data 
   stream. 
    
    
5.2.1. Transmission Control Protocol (TCP) 
    
   The encoded LDAPMessage PDUs are mapped directly onto the [TCP] 
   bytestream using the BER-based encoding described in Section 5.1. It 
   is recommended that server implementations running over the TCP 
   provide a protocol listener on the assigned port, 389. Servers may 
   instead provide a listener on a different port number. Clients MUST 
   support contacting servers on any valid TCP port. 
    
    
6. Security Considerations 
    
   This version of the protocol provides facilities for simple 
   authentication using a cleartext password, as well as any [SASL] 
  
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   mechanism. SASL allows for integrity and privacy services to be 
   negotiated. 
    
   It is also permitted that the server can return its credentials to 
   the client, if it chooses to do so. 
    
   Use of cleartext password is strongly discouraged where the 
   underlying transport service cannot guarantee confidentiality and may 
   result in disclosure of the password to unauthorized parties. 
    
   Servers are encouraged to prevent directory modifications by clients 
   that have authenticated anonymously [AuthMeth].  
    
   Requirements of authentication methods, SASL mechanisms, and TLS are 
   described in [AuthMeth]. 
    
   It should be noted that SASL authentication exchanges do not provide 
   data confidentiality nor integrity protection for the version or name 
   fields of the bind request nor the resultCode, diagnosticMessage, or 
   referral fields of the bind response nor of any information contained 
   in controls attached to bind request or responses. Thus information 
   contained in these fields SHOULD NOT be relied on unless otherwise 
   protected (such as by establishing protections at the transport 
   layer).       
    
   Server implementors should plan for the possibility of an identity 
   associated with an LDAP connection being deleted, renamed, or 
   modified, and take appropriate actions to prevent insecure side 
   effects. Likewise, server implementors should plan for the 
   possibility of an associated identity's credentials becoming invalid, 
   or an identities privileges being changed. The way in which these 
   issues are addressed are application 
   and/or implementation specific. 
    
   Implementations which cache attributes and entries obtained via LDAP 
   MUST ensure that access controls are maintained if that information 
   is to be provided to multiple clients, since servers may have access 
   control policies which prevent the return of entries or attributes in 
   search results except to particular authenticated clients. For 
   example, caches could serve result information only to the client 
   whose request caused it to be in the cache. 
    
   Protocol servers may return referrals which redirect protocol clients 
   to peer servers. It is possible for a rogue application to inject 
   such referrals into the data stream in an attempt to redirect a 
   client to a rogue server. Protocol clients are advised to be aware of 
   this, and possibly reject referrals when confidentiality measures are 
   not in place. Protocol clients are advised to reject referrals from 
   the StartTLS operation. 
    
   Protocol peers MUST be prepared to handle invalid and arbitrary 
   length protocol encodings. A number of LDAP security advisories are 
   available through [CERT]. 
    
  
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7. Acknowledgements 
    
   This document updates RFC 2251 by Mark Wahl, Tim Howes, and Steve 
   Kille. It also updates RFC 2830 by Jeff Hodges, RL "Bob" Morgan, and 
   Mark Wahl. Their work along with the input of individuals of the IETF 
   ASID, LDAPEXT, LDUP, LDAPBIS, and other Working Groups is gratefully 
   acknowledged. 
    
    
8. Normative References 
      
   [ABNF]    Crocker, D. and P. Overell, "Augmented BNF for Syntax 
             Specifications: ABNF", RFC 2234, November 1997. 
    
   [ASN.1]   ITU-T Recommendation X.680 (07/2002) | ISO/IEC 8824-1:2002 
             "Information Technology - Abstract Syntax Notation One 
             (ASN.1): Specification of basic notation" 
    
   [AuthMeth] Harrison, R., "LDAP: Authentication Methods and Connection 
             Level Security Mechanisms ", draft-ietf-ldapbis-authmeth-
             xx.txt, (a work in progress). 
    
   [BER]     ITU-T Rec. X.690 (07/2002) | ISO/IEC 8825-1:2002, 
             "Information technology - ASN.1 encoding rules: 
             Specification of Basic Encoding Rules (BER), Canonical 
             Encoding Rules (CER) and Distinguished Encoding Rules 
             (DER)", 2002. 
 
   [IP]      Postel, J., "Internet Protocol", STD5 and RFC 791, 
             September 1981 
    
   [ISO10646] Universal Multiple-Octet Coded Character Set (UCS) - 
             Architecture and Basic Multilingual Plane, ISO/IEC 10646-1 
             : 1993. 
     
