Roxen Community: RFC 3010 NFS version 4 Protocol (Standards Track)

[Text version]

This RFC is obsoleted by: RFC 3530

Network Working Group
Request for Comments: 3010
Obsoletes: 1813, 1094
Category: Standards Track S. Shepler
B. Callaghan
D. Robinson
R. Thurlow
Sun Microsystems Inc.
C. Beame
Hummingbird Ltd.
M. Eisler
Zambeel, Inc.
D. Noveck
Network Appliance, Inc.
December 2000
Status of this Memo

This document specifies an Internet standards track protocol for the Internet community, and requests discussion and suggestions for improvements. Please refer to the current edition of the "Internet Official Protocol Standards" (STD 1) for the standardization state and status of this protocol. Distribution of this memo is unlimited.

Copyright Notice

Copyright © The Internet Society (2000). All Rights Reserved.

Abstract

NFS (Network File System) version 4 is a distributed file system protocol which owes heritage to NFS protocol versions 2 [RFC1094] and 3 [RFC1813]. Unlike earlier versions, the NFS version 4 protocol supports traditional file access while integrating support for file locking and the mount protocol. In addition, support for strong security (and its negotiation), compound operations, client caching, and internationalization have been added. Of course, attention has been applied to making NFS version 4 operate well in an Internet environment.

