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openldap/doc/rfc/rfc4373.txt
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Network Working Group R. Harrison
Request for Comments: 4373 J. Sermersheim
Category: Informational Novell, Inc.
Y. Dong
January 2006
Lightweight Directory Access Protocol (LDAP)
Bulk Update/Replication Protocol (LBURP)
Status of This Memo
This memo provides information for the Internet community. It does
not specify an Internet standard of any kind. Distribution of this
memo is unlimited.
Copyright Notice
Copyright (C) The Internet Society (2006).
Abstract
The Lightweight Directory Access Protocol (LDAP) Bulk
Update/Replication Protocol (LBURP) allows an LDAP client to perform
a bulk update to an LDAP server. The protocol frames a sequenced set
of update operations within a pair of LDAP extended operations to
notify the server that the update operations in the framed set are
related in such a way that the ordering of all operations can be
preserved during processing even when they are sent asynchronously by
the client. Update operations can be grouped within a single
protocol message to maximize the efficiency of client-server
communication.
The protocol is suitable for efficiently making a substantial set of
updates to the entries in an LDAP server.
Harrison, et al. Informational [Page 1]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
Table of Contents
1. Introduction ....................................................3
2. Conventions Used in This Document ...............................3
3. Overview of Protocol ............................................3
3.1. Update Initiation ..........................................4
3.2. Update Stream ..............................................4
3.2.1. LBURPUpdateRequest ..................................4
3.2.2. LBURPUpdateResponse .................................4
3.3. Update Termination .........................................4
3.4. Applicability of Protocol ..................................5
4. Description of Protocol Flow ....................................5
5. Elements of Protocol ............................................6
5.1. StartLBURPRequest ..........................................7
5.1.1. updateStyleOID ......................................7
5.2. StartLBURPResponse .........................................7
5.2.1. maxOperations .......................................8
5.3. LBURPUpdateRequest .........................................8
5.3.1. sequenceNumber ......................................8
5.3.2. UpdateOperationList .................................9
5.4. LBURPUpdateResponse ........................................9
5.4.1. OperationResults ...................................10
5.4.1.1. operationNumber ...........................10
5.4.1.2. ldapResult ................................10
5.5. EndLBURPRequest ...........................................10
5.5.1. sequenceNumber .....................................10
5.6. EndLBURPResponse ..........................................11
6. Semantics of the Incremental Update Style ......................11
7. General LBURP Semantics ........................................11
8. Security Considerations ........................................12
9. IANA Considerations ............................................13
9.1. LDAP Object Identifier Registrations ......................13
10. Normative References ..........................................14
11. Informative References ........................................14
Harrison, et al. Informational [Page 2]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
1. Introduction
The Lightweight Directory Access Protocol (LDAP) Bulk
Update/Replication Protocol (LBURP) arose from the need to allow an
LDAP client to efficiently present large quantities of updates to an
LDAP server and have the LDAP server efficiently process them. LBURP
introduces a minimum of new operational functionality to the LDAP
protocol because the update requests sent by the client encapsulate
standard LDAP [RFC2251] update operations. However, this protocol
greatly facilitates bulk updates by allowing the client to send the
update operations asynchronously and still allow the server to
maintain proper ordering of the operations. It also allows the
server to recognize the client's intent to perform a potentially
large set of update operations and then to change its processing
strategy to more efficiently process the operations.
2. Conventions Used in This Document
Imperative keywords defined in RFC 2119 [RFC2119] are used in this
document, and carry the meanings described there.
All Basic Encoding Rules (BER) [X.690] encodings follow the
conventions found in section 5.1 of [RFC2251].
The term "supplier" applies to an LDAP client or an LDAP server
(acting as a client) that supplies a set of update operations to a
consumer.
The term "consumer" applies to an LDAP server that consumes (i.e.,
processes) the sequenced set of update operations sent to it by a
supplier.
3. Overview of Protocol
LBURP frames a set of update operations within a pair of LDAP
extended operations that mark the beginning and end of the update
set. These updates are sent via LDAP extended operations, each
containing a sequence number and a list of one or more update
operations to be performed by the consumer. Except for the fact that
they are grouped together as part of a larger LDAP message, the
update operations in each subset are encoded as LDAP update
operations and use the LDAP Abstract Syntax Notation One (ASN.1)
[X.680] message types specified in [RFC2251].