   [Keyword] Bradner, S., "Key words for use in RFCs to Indicate 
             Requirement Levels", RFC 2119, March 1997. 
     
   [LDAPDN]  Zeilenga, K., "LDAP: String Representation of 
             Distinguished Names", draft-ietf-ldapbis-dn-xx.txt, (a 
             work in progress). 
    
   [LDAPIANA] Zeilenga, K., "IANA Considerations for LDAP", draft-ietf-
             ldapbis-bcp64-xx.txt, (a work in progress). 
    
   [LDAPURL] Smith, M., "LDAP: Uniform Resource Locator", draft-ietf-
             ldapbis-url-xx.txt, (a work in progress). 
    
   [Models]  Zeilenga, K., "LDAP: Directory Information Models", draft-
             ietf-ldapbis-models-xx.txt (a work in progress). 
    
   [Roadmap] Zeilenga, K., "LDAP: Technical Specification Road Map", 
             draft-ietf-ldapbis-roadmap-xx.txt (a work in progress). 
  
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   [SASL]    Melnikov, A., "Simple Authentication and Security Layer", 
             draft-ietf-sasl-rfc2222bis-xx.txt (a work in progress). 
    
   [SASLPrep] Zeilenga, K., "Stringprep profile for user names and 
             passwords", draft-ietf-sasl-saslprep-xx.txt, (a work in 
             progress). 
    
   [StringPrep] Hoffman P. and M. Blanchet, "Preparation of 
             Internationalized Strings ('stringprep')", draft-hoffman-
             rfc3454bis-xx.txt, a work in progress. 
    
   [Syntaxes] Legg, S., and K. Dally, "LDAP: Syntaxes and Matching 
             Rules", draft-ietf-ldapbis-syntaxes-xx.txt, (a work in 
             progress). 
    
   [TCP]     Postel, J., "Transmission Control Protocol", STD7 and RFC 
             793, September 1981 
    
   [TLS]     Dierks, T. and C. Allen. "The TLS Protocol Version 1.1", 
             draft-ietf-tls-rfc2246-bis-xx.txt, a work in progress. 
    
   [Unicode] The Unicode Consortium, "The Unicode Standard, Version 
             3.2.0" is defined by "The Unicode Standard, Version 3.0" 
             (Reading, MA, Addison-Wesley, 2000. ISBN 0-201-61633-5), 
             as amended by the "Unicode Standard Annex #27: Unicode 
             3.1" (http://www.unicode.org/reports/tr27/) and by the 
             "Unicode Standard Annex #28: Unicode 3.2" 
             (http://www.unicode.org/reports/tr28/). 
    
   [URI]     Berners-Lee, T., Fielding, R., and L. Masinter Uniform 
             Resource Identifiers (URI): Generic Syntax", RFC 2396, 
             August 1998. 
    
   [UTF-8]   Yergeau, F., "UTF-8, a transformation format of Unicode 
             and ISO 10646", STD63 and RFC3629. 
    
   [X.500]   ITU-T Rec. X.500, "The Directory: Overview of Concepts, 
             Models and Service", 1993. 
     
   [X.501]   ITU-T Rec. X.501, "The Directory: Models", 1993. 
    
   [X.511]   ITU-T Rec. X.511, "The Directory: Abstract Service 
             Definition", 1993. 
    
    
9. Informative References 
    
   [CERT]    the CERT(R) Center, (http://www.cert.org) 
 
10. IANA Considerations 
    


  
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   It is requested that the Internet Assigned Numbers Authority (IANA) 
   update the occurrence of "RFC XXXX" in Appendix B with this RFC 
   number at publication. 
 
11. Editor's Address 
    
   Jim Sermersheim 
   Novell, Inc. 
   1800 South Novell Place 
   Provo, Utah 84606, USA 
   jimse@novell.com 
   +1 801 861-3088 










































  
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              Lightweight Directory Access Protocol Version 3 
                                      
Appendix A - LDAP Result Codes 
 
   This normative appendix details additional considerations regarding 
   LDAP result codes and provides a brief, general description of each 
   LDAP result code enumerated in Section 4.1.10. 
    
   Additional result codes MAY be defined for use with extensions 
   [LDAPIANA]. Client implementations SHALL treat any result code which 
   they do not recognize as an unknown error condition. 
    