Key Words

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

Table of Contents
1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . 5 1.1. Overview of NFS Version 4 Features . . . . . . . . . . . . 6 1.1.1. RPC and Security . . . . . . . . . . . . . . . . . . . . 6 1.1.2. Procedure and Operation Structure . . . . . . . . . . . 7 1.1.3. File System Model . . . . . . . . . . . . . . . . . . . 8 1.1.3.1. Filehandle Types . . . . . . . . . . . . . . . . . . . 8 1.1.3.2. Attribute Types . . . . . . . . . . . . . . . . . . . 8 1.1.3.3. File System Replication and Migration . . . . . . . . 9 1.1.4. OPEN and CLOSE . . . . . . . . . . . . . . . . . . . . . 9 1.1.5. File locking . . . . . . . . . . . . . . . . . . . . . . 9 1.1.6. Client Caching and Delegation . . . . . . . . . . . . . 10 1.2. General Definitions . . . . . . . . . . . . . . . . . . . 11 2. Protocol Data Types . . . . . . . . . . . . . . . . . . . . 12 2.1. Basic Data Types . . . . . . . . . . . . . . . . . . . . . 12 2.2. Structured Data Types . . . . . . . . . . . . . . . . . . 14 3. RPC and Security Flavor . . . . . . . . . . . . . . . . . . 18 3.1. Ports and Transports . . . . . . . . . . . . . . . . . . . 18 3.2. Security Flavors . . . . . . . . . . . . . . . . . . . . . 18 3.2.1. Security mechanisms for NFS version 4 . . . . . . . . . 19 3.2.1.1. Kerberos V5 as security triple . . . . . . . . . . . . 19 3.2.1.2. LIPKEY as a security triple . . . . . . . . . . . . . 19 3.2.1.3. SPKM-3 as a security triple . . . . . . . . . . . . . 20 3.3. Security Negotiation . . . . . . . . . . . . . . . . . . . 21 3.3.1. Security Error . . . . . . . . . . . . . . . . . . . . . 21 3.3.2. SECINFO . . . . . . . . . . . . . . . . . . . . . . . . 21 3.4. Callback RPC Authentication . . . . . . . . . . . . . . . 22 4. Filehandles . . . . . . . . . . . . . . . . . . . . . . . . 23 4.1. Obtaining the First Filehandle . . . . . . . . . . . . . . 24 4.1.1. Root Filehandle . . . . . . . . . . . . . . . . . . . . 24 4.1.2. Public Filehandle . . . . . . . . . . . . . . . . . . . 24 4.2. Filehandle Types . . . . . . . . . . . . . . . . . . . . . 25 4.2.1. General Properties of a Filehandle . . . . . . . . . . . 25 4.2.2. Persistent Filehandle . . . . . . . . . . . . . . . . . 26 4.2.3. Volatile Filehandle . . . . . . . . . . . . . . . . . . 26 4.2.4. One Method of Constructing a Volatile Filehandle . . . . 28 4.3. Client Recovery from Filehandle Expiration . . . . . . . . 28 5. File Attributes . . . . . . . . . . . . . . . . . . . . . . 29 5.1. Mandatory Attributes . . . . . . . . . . . . . . . . . . . 30 5.2. Recommended Attributes . . . . . . . . . . . . . . . . . . 30 5.3. Named Attributes . . . . . . . . . . . . . . . . . . . . . 31 5.4. Mandatory Attributes - Definitions . . . . . . . . . . . . 31 5.5. Recommended Attributes - Definitions . . . . . . . . . . . 33 5.6. Interpreting owner and owner_group . . . . . . . . . . . . 38 5.7. Character Case Attributes . . . . . . . . . . . . . . . . 39 5.8. Quota Attributes . . . . . . . . . . . . . . . . . . . . . 39 5.9. Access Control Lists . . . . . . . . . . . . . . . . . . . 40
5.9.1. ACE type . . . . . . . . . . . . . . . . . . . . . . . . 41 5.9.2. ACE flag . . . . . . . . . . . . . . . . . . . . . . . . 41 5.9.3. ACE Access Mask . . . . . . . . . . . . . . . . . . . . 43 5.9.4. ACE who . . . . . . . . . . . . . . . . . . . . . . . . 44 6. File System Migration and Replication . . . . . . . . . . . 44 6.1. Replication . . . . . . . . . . . . . . . . . . . . . . . 45 6.2. Migration . . . . . . . . . . . . . . . . . . . . . . . . 45 6.3. Interpretation of the fs_locations Attribute . . . . . . . 46 6.4. Filehandle Recovery for Migration or Replication . . . . . 47 7. NFS Server Name Space . . . . . . . . . . . . . . . . . . . 47 7.1. Server Exports . . . . . . . . . . . . . . . . . . . . . . 47 7.2. Browsing Exports . . . . . . . . . . . . . . . . . . . . . 48 7.3. Server Pseudo File System . . . . . . . . . . . . . . . . 