Harrison, et al. Informational [Page 3]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
3.1. Update Initiation
The protocol is initiated when a supplier sends a StartLBURPRequest
extended operation to a consumer as a notification that a stream of
associated LBURPUpdateRequests will follow. The supplier associates
semantics with this stream of requests by including the Object
Identifier (OID) of the bulk update/replication style in the
StartLBURPRequest. The consumer responds to the StartLBURPRequest
with a StartLBURPResponse message.
3.2. Update Stream
After the consumer responds with a StartLBURPResponse, the supplier
sends a stream of LBURPUpdateRequest messages to the consumer.
Messages within this stream may be sent asynchronously to maximize
the efficiency of the transfer. The consumer responds to each
LBURPUpdateRequest with an LBURPUpdateResponse message.
3.2.1. LBURPUpdateRequest
Each LBURPUpdateRequest contains a sequence number identifying its
relative position within the update stream and an UpdateOperationList
containing an ordered list of LDAP update operations to be applied to
the Directory Information Tree (DIT). The sequence number enables
the consumer to process LBURPUpdateRequest messages in the order they
were sent by the supplier even when they are sent asynchronously.
The consumer processes each LBURPUpdateRequest according to the
sequence number by applying the LDAP update operations in its
UpdateOperationList to the DIT in the order they are listed.
3.2.2. LBURPUpdateResponse
When the consumer has processed the update operations from an
UpdateOperationList, it sends an LBURPUpdateResponse to the supplier
indicating the success or failure of the update operations contained
within the corresponding LBURPUpdateRequest.
3.3. Update Termination
After the supplier has sent all of its LBURPUpdateRequest messages,
it sends an EndLBURPRequest message to the consumer to terminate the
update stream. Upon servicing all LBURPOperation requests and
receiving the EndLBURPRequest, the consumer responds with an
EndLBURPResponse, and the update is complete.
Harrison, et al. Informational [Page 4]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
3.4. Applicability of Protocol
LBURP is designed to facilitate the bulk update of LDAP servers. It
can also be used to synchronize directory information between a
single master and multiple slaves.
No attempt is made to deal with the issues associated with multiple-
master replication environments (such as keeping modification times
of attribute values) so that updates to the same entry on different
replicas can be correctly ordered. For this reason, when LBURP alone
is used for replication, proper convergence of the data between all
replicas can only be assured in a single-master replication
environment.
4. Description of Protocol Flow
This section describes the LBURP protocol flow and the information
contained in each protocol message. Throughout this section, the
client or server acting as a supplier is indicated by the letter "S",
and the server acting as a consumer is indicated by the letter "C".
The construct "S -> C" indicates that the supplier is sending an LDAP
message to the consumer, and "C -> S" indicates that the consumer is
sending an LDAP message to the supplier. Note that the protocol flow
below assumes that a properly authenticated LDAP session has already
been established between the supplier and consumer.
S -> C: StartLBURPRequest message. The parameter is:
1) OID for the LBURP update style (see section 5.1.1).
C -> S: StartLBURPResponse message. The parameter is:
1) An optional maxOperations instruction
(see section 5.2.1).
S -> C: An update stream consisting of zero or more
LBURPUpdateRequest messages. The requests MAY be sent
asynchronously. The parameters are:
1) A sequence number specifying the order of
this LBURPUpdateRequest with respect to the
other LBURPUpdateRequest messages in the update
stream (see section 5.3.1).
2) LBURPUpdateRequest.updateOperationList, a list
of one or more LDAP update operations (see section
5.3.2).
Harrison, et al. Informational [Page 5]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
The consumer processes the LBURPUpdateRequest messages
in the order of their sequence numbers and applies the
LDAP update operations contained within each
LBURPUpdateRequest to the DIT in the order they are
listed.
C -> S: LBURPUpdateResponse message. This is sent when the
consumer completes processing the update operations
from each LBURPUpdateRequest.updateOperationList.
S -> C: EndLBURPRequest message. This is sent after the
supplier sends all of its LBURPUpdateRequest messages
to the consumer. The parameter is:
1) A sequence number that is one greater than the
sequence number of the last LBURPUpdateRequest
message in the update stream. This allows the
EndLBURPRequest to also be sent asynchronously.
C -> S: EndLBURPResponse message. This is sent in response to
the EndLBURPRequest after the consumer has serviced
all LBURPOperation requests.
5. Elements of Protocol
LBURP uses two LDAP ExtendedRequest messages--StartLBURPRequest and
EndLBURPRequest--to initiate and terminate the protocol. A third
LDAP ExtendedRequest message--LBURPUpdateRequest--is used to send
update operations from the supplier to the consumer. These three
requests along with their corresponding responses comprise the entire
protocol.