A.1 Non-Error Result Codes 
    
   These result codes (called "non-error" result codes) do not indicate 
   an error condition: 
        success (0), 
        compareTrue (6), 
        compareFalse (7), 
        referral (10), and 
        saslBindInProgress (14). 
    
   The success, compareTrue, and compare result codes indicate 
   successful completion (and, hence, are referred to as "successful" 
   result codes). 
    
   The referral and saslBindInProgress result codes indicate the client 
   is required to take additional action to complete the operation 
    
    
A.2 Result Codes 
    
   Existing LDAP result codes are described as follows: 
 
        success (0) 
           Indicates the successful completion of an operation. Note: 
           this code is not used with the compare operation. See 
           compareTrue (5) and compareFalse (6).        
    
        operationsError (1) 
           Indicates that the operation is not properly sequenced with 
           relation to other operations (of same or different type). 
 
           For example, this code is returned if the client attempts to 
           StartTLS [RFC2246] while there are other operations 
           outstanding or if TLS was already established. 
 
        protocolError (2) 
           Indicates the server received data which has incorrect 
           structure. 
            
           For bind operation only, this code is also used to indicate 
           that the server does not support the requested protocol 
           version. 
            
        timeLimitExceeded (3) 
  
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           Indicates that the time limit specified by the client was 
           exceeded before the operation could be completed. 
 
        sizeLimitExceeded (4) 
           Indicates that the size limit specified by the client was 
           exceeded before the operation could be completed. 
         
        compareFalse (5) 
           Indicates that the compare operation has successfully 
           completed and the assertion has evaluated to FALSE. 
         
        compareTrue (6) 
           Indicates that the compare operation has successfully 
           completed and the assertion has evaluated to TRUE. 
         
        authMethodNotSupported (7) 
           Indicates that the authentication method or mechanism is not 
           supported. 
         
        strongAuthRequired (8) 
           Indicates that the server has detected that an established 
           security association between the client and server has 
           unexpectedly failed or been compromised, or that the server 
           now requires the client to authenticate using a strong(er) 
           mechanism. 
         
        referral (10) 
           Indicates that a referral needs to be chased to complete the 
           operation (see Section 4.1.11). 
         
        adminLimitExceeded (11) 
           Indicates that an administrative limit has been exceeded. 
         
        unavailableCriticalExtension (12) 
           Indicates that the server is unable or unwilling to perform a 
           critical extension (see Section 4.1.12). 
         
        confidentialityRequired (13) 
           Indicates that data confidentiality protections are required. 
         
        saslBindInProgress (14) 
           Indicates the server requires the client to send a new bind 
           request, with the same SASL mechanism, to continue the 
           authentication process (see Section 4.2). 
         
        noSuchAttribute (16) 
           Indicates that the named entry does not contain the specified 
           attribute or attribute value. 
         
        undefinedAttributeType (17) 
           Indicates that a request field contains an unrecognized 
           attribute description. 
         
        inappropriateMatching (18) 
  
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           Indicates that an attempt was made, e.g. in a filter, to use 
           a matching rule not defined for the attribute type concerned. 
         
        constraintViolation (19) 
           Indicates that the client supplied an attribute value which 
           does not conform to the constraints placed upon it by the 
           data model. 
         
           For example, this code is returned when multiple values are 
           supplied to an attribute which has a SINGLE-VALUE constraint. 
         
        attributeOrValueExists (20) 
           Indicates that the client supplied an attribute or value to 
           be added to an entry, but the attribute or value already 
           exists. 
         
        invalidAttributeSyntax (21) 
           Indicates that a purported attribute value does not conform 
           to the syntax of the attribute. 
         
        noSuchObject (32) 
           Indicates that the object does not exist in the DIT. 
         
        aliasProblem (33) 
           Indicates that an alias problem has occurred. For example, 
           the code may used to indicate an alias has been dereferenced 
           which names no object. 
         
        invalidDNSyntax (34) 
           Indicates that an LDAPDN or RelativeLDAPDN field (e.g. search 
           base, target entry, ModifyDN newrdn, etc.) of a request does 
           not conform to the required syntax or contains attribute 
           values which do not conform to the syntax of the attribute's 
           type. 
         
        aliasDereferencingProblem (36) 
           Indicates that a problem occurred while dereferencing an 
           alias. Typically an alias was encountered in a situation 
           where it was not allowed or where access was denied. 
         