48 7.4. Multiple Roots . . . . . . . . . . . . . . . . . . . . . . 49 7.5. Filehandle Volatility . . . . . . . . . . . . . . . . . . 49 7.6. Exported Root . . . . . . . . . . . . . . . . . . . . . . 49 7.7. Mount Point Crossing . . . . . . . . . . . . . . . . . . . 49 7.8. Security Policy and Name Space Presentation . . . . . . . 50 8. File Locking and Share Reservations . . . . . . . . . . . . 50 8.1. Locking . . . . . . . . . . . . . . . . . . . . . . . . . 51 8.1.1. Client ID . . . . . . . . . . . . . . . . . . . . . . . 51 8.1.2. Server Release of Clientid . . . . . . . . . . . . . . . 53 8.1.3. nfs_lockowner and stateid Definition . . . . . . . . . . 54 8.1.4. Use of the stateid . . . . . . . . . . . . . . . . . . . 55 8.1.5. Sequencing of Lock Requests . . . . . . . . . . . . . . 56 8.1.6. Recovery from Replayed Requests . . . . . . . . . . . . 56 8.1.7. Releasing nfs_lockowner State . . . . . . . . . . . . . 57 8.2. Lock Ranges . . . . . . . . . . . . . . . . . . . . . . . 57 8.3. Blocking Locks . . . . . . . . . . . . . . . . . . . . . . 58 8.4. Lease Renewal . . . . . . . . . . . . . . . . . . . . . . 58 8.5. Crash Recovery . . . . . . . . . . . . . . . . . . . . . . 59 8.5.1. Client Failure and Recovery . . . . . . . . . . . . . . 59 8.5.2. Server Failure and Recovery . . . . . . . . . . . . . . 60 8.5.3. Network Partitions and Recovery . . . . . . . . . . . . 62 8.6. Recovery from a Lock Request Timeout or Abort . . . . . . 63 8.7. Server Revocation of Locks . . . . . . . . . . . . . . . . 63 8.8. Share Reservations . . . . . . . . . . . . . . . . . . . . 65 8.9. OPEN/CLOSE Operations . . . . . . . . . . . . . . . . . . 65 8.10. Open Upgrade and Downgrade . . . . . . . . . . . . . . . 66 8.11. Short and Long Leases . . . . . . . . . . . . . . . . . . 66 8.12. Clocks and Calculating Lease Expiration . . . . . . . . . 67 8.13. Migration, Replication and State . . . . . . . . . . . . 67 8.13.1. Migration and State . . . . . . . . . . . . . . . . . . 67 8.13.2. Replication and State . . . . . . . . . . . . . . . . . 68 8.13.3. Notification of Migrated Lease . . . . . . . . . . . . 69 9. Client-Side Caching . . . . . . . . . . . . . . . . . . . . 69 9.1. Performance Challenges for Client-Side Caching . . . . . . 70 9.2. Delegation and Callbacks . . . . . . . . . . . . . . . . . 71
9.2.1. Delegation Recovery . . . . . . . . . . . . . . . . . . 72 9.3. Data Caching . . . . . . . . . . . . . . . . . . . . . . . 74 9.3.1. Data Caching and OPENs . . . . . . . . . . . . . . . . . 74 9.3.2. Data Caching and File Locking . . . . . . . . . . . . . 75 9.3.3. Data Caching and Mandatory File Locking . . . . . . . . 77 9.3.4. Data Caching and File Identity . . . . . . . . . . . . . 77 9.4. Open Delegation . . . . . . . . . . . . . . . . . . . . . 78 9.4.1. Open Delegation and Data Caching . . . . . . . . . . . . 80 9.4.2. Open Delegation and File Locks . . . . . . . . . . . . . 82 9.4.3. Recall of Open Delegation . . . . . . . . . . . . . . . 82 9.4.4. Delegation Revocation . . . . . . . . . . . . . . . . . 84 9.5. Data Caching and Revocation . . . . . . . . . . . . . . . 84 9.5.1. Revocation Recovery for Write Open Delegation . . . . . 85 9.6. Attribute Caching . . . . . . . . . . . . . . . . . . . . 85 9.7. Name Caching . . . . . . . . . . . . . . . . . . . . . . . 86 9.8. Directory Caching . . . . . . . . . . . . . . . . . . . . 87 10. Minor Versioning . . . . . . . . . . . . . . . . . . . . . 88 11. Internationalization . . . . . . . . . . . . . . . . . . . 91 11.1. Universal Versus Local Character Sets . . . . . . . . . . 91 11.2. Overview of Universal Character Set Standards . . . . . . 92 11.3. Difficulties with UCS-4, UCS-2, Unicode . . . . . . . . . 93 11.4. UTF-8 and its solutions . . . . . . . . . . . . . . . . . 94 11.5. Normalization . . . . . . . . . . . . . . . . . . . . . . 94 12. Error Definitions . . . . . . . . . . . . . . . . . . . . . 95 13. NFS Version 4 Requests . . . . . . . . . . . . . . . . . . 99 13.1. Compound Procedure . . . . . . . . . . . . . . . . . . . 