LBURP request messages are defined in terms of the LDAP
ExtendedRequest [RFC2251] as follows:
ExtendedRequest ::= [APPLICATION 23] SEQUENCE {
requestName [0] LDAPOID,
requestValue [1] OCTET STRING OPTIONAL
}
LBURP response messages are defined in terms of the LDAP
ExtendedResponse [RFC2251] as follows:
ExtendedResponse ::= [APPLICATION 24] SEQUENCE {
COMPONENTS of LDAPResult,
responseName [10] LDAPOID OPTIONAL,
response [11] OCTET STRING OPTIONAL
}
Harrison, et al. Informational [Page 6]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
5.1. StartLBURPRequest
The requestName value of the StartLBURPRequest is OID 1.3.6.1.1.17.1.
The requestValue of the StartLBURPRequest contains the BER-encoding
of the following ASN.1:
StartLBURPRequestValue ::= SEQUENCE {
updateStyleOID LDAPOID
}
LDAPOID is defined in [RFC2251], section 4.1.2.
5.1.1. updateStyleOID
The updateStyleOID is an OID that uniquely identifies the LBURP
update style being used. This document defines one LBURP update
semantic style that can be transmitted between the StartLBURPRequest
and EndLBURPRequest. The updateStyleOID is included in the protocol
for future expansion of additional update styles. For example, a
future specification might define an update style with semantics to
replace all existing entries with a new set of entries and thus only
allows the Add operation.
The updateStyleOID for the LBURP Incremental Update style is
1.3.6.1.1.17.7. The semantics of this update style are described in
section 6.
5.2. StartLBURPResponse
The responseName of the StartLBURPResponse is the OID 1.3.6.1.1.17.2.
The optional response element contains the BER-encoding of the
following ASN.1:
StartLBURPResponseValue ::= maxOperations
maxOperations ::= INTEGER (0 .. maxInt)
maxInt INTEGER ::= 2147483647 -- (2^^31 - 1) --
Harrison, et al. Informational [Page 7]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
5.2.1. maxOperations
When present, the value of maxOperations instructs the supplier to
send no more than that number of update operations per
LBURPUpdateRequest.updateOperationList (see section 5.3.2). If the
consumer does not send a maxOperations value, it MUST be prepared to
accept any number of update operations per
LBURPUpdateRequest.updateOperationList. The supplier MAY send fewer
but MUST NOT send more than maxOperations update operations in a
single LBURPUpdateRequest.updateOperationList.
5.3. LBURPUpdateRequest
The LBURPUpdateRequest message is used to send a set of zero or more
LDAP update operations from the supplier to the consumer along with
sequencing information that enables the consumer to maintain the
proper sequencing of multiple asynchronous LBURPUpdateRequest
messages.
The requestName of the LBURPUpdateRequest is the OID 1.3.6.1.1.17.5.
The requestValue of an LBURPOperation contains the BER-encoding of
the following ASN.1:
LBURPUpdateRequestValue ::= SEQUENCE {
sequenceNumber INTEGER (1 .. maxInt),
updateOperationList UpdateOperationList
}
5.3.1. sequenceNumber
The sequenceNumber orders associated LBURPOperation requests. This
enables the consumer to process LBURPOperation requests in the order
specified by the supplier. The supplier MUST set the value of
sequenceNumber of the first LBURPUpdateRequest to 1, and MUST
increment the value of sequenceNumber by 1 for each succeeding
LBURPUpdateRequest. In the unlikely event that the number of
LBURPUpdateRequest messages exceeds maxInt, a sequenceNumber value of
1 is deemed to be the succeeding sequence number following a sequence
number of maxInt.
Harrison, et al. Informational [Page 8]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
5.3.2. UpdateOperationList
The UpdateOperationList is a list of one or more standard LDAP update
requests and is defined as follows:
UpdateOperationList ::= SEQUENCE OF SEQUENCE{
updateOperation CHOICE {
addRequest AddRequest,
modifyRequest ModifyRequest,
delRequest DelRequest,
modDNRequest ModifyDNRequest
},
controls [0] Controls OPTIONAL
}
AddRequest, ModifyRequest, DelRequest, and ModifyDNRequest are
defined in [RFC2251], sections 4.6, 4.7, 4.8, and 4.9.
The LDAP update requests in the UpdateOperationList MUST be applied
to the DIT in the order in which they are listed.
5.4. LBURPUpdateResponse
An LBURPUpdateResponse message is sent from the consumer to the
supplier to signal that all of the update operations from the
UpdateOperationList of an LBURPUpdateRequest have been completed and
to give the results for the update operations from that list.