        inappropriateAuthentication (48) 
           Indicates the server requires the client which had attempted 
           to bind anonymously or without supplying credentials to 
           provide some form of credentials. 
         
        invalidCredentials (49) 
           Indicates that the provided credentials (e.g. the user's name 
           and password) are invalid. 
         
        insufficientAccessRights (50) 
           Indicates that the client does not have sufficient access 
           rights to perform the operation. 
         
        busy (51) 
  
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           Indicates that the server is too busy to service the 
           operation. 
         
        unavailable (52) 
           Indicates that the server is shutting down or a subsystem 
           necessary to complete the operation is offline. 
         
        unwillingToPerform (53) 
           Indicates that the server is unwilling to perform the 
           operation. 
         
        loopDetect (54) 
           Indicates that the server has detected an internal loop. 
         
        namingViolation (64) 
           Indicates that the entry's name violates naming restrictions. 
         
        objectClassViolation (65) 
           Indicates that the entry violates object class restrictions. 
         
        notAllowedOnNonLeaf (66) 
           Indicates that the operation is inappropriately acting upon a 
           non-leaf entry. 
         
        notAllowedOnRDN (67) 
           Indicates that the operation is inappropriately attempting to 
           remove a value which forms the entry's relative distinguished 
           name. 
         
        entryAlreadyExists (68) 
           Indicates that the request cannot be fulfilled (added, moved, 
           or renamed) as the target entry already exists. 
         
        objectClassModsProhibited (69) 
           Indicates that an attempt to modify the object class(es) of 
           an entry's objectClass attribute is prohibited. 
         
           For example, this code is returned when a client attempts to 
           modify the structural object class of an entry. 
         
        affectsMultipleDSAs (71) 
           Indicates that the operation cannot be completed as it 
           affects multiple servers (DSAs). 
         
        other (80) 
           Indicates the server has encountered an internal error. 








  
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              Lightweight Directory Access Protocol Version 3 
                                      
Appendix B - Complete ASN.1 Definition 
    
        This appendix is normative. 
    
        Lightweight-Directory-Access-Protocol-V3  
        -- Copyright (C) The Internet Society (2003). This version of 
        -- this ASN.1 module is part of RFC XXXX; see the RFC itself 
        -- for full legal notices. 
        DEFINITIONS 
        IMPLICIT TAGS 
        EXTENSIBILITY IMPLIED ::= 
    
        BEGIN 
    
        LDAPMessage ::= SEQUENCE { 
             messageID       MessageID, 
             protocolOp      CHOICE { 
                  bindRequest     BindRequest, 
                  bindResponse    BindResponse, 
                  unbindRequest   UnbindRequest, 
                  searchRequest   SearchRequest, 
                  searchResEntry  SearchResultEntry, 
                  searchResDone   SearchResultDone, 
                  searchResRef    SearchResultReference, 
                  modifyRequest   ModifyRequest, 
                  modifyResponse  ModifyResponse, 
                  addRequest      AddRequest, 
                  addResponse     AddResponse, 
                  delRequest      DelRequest, 
                  delResponse     DelResponse, 
                  modDNRequest    ModifyDNRequest, 
                  modDNResponse   ModifyDNResponse, 
                  compareRequest  CompareRequest, 
                  compareResponse CompareResponse, 
                  abandonRequest  AbandonRequest, 
                  extendedReq     ExtendedRequest, 
                  extendedResp    ExtendedResponse, 
                  ... }, 
             controls       [0] Controls OPTIONAL } 
    
        MessageID ::= INTEGER (0 .. maxInt) 
    
        maxInt INTEGER ::= 2147483647 -- (2^^31 - 1) -- 
    
        LDAPString ::= OCTET STRING -- UTF-8 encoded, 
                                    -- [ISO10646] characters 
    
        LDAPOID ::= OCTET STRING -- Constrained to <numericoid> [Models] 
    
        LDAPDN ::= LDAPString 
    
        RelativeLDAPDN ::= LDAPString 
    
        AttributeDescription ::= LDAPString 
  
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                                -- Constrained to <attributedescription> 
                                -- [Models] 
    
        AttributeValue ::= OCTET STRING 
    
        AttributeValueAssertion ::= SEQUENCE { 
             attributeDesc   AttributeDescription, 
             assertionValue  AssertionValue } 
    
        AssertionValue ::= OCTET STRING 
    
        PartialAttribute ::= SEQUENCE { 
             type       AttributeDescription, 
             vals       SET OF value AttributeValue } 
    