100 13.2. Evaluation of a Compound Request . . . . . . . . . . . . 100 13.3. Synchronous Modifying Operations . . . . . . . . . . . . 101 13.4. Operation Values . . . . . . . . . . . . . . . . . . . . 102 14. NFS Version 4 Procedures . . . . . . . . . . . . . . . . . 102 14.1. Procedure 0: NULL - No Operation . . . . . . . . . . . . 102 14.2. Procedure 1: COMPOUND - Compound Operations . . . . . . . 102 14.2.1. Operation 3: ACCESS - Check Access Rights . . . . . . . 105 14.2.2. Operation 4: CLOSE - Close File . . . . . . . . . . . . 108 14.2.3. Operation 5: COMMIT - Commit Cached Data . . . . . . . 109 14.2.4. Operation 6: CREATE - Create a Non-Regular File Object. 112 14.2.5. Operation 7: DELEGPURGE - Purge Delegations Awaiting Recovery . . . . . . . . . . . . . . . . . . . . . . . 114 14.2.6. Operation 8: DELEGRETURN - Return Delegation . . . . . 115 14.2.7. Operation 9: GETATTR - Get Attributes . . . . . . . . . 115 14.2.8. Operation 10: GETFH - Get Current Filehandle . . . . . 117 14.2.9. Operation 11: LINK - Create Link to a File . . . . . . 118 14.2.10. Operation 12: LOCK - Create Lock . . . . . . . . . . . 119 14.2.11. Operation 13: LOCKT - Test For Lock . . . . . . . . . 121 14.2.12. Operation 14: LOCKU - Unlock File . . . . . . . . . . 122 14.2.13. Operation 15: LOOKUP - Lookup Filename . . . . . . . . 123 14.2.14. Operation 16: LOOKUPP - Lookup Parent Directory . . . 126
14.2.15. Operation 17: NVERIFY - Verify Difference in Attributes . . . . . . . . . . . . . . . . . . . . . . 127 14.2.16. Operation 18: OPEN - Open a Regular File . . . . . . . 128 14.2.17. Operation 19: OPENATTR - Open Named Attribute Directory . . . . . . . . . . . . . . . . . . . . . . 137 14.2.18. Operation 20: OPEN_CONFIRM - Confirm Open . . . . . . 138 14.2.19. Operation 21: OPEN_DOWNGRADE - Reduce Open File Access 140 14.2.20. Operation 22: PUTFH - Set Current Filehandle . . . . . 141 14.2.21. Operation 23: PUTPUBFH - Set Public Filehandle . . . . 142 14.2.22. Operation 24: PUTROOTFH - Set Root Filehandle . . . . 143 14.2.23. Operation 25: READ - Read from File . . . . . . . . . 144 14.2.24. Operation 26: READDIR - Read Directory . . . . . . . . 146 14.2.25. Operation 27: READLINK - Read Symbolic Link . . . . . 150 14.2.26. Operation 28: REMOVE - Remove Filesystem Object . . . 151 14.2.27. Operation 29: RENAME - Rename Directory Entry . . . . 153 14.2.28. Operation 30: RENEW - Renew a Lease . . . . . . . . . 155 14.2.29. Operation 31: RESTOREFH - Restore Saved Filehandle . . 156 14.2.30. Operation 32: SAVEFH - Save Current Filehandle . . . . 157 14.2.31. Operation 33: SECINFO - Obtain Available Security . . 158 14.2.32. Operation 34: SETATTR - Set Attributes . . . . . . . . 160 14.2.33. Operation 35: SETCLIENTID - Negotiate Clientid . . . . 162 14.2.34. Operation 36: SETCLIENTID_CONFIRM - Confirm Clientid . 163 14.2.35. Operation 37: VERIFY - Verify Same Attributes . . . . 164 14.2.36. Operation 38: WRITE - Write to File . . . . . . . . . 166 15. NFS Version 4 Callback Procedures . . . . . . . . . . . . . 170 15.1. Procedure 0: CB_NULL - No Operation . . . . . . . . . . . 170 15.2. Procedure 1: CB_COMPOUND - Compound Operations . . . . . 171 15.2.1. Operation 3: CB_GETATTR - Get Attributes . . . . . . . 172 15.2.2. Operation 4: CB_RECALL - Recall an Open Delegation . . 173 16. Security Considerations . . . . . . . . . . . . . . . . . . 174 17. IANA Considerations . . . . . . . . . . . . . . . . . . . . 174 17.1. Named Attribute Definition . . . . . . . . . . . . . . . 174 18. RPC definition file . . . . . . . . . . . . . . . . . . . . 175 19. Bibliography . . . . . . . . . . . . . . . . . . . . . . . 206 20. Authors . . . . . . . . . . . . . . . . . . . . . . . . . . 210 20.1. Editor's Address . . . . . . . . . . . . . . . . . . . . 210 20.2. Authors' Addresses . . . . . . . . . . . . . . . . . . . 210 20.3. Acknowledgements . . . . . . . . . . . . . . . . . . . . 211 21. Full Copyright Statement . . . . . . . . . . . . . . . . . 212
1. Introduction