The responseName of the LBURPUpdateResponse is the OID
1.3.6.1.1.17.6.
If the consumer server cannot successfully decode an
LBURPUpdateRequest in its entirety, the resultCode for the
corresponding LBURPUpdateResponse is set to protocolError and the
response element is omitted. Updates from the LBURPUpdateRequest
SHALL NOT be committed to the DIT in this circumstance.
If the status of all of the update operations being reported by an
LBURPUpdateResponse message is success, the resultCode of the
LBURPUpdateResponse message is set to success and the response
element is omitted.
If the status of any of the update operations being reported by an
LBURPUpdateResponse message is something other than success, the
resultCode for the entire LBURPUpdateResponse is set to other to
signal that the response element is present.
Harrison, et al. Informational [Page 9]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
5.4.1. OperationResults
When a response element is included in an LBURPUpdateResponse
message, it contains the BER-encoding of the following ASN.1:
OperationResults ::= SEQUENCE OF OperationResult
OperationResult ::= SEQUENCE {
operationNumber INTEGER,
ldapResult LDAPResult
}
An OperationResult is included for each operation from the
UpdateOperationList that failed during processing.
5.4.1.1. operationNumber
The operationNumber identifies the LDAP update operation from the
UpdateOperationList of the LBURPUpdateRequest that failed.
Operations are numbered beginning at 1.
5.4.1.2. ldapResult
The ldapResult included in the OperationResult is the same ldapResult
that would be sent for the update operation that failed if it had
failed while being processed as a normal LDAP update operation.
LDAPResult is defined in [RFC2251], section 4.1.10.
5.5. EndLBURPRequest
The requestName of the EndLBURPRequest is the OID 1.3.6.1.1.17.3.
The requestValue contains the BER-encoding of the following ASN.1:
EndLBURPRequestValue::= SEQUENCE {
sequenceNumber INTEGER (1 .. maxInt)
}
5.5.1. sequenceNumber
The value in sequenceNumber is one greater than the last
LBURPUpdateRequest.sequenceNumber in the update stream. It allows
the server to know when it has received all outstanding asynchronous
LBURPUpdateRequests.
Harrison, et al. Informational [Page 10]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
5.6. EndLBURPResponse
The responseName of the EndLBURPResponse is the OID 1.3.6.1.1.17.4.
There is no response element in the EndLBURPResponse message.
6. Semantics of the Incremental Update Style
The initial state of entries in the consumer's DIT plus the
LBURPUpdateRequest messages in the update stream collectively
represent the desired final state of the consumer's DIT. All LDAP
update operations defined in [RFC2251]--Add, Modify, Delete, and
Modify DN--are allowed in the incremental update stream. All of the
semantics of those operations are in effect, so for instance, an
attempt to add an entry that already exists will fail just as it
would during a normal LDAP Add operation.
7. General LBURP Semantics
The consumer server may take any action required to efficiently
process the updates sent via LBURP, as long as the final state is
equivalent to that which would have been achieved if the updates in
the update stream had been applied to the DIT using normal LDAP
update operations.
The LBURPUpdateRequest messages that form the update stream MAY be
sent asynchronously by the supplier to the consumer. This means that
the supplier need not wait for an LBURPUpdateResponse message for one
LBURPUpdateRequest message before sending the next LBURPUpdateRequest
message.
When the LBURP update stream contains a request that affects multiple
Directory System Agents (DSAs), the consumer MAY choose to perform
the request or return a resultCode value of affectsMultipleDSAs. As
with any LDAP operation, a consumer MAY send a resultCode value of
referral as part of the OperationResult element for any operation on
an entry that it does not contain. If the consumer is configured to
do so, it MAY chain on behalf of the supplier to complete the update
operation instead.
While a consumer server is processing an LBURP update stream, it may
choose not to service LDAP requests on other connections. This
provision is designed to allow implementers the freedom to implement
highly-efficient methods of handling the update stream without being
constrained by the need to maintain a live, working DIT database
while doing so.
Harrison, et al. Informational [Page 11]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
If a consumer chooses to refuse LDAP operation requests from other
suppliers during LBURP update, it is RECOMMENDED that the consumer
refer those requests to another server that has the appropriate data
to complete the operation.
Unless attribute values specifying timestamps are included as part of
the update stream, updates made using LBURP are treated the same as
other LDAP operations wherein they are deemed to occur at the
present. Consumers MAY store timestamp values sent by suppliers but
are not required to do so.
Implementations may choose to perform the operations in the update
stream with special permissions to improve performance.