        Attribute ::= PartialAttribute(WITH COMPONENTS { 
             ...,  
             vals (SIZE(1..MAX))}) 
    
        MatchingRuleId ::= LDAPString 
    
        LDAPResult ::= SEQUENCE { 
             resultCode         ENUMERATED { 
                  success                      (0), 
                  operationsError              (1), 
                  protocolError                (2), 
                  timeLimitExceeded            (3), 
                  sizeLimitExceeded            (4), 
                  compareFalse                 (5), 
                  compareTrue                  (6), 
                  authMethodNotSupported       (7), 
                  strongAuthRequired           (8), 
                       -- 9 reserved -- 
                  referral                     (10), 
                  adminLimitExceeded           (11), 
                  unavailableCriticalExtension (12), 
                  confidentialityRequired      (13), 
                  saslBindInProgress           (14), 
                  noSuchAttribute              (16), 
                  undefinedAttributeType       (17), 
                  inappropriateMatching        (18), 
                  constraintViolation          (19), 
                  attributeOrValueExists       (20), 
                  invalidAttributeSyntax       (21), 
                       -- 22-31 unused -- 
                  noSuchObject                 (32), 
                  aliasProblem                 (33), 
                  invalidDNSyntax              (34), 
                       -- 35 reserved for undefined isLeaf -- 
                  aliasDereferencingProblem    (36), 
                       -- 37-47 unused -- 
                  inappropriateAuthentication  (48), 
                  invalidCredentials           (49), 
                  insufficientAccessRights     (50), 
  
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                  busy                         (51), 
                  unavailable                  (52), 
                  unwillingToPerform           (53), 
                  loopDetect                   (54), 
                       -- 55-63 unused -- 
                  namingViolation              (64), 
                  objectClassViolation         (65), 
                  notAllowedOnNonLeaf          (66), 
                  notAllowedOnRDN              (67), 
                  entryAlreadyExists           (68), 
                  objectClassModsProhibited    (69), 
                       -- 70 reserved for CLDAP -- 
                  affectsMultipleDSAs          (71), 
                       -- 72-79 unused -- 
                  other                        (80), 
                  ... }, 
                       -- 81-90 reserved for APIs -- 
             matchedDN          LDAPDN, 
             diagnosticMessage  LDAPString, 
             referral           [3] Referral OPTIONAL } 
    
        Referral ::= SEQUENCE SIZE (1..MAX) OF uri URI 
    
        URI ::= LDAPString     -- limited to characters permitted in 
                               -- URIs 
    
        Controls ::= SEQUENCE OF control Control 
    
        Control ::= SEQUENCE { 
             controlType             LDAPOID, 
             criticality             BOOLEAN DEFAULT FALSE, 
             controlValue            OCTET STRING OPTIONAL } 
    
        BindRequest ::= [APPLICATION 0] SEQUENCE { 
             version                 INTEGER (1 .. 127), 
             name                    LDAPDN, 
             authentication          AuthenticationChoice } 
    
        AuthenticationChoice ::= CHOICE { 
             simple                  [0] OCTET STRING, 
                                     -- 1 and 2 reserved 
             sasl                    [3] SaslCredentials, 
             ... } 
    
        SaslCredentials ::= SEQUENCE { 
             mechanism               LDAPString, 
             credentials             OCTET STRING OPTIONAL } 
    
        BindResponse ::= [APPLICATION 1] SEQUENCE { 
             COMPONENTS OF LDAPResult, 
             serverSaslCreds    [7] OCTET STRING OPTIONAL } 
    
        UnbindRequest ::= [APPLICATION 2] NULL 
    
  
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        SearchRequest ::= [APPLICATION 3] SEQUENCE { 
             baseObject      LDAPDN, 
             scope           ENUMERATED { 
                  baseObject              (0), 
                  singleLevel             (1), 
                  wholeSubtree            (2) }, 
             derefAliases    ENUMERATED { 
                  neverDerefAliases       (0), 
                  derefInSearching        (1), 
                  derefFindingBaseObj     (2), 
                  derefAlways             (3) }, 
             sizeLimit       INTEGER (0 .. maxInt), 
             timeLimit       INTEGER (0 .. maxInt), 
             typesOnly       BOOLEAN, 
             filter          Filter, 
             attributes      AttributeSelection } 
    