The NFS version 4 protocol is a further revision of the NFS protocol defined already by versions 2 [RFC1094] and 3 [RFC1813]. It retains the essential characteristics of previous versions: design for easy recovery, independent of transport protocols, operating systems and filesystems, simplicity, and good performance. The NFS version 4 revision has the following goals:
o Improved access and good performance on the Internet.
The protocol is designed to transit firewalls easily, perform well where latency is high and bandwidth is low, and scale to very large numbers of clients per server.
o Strong security with negotiation built into the protocol.
The protocol builds on the work of the ONCRPC working group in supporting the RPCSEC_GSS protocol. Additionally, the NFS version 4 protocol provides a mechanism to allow clients and servers the ability to negotiate security and require clients and servers to support a minimal set of security schemes.
o Good cross-platform interoperability.
The protocol features a file system model that provides a useful, common set of features that does not unduly favor one file system or operating system over another.
o Designed for protocol extensions.
The protocol is designed to accept standard extensions that do not compromise backward compatibility.
1.1. Overview of NFS Version 4 Features

To provide a reasonable context for the reader, the major features of NFS version 4 protocol will be reviewed in brief. This will be done to provide an appropriate context for both the reader who is familiar with the previous versions of the NFS protocol and the reader that is new to the NFS protocols. For the reader new to the NFS protocols, there is still a fundamental knowledge that is expected. The reader should be familiar with the XDR and RPC protocols as described in [RFC1831] and [RFC1832]. A basic knowledge of file systems and distributed file systems is expected as well.

1.1.1. RPC and Security

As with previous versions of NFS, the External Data Representation (XDR) and Remote Procedure Call (RPC) mechanisms used for the NFS version 4 protocol are those defined in [RFC1831] and [RFC1832]. To meet end to end security requirements, the RPCSEC_GSS framework [RFC2203] will be used to extend the basic RPC security. With the use of RPCSEC_GSS, various mechanisms can be provided to offer authentication, integrity, and privacy to the NFS version 4 protocol. Kerberos V5 will be used as described in [RFC1964] to provide one security framework. The LIPKEY GSS-API mechanism described in
[RFC2847] will be used to provide for the use of user password and server public key by the NFS version 4 protocol. With the use of RPCSEC_GSS, other mechanisms may also be specified and used for NFS version 4 security.
To enable in-band security negotiation, the NFS version 4 protocol has added a new operation which provides the client a method of querying the server about its policies regarding which security mechanisms must be used for access to the server's file system resources. With this, the client can securely match the security mechanism that meets the policies specified at both the client and server.

1.1.2. Procedure and Operation Structure

A significant departure from the previous versions of the NFS protocol is the introduction of the COMPOUND procedure. For the NFS version 4 protocol, there are two RPC procedures, NULL and COMPOUND. The COMPOUND procedure is defined in terms of operations and these operations correspond more closely to the traditional NFS procedures. With the use of the COMPOUND procedure, the client is able to build simple or complex requests. These COMPOUND requests allow for a reduction in the number of RPCs needed for logical file system operations. For example, without previous contact with a server a client will be able to read data from a file in one request by combining LOOKUP, OPEN, and READ operations in a single COMPOUND RPC. With previous versions of the NFS protocol, this type of single request was not possible.

The model used for COMPOUND is very simple. There is no logical OR or ANDing of operations. The operations combined within a COMPOUND request are evaluated in order by the server. Once an operation returns a failing result, the evaluation ends and the results of all evaluated operations are returned to the client.
The NFS version 4 protocol continues to have the client refer to a file or directory at the server by a "filehandle". The COMPOUND procedure has a method of passing a filehandle from one operation to another within the sequence of operations. There is a concept of a "current filehandle" and "saved filehandle". Most operations use the "current filehandle" as the file system object to operate upon. The "saved filehandle" is used as temporary filehandle storage within a COMPOUND procedure as well as an additional operand for certain operations.