Consumer implementations should include functionality to detect and
terminate connections on which an LBURP session has been initiated
but information (such as the EndLBURPRequest) needed to complete the
LBURP session is never received. A timeout is one mechanism that can
be used to accomplish this.
8. Security Considerations
Implementations should ensure that a supplier making an LBURP request
is properly authenticated and authorized to make the updates
requested. There is a potential for loss of data if updates are made
to the DIT without proper authorization. If LBURP is used for
replication, implementers should note that unlike other replication
protocols, no existing replication agreement between supplier and
consumer is required. These risks increase if the consumer server
also processes the update stream with special permissions to improve
performance. For these reasons, implementers should carefully
consider which permissions should be required to perform LBURP
operations and take steps to ensure that only connections with
appropriate authorization are allowed to perform them.
The data contained in the update stream may contain passwords and
other sensitive data. Care should be taken to properly safeguard
this information while in transit between supplier and consumer. The
StartTLS [RFC2830] operation is one mechanism that can be used to
provide data confidentiality and integrity services for this purpose.
As with any asynchronous LDAP operation, it may be possible for an
LBURP supplier to send asynchronous LBURPUpdateRequest messages to
the consumer faster than the consumer can process them. Consumer
implementers should take steps to prevent LBURP suppliers from
interfering with the normal operation of a consumer server by issuing
a rapid stream of asynchronous LBURPUpdateRequest messages.
Harrison, et al. Informational [Page 12]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
9. IANA Considerations
Registration of the following values has been made by the IANA
[RFC3383].
9.1. LDAP Object Identifier Registrations
The IANA has registered LDAP Object Identifiers identifying the
protocol elements defined in this technical specification. The
following registration template was provided:
Subject: Request for LDAP OID Registration
Person & email address to contact for further information:
Roger Harrison
rharrison@novell.com
Specification: RFC 4373
Author/Change Controller: IESG
Comments:
Seven delegations will be made under the assigned OID. The
following 6 OIDs are Protocol Mechanism OIDs of type "E"
(supportedExtension):
1.3.6.1.1.17.1 StartLBURPRequest LDAP ExtendedRequest message
1.3.6.1.1.17.2 StartLBURPResponse LDAP ExtendedResponse message
1.3.6.1.1.17.3 EndLBURPRequest LDAP ExtendedRequest message
1.3.6.1.1.17.4 EndLBURPResponse LDAP ExtendedResponse message
1.3.6.1.1.17.5 LBURPUpdateRequest LDAP ExtendedRequest message
1.3.6.1.1.17.6 LBURPUpdateResponse LDAP ExtendedResponse message
The following 1 OID is a Protocol Mechanism OID of type "F"
(supportedFeature):
1.3.6.1.1.17.7 LBURP Incremental Update style OID
Harrison, et al. Informational [Page 13]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
10. Normative References
[RFC2119] Bradner, S., "Key Words for use in RFCs to Indicate
Requirement Levels", BCP 14, RFC 2119, March 1997.
[RFC2251] Wahl, M., Howes, T., and S. Kille, "Lightweight Directory
Access Protocol (v3)", RFC 2251, December 1997.
[RFC3383] Zeilenga, K., "Internet Assigned Numbers Authority (IANA)
Considerations for the Lightweight Directory Access
Protocol (LDAP)", BCP 64, RFC 3383, September 2002.
[X.680] ITU-T Recommendation X.680 (07/2002) | ISO/IEC 8824-1:2002
"Information Technology - Abstract Syntax Notation One
(ASN.1): Specification of basic notation"
[X.690] 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.
11. Informative References
[RFC2830] Hodges, J., Morgan, R., and M. Wahl, "Lightweight
Directory Access Protocol (v3): Extension for Transport
Layer Security", RFC 2830, May 2000.
Harrison, et al. Informational [Page 14]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
Authors' Addresses
Roger Harrison
Novell, Inc.
1800 S. Novell Place
Provo, UT 84606
Phone: +1 801 861 2642
EMail: rharrison@novell.com
Jim Sermersheim
Novell, Inc.
1800 S. Novell Place
Provo, UT 84606
Phone: +1 801 861 3088
EMail: jimse@novell.com
Yulin Dong
EMail: yulindong@gmail.com
Harrison, et al. Informational [Page 15]
RFC 4373 LDAP Bulk Update/Replication Protocol January 2006
Full Copyright Statement
Copyright (C) The Internet Society (2006).
This document is subject to the rights, licenses and restrictions
contained in BCP 78, and except as set forth therein, the authors
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Acknowledgement
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Harrison, et al. Informational [Page 16]
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