        AttributeSelection ::= SEQUENCE OF selection LDAPString 
    
        Filter ::= CHOICE { 
             and             [0] SET SIZE (1..MAX) OF filter Filter, 
             or              [1] SET SIZE (1..MAX) OF filter Filter, 
             not             [2] Filter, 
             equalityMatch   [3] AttributeValueAssertion, 
             substrings      [4] SubstringFilter, 
             greaterOrEqual  [5] AttributeValueAssertion, 
             lessOrEqual     [6] AttributeValueAssertion, 
             present         [7] AttributeDescription, 
             approxMatch     [8] AttributeValueAssertion, 
             extensibleMatch [9] MatchingRuleAssertion } 
    
        SubstringFilter ::= SEQUENCE { 
             type           AttributeDescription, 
             -- at least one must be present, 
             -- initial and final can occur at most once 
             substrings     SEQUENCE SIZE (1..MAX) OF substring CHOICE { 
                  initial [0] AssertionValue, 
                  any     [1] AssertionValue, 
                  final   [2] AssertionValue } } 
    
        MatchingRuleAssertion ::= SEQUENCE { 
             matchingRule    [1] MatchingRuleId OPTIONAL, 
             type            [2] AttributeDescription OPTIONAL, 
             matchValue      [3] AssertionValue, 
             dnAttributes    [4] BOOLEAN DEFAULT FALSE } 
    
        SearchResultEntry ::= [APPLICATION 4] SEQUENCE { 
             objectName      LDAPDN, 
             attributes      PartialAttributeList } 
    
        PartialAttributeList ::= SEQUENCE OF  
                             partialAttribute PartialAttribute   
    
        SearchResultReference ::= [APPLICATION 19] SEQUENCE  
  
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                                  SIZE (1..MAX) OF uri URI 
    
        SearchResultDone ::= [APPLICATION 5] LDAPResult 
    
        ModifyRequest ::= [APPLICATION 6] SEQUENCE { 
             object          LDAPDN, 
             changes         SEQUENCE OF change SEQUENCE { 
                  operation       ENUMERATED { 
                       add     (0), 
                       delete  (1), 
                       replace (2) }, 
                  modification    PartialAttribute } } 
    
        ModifyResponse ::= [APPLICATION 7] LDAPResult 
    
        AddRequest ::= [APPLICATION 8] SEQUENCE { 
             entry           LDAPDN, 
             attributes      AttributeList } 
    
        AttributeList ::= SEQUENCE OF attribute Attribute 
    
        AddResponse ::= [APPLICATION 9] LDAPResult 
    
        DelRequest ::= [APPLICATION 10] LDAPDN 
    
        DelResponse ::= [APPLICATION 11] LDAPResult 
    
        ModifyDNRequest ::= [APPLICATION 12] SEQUENCE { 
             entry           LDAPDN, 
             newrdn          RelativeLDAPDN, 
             deleteoldrdn    BOOLEAN, 
             newSuperior     [0] LDAPDN OPTIONAL } 
    
        ModifyDNResponse ::= [APPLICATION 13] LDAPResult 
    
        CompareRequest ::= [APPLICATION 14] SEQUENCE { 
             entry           LDAPDN, 
             ava             AttributeValueAssertion } 
    
        CompareResponse ::= [APPLICATION 15] LDAPResult 
    
        AbandonRequest ::= [APPLICATION 16] MessageID 
    
        ExtendedRequest ::= [APPLICATION 23] SEQUENCE { 
             requestName      [0] LDAPOID, 
             requestValue     [1] OCTET STRING OPTIONAL } 
    
        ExtendedResponse ::= [APPLICATION 24] SEQUENCE { 
             COMPONENTS OF LDAPResult, 
             responseName     [10] LDAPOID OPTIONAL, 
             responseValue    [11] OCTET STRING OPTIONAL } 
    
        END 

  
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Appendix C - Changes 
 
   This appendix is non-normative. 
    
   This appendix summarizes substantive changes made to RFC 2251 and RFC 
   2830. 
    
    
C.1 Changes made to made to RFC 2251: 
    
   This section summarizes the substantive changes made to Sections 1, 
   2, 3.1, and 4 through the remainder of RFC 2251. Readers should 
   consult [Models] and [AuthMeth] for summaries of changes to other 
   sections. 
    
    
C.1.1 Section 1 
    
   - Removed IESG note. Post publication of RFC 2251, mandatory LDAP 
     authentication mechanisms have been standardized which are 
     sufficient to remove this note. See [AuthMeth] for authentication 
     mechanisms. 
    
    
C.1.2 Section 3.1 and others 
 
   - Removed notes giving history between LDAP v1, v2 and v3. Instead, 
     added sufficient language so that this document can stand on its 
     own. 
    
    
C.1.3 Section 4 
 
   - Clarified where the extensibility features of ASN.1 apply to the 
     protocol. This change also affected various ASN.1 types. 
   - Removed the requirement that servers which implement version 3 or 
     later MUST provide the supportedLDAPVersion attribute. This 
     statement provided no interoperability advantages. 
 
 
C.1.4 Section 4.1.1 
 
   - There was a mandatory requirement for the server to return a 
     Notice of Disconnection and drop the connection when a PDU is 
     malformed in a certain way. This has been clarified such that the 
     server SHOULD return the Notice of Disconnection, and MUST drop 
     the connection. 
 
 
C.1.5 Section 4.1.1.1 
 
   - Clarified that the messageID of requests MUST be non-zero. 


  
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   - Clarified when it is and isn't appropriate to return an already 
     used message id. RFC 2251 accidentally imposed synchronous server 
     behavior in its wording of this. 
 
 
C.1.6 Section 4.1.2 
 
   - Stated that LDAPOID is constrained to <numericoid> from [Models]. 
 
 
C.1.7 Section 4.1.5.1 
 
   - Removed the Binary Option from the specification. There are 
     numerous interoperability problems associated with this method of 
     alternate attribute type encoding. Work to specify a suitable 
     replacement is ongoing. 
 
 
C.1.8 Section 4.1.6 
 
   - Removed references to the "binary" encoding as it has been removed 
     from the specification. 
 
 
C.1.9 Section 4.1.7 
 
   - Removed references to the "binary" encoding as it has been removed 
     from the specification. 
 
 
C.1.10 Section 4.1.8 
 
   - Combined the definitions of PartialAttribute and Attribute here, 
     and defined Attribute in terms of PartialAttribute. 
 
 
C.1.11 Section 4.1.10 
 
   - Renamed "errorMessage" to "diagnosticMessage" as it is allowed to 
     be sent for non-error results. 
   - Moved some language into Appendix A, and refer the reader there. 
   - Allowed matchedDN to be present for other result codes than those 
     listed in RFC 2251. 
 
 
C.1.12 Section 4.1.11 
 
   - Defined referrals in terms of URIs rather than URLs. 
   - Removed the requirement that all referral URIs MUST be equally 
     capable of progressing the operation. The statement was ambiguous 
     and provided no instructions on how to carry it out. 
   - Added the requirement that clients MUST NOT loop between servers. 
   - Clarified the instructions for using LDAPURLs in referrals, and in 
     doing so added a recommendation that the scope part be present. 
  
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C.1.13 Section 4.1.12 
 
   - Specified how control values defined in terms of ASN.1 are to be 
     encoded. 
   - Added language regarding combinations of controls on a message. 
   - Changed "The server MUST be prepared" to "Implementations MUST be 
     prepared" in the eighth paragraph to reflect that both client and 
     server implementations must be able to handle this (as both parse 
     controls). 
 
 
C.1.14 Section 4.2 
 
   - Mandated that servers return protocolError when the version is not 
     supported. 
   - Clarified behavior when the simple authentication is used, the 
     name is empty and the password is non-empty. 
   - Required servers to not dereference aliases for bind. This was 
     added for consistency with other operations and to help ensure 
     data consistency 
   - Required that textual passwords be transferred as UTF-8 encoded 
     Unicode, and added recommendations on string preparation. This was 
     to help ensure interoperability of passwords being sent from 
     different clients. 
 
 
C.1.15 Section 4.2.1 
 
   - This section was largely reorganized for readability and language 
     was added to clarify the authentication state of failed and 
     abandoned bind operations. 
   - Removed: "If a SASL transfer encryption or integrity mechanism has 
     been negotiated, that mechanism does not support the changing of 
     credentials from one identity to another, then the client MUST 
     instead establish a new connection." 
     Each SASL negotiation is, generally, independent of other SASL 
     negotiations. If there were dependencies between multiple 
     negotiations of a particular mechanism, the mechanism technical 
     specification should detail how applications are to deal with 
     them. LDAP should not require any special handling. And if an LDAP 
     client had used such a mechanism, it would have the option of 
     using another mechanism. 
   - Dropped MUST imperative in paragraph 3 to align with [Keywords]. 
    
    
C.1.16 Section 4.2.3 
 
   - Moved most error-related text to Appendix A, and added text 
     regarding certain errors used in conjunction with the bind 
     operation. 
   - Prohibited the server from specifying serverSaslCreds when not 
     appropriate. 
  
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C.1.17 Section 4.3 
 
   - Required both peers to cease transmission and close the connection 
     for the unbind operation. 
    
    
C.1.18 Section 4.4 
 
   - Added instructions for future specifications of Unsolicited 
     Notifications. 
    
    
C.1.19 Section 4.5.1 
 
   - SearchRequest attributes is now defined as an AttributeSelection 
     type rather than AttributeDescriptionList. 
   - The Filter choices 'and' and 'or', and the SubstringFilter 
     substrings types are now defined with a lower bound of 1. 
   - The SubstringFilter substrings 'initial, 'any', and 'final' types 
     are now AssertionValue rather than LDAPString. 
   - Clarified the semantics of the derefAliases choices. 
   - Added instructions for equalityMatch, substrings, greaterOrEqual, 
     lessOrEqual, and approxMatch. 
    
    
C.1.20 Section 4.5.2 
 
   - Recommended that servers not use attribute short names when it 
     knows they are ambiguous or may cause interoperability problems. 
   - Removed all mention of ExtendedResponse due to lack of 
     implementation. 
    
    
C.1.21 Section 4.5.3 
 
   - Made changes similar to those made to Section 4.1.11. 
    
    
C.1.22 Section 4.5.3.1 
 
   - Fixed examples to adhere to changes made to Section 4.5.3. 
    
    
C.1.23 Section 4.6 
 
   - Removed restriction that required an equality match filter in 
     order to perform value delete modifications. It is sufficiently 
     documented that in absence of an equality matching rule, octet 
     equality is used. 
   - Replaced AttributeTypeAndValues with Attribute as they are 
     equivalent. 

  
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   - Clarified what type of modification changes might temporarily 
     violate schema. 
    
    
C.1.24 Section 4.9 
 
   - Required servers to not dereference aliases for modify DN. This 
     was added for consistency with other operations and to help ensure 
     data consistency. 
   - Allow modify DN to fail when moving between naming contexts. 
 
 
C.1.25 Section 4.10 
 
   - Clarified the semantics of Compare when the attribute is not 
     present and when it is unknown. 
   - Required servers to not dereference aliases for compare. This was 
     added for consistency with other operations and to help ensure 
     data consistency. 
    
    
C.1.26 Section 4.11 
 
   - Explained that since abandon returns no response, clients hould 
     not use it if they need to know the outcome. 
   - Specified that Abandon and Unbind cannot be abandoned.  
    
 
C.1.27 Section 4.12 
 
   - Specified how values of extended operations defined in terms of 
     ASN.1 are to be encoded. 
   - Added instructions on what extended operation specifications 
     consist of. 
   - Added a recommendation that servers advertise supported extended 
     operations. 
 
 
C.1.28 Section 5.2 
 
   - Moved referral-specific instructions into referral-related 
     sections. 
 
 
C.1.29 Section 7 
 
   - Reworded notes regarding SASL not protecting certain aspects of 
     the LDAP bind PDU. 
   - Noted that Servers are encouraged to prevent directory 
     modifications by clients that have authenticated anonymously 
     [AuthMeth].  
   - Added a note regarding the scenario where an identity is changed 
     (deleted, privileges or credentials modified, etc.). 

  
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   - Warned against following referrals that may have been injected in 
     the data stream. 
   - Added a note regarding malformed and long encodings. 
 
 
C.1.30 Appendix A 
 
   - Added "EXTESIBILITY IMPLIED" to ASN.1 definition. 
   - Removed AttributeType. It is not used. 
 
 
C.2 Changes made to made to RFC 2830: 
    
   This section summarizes the substantive changes made to Sections of 
   RFC 2830. Readers should consult [AuthMeth] for summaries of changes 
   to other sections. 
    
    
C.2.1 Section 2.3 
 
   - Removed wording indicating that referrals can be returned from 
     StartTLS 
    
    
C.2.1 Section 4.13.3.1 
    
   - Reworded most of this section and added the requirement that after 
     the TLS connection has been closed, the server MUST NOT send 
     responses to any request message received before the TLS closure. 
    
 























  
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Intellectual Property Rights 
 
   The IETF takes no position regarding the validity or scope of any 
   intellectual property or other rights that might be claimed to 
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