1.1.3. File System Model

The general file system model used for the NFS version 4 protocol is the same as previous versions. The server file system is hierarchical with the regular files contained within being treated as opaque byte streams. In a slight departure, file and directory names are encoded with UTF-8 to deal with the basics of internationalization.

The NFS version 4 protocol does not require a separate protocol to provide for the initial mapping between path name and filehandle. Instead of using the older MOUNT protocol for this mapping, the server provides a ROOT filehandle that represents the logical root or top of the file system tree provided by the server. The server provides multiple file systems by gluing them together with pseudo file systems. These pseudo file systems provide for potential gaps in the path names between real file systems.

1.1.3.1. Filehandle Types

In previous versions of the NFS protocol, the filehandle provided by the server was guaranteed to be valid or persistent for the lifetime of the file system object to which it referred. For some server implementations, this persistence requirement has been difficult to meet. For the NFS version 4 protocol, this requirement has been relaxed by introducing another type of filehandle, volatile. With persistent and volatile filehandle types, the server implementation can match the abilities of the file system at the server along with the operating environment. The client will have knowledge of the type of filehandle being provided by the server and can be prepared to deal with the semantics of each.

1.1.3.2. Attribute Types

The NFS version 4 protocol introduces three classes of file system or file attributes. Like the additional filehandle type, the classification of file attributes has been done to ease server implementations along with extending the overall functionality of the NFS protocol. This attribute model is structured to be extensible such that new attributes can be introduced in minor revisions of the protocol without requiring significant rework.

The three classifications are: mandatory, recommended and named attributes. This is a significant departure from the previous attribute model used in the NFS protocol. Previously, the attributes for the file system and file objects were a fixed set of mainly Unix attributes. If the server or client did not support a particular attribute, it would have to simulate the attribute the best it could. Mandatory attributes are the minimal set of file or file system attributes that must be provided by the server and must be properly represented by the server. Recommended attributes represent different file system types and operating environments. The recommended attributes will allow for better interoperability and the inclusion of more operating environments. The mandatory and recommended attribute sets are traditional file or file system attributes. The third type of attribute is the named attribute. A named attribute is an opaque byte stream that is associated with a directory or file and referred to by a string name. Named attributes are meant to be used by client applications as a method to associate application specific data with a regular file or directory.
One significant addition to the recommended set of file attributes is the Access Control List (ACL) attribute. This attribute provides for directory and file access control beyond the model used in previous versions of the NFS protocol. The ACL definition allows for specification of user and group level access control.

1.1.3.3. File System Replication and Migration

With the use of a special file attribute, the ability to migrate or replicate server file systems is enabled within the protocol. The file system locations attribute provides a method for the client to probe the server about the location of a file system. In the event of a migration of a file system, the client will receive an error when operating on the file system and it can then query as to the new file system location. Similar steps are used for replication, the client is able to query the server for the multiple available locations of a particular file system. From this information, the client can use its own policies to access the appropriate file system location.

1.1.4. OPEN and CLOSE

The NFS version 4 protocol introduces OPEN and CLOSE operations. The OPEN operation provides a single point where file lookup, creation, and share semantics can be combined. The CLOSE operation also provides for the release of state accumulated by OPEN.

1.1.5. File locking

With the NFS version 4 protocol, the support for byte range file locking is part of the NFS protocol. The file locking support is structured so that an RPC callback mechanism is not required. This is a departure from the previous versions of the NFS file locking protocol, Network Lock Manager (NLM). The state associated with file locks is maintained at the server under a lease-based model. The
server defines a single lease period for all state held by a NFS client. If the client does not renew its lease within the defined period, all state associated with the client's lease may be released by the server. The client may renew its lease with use of the RENEW operation or implicitly by use of other operations (primarily READ).

1.1.6. Client Caching and Delegation

The file, attribute, and directory caching for the NFS version 4 protocol is similar to previous versions. Attributes and directory information are cached for a duration determined by the client. At the end of a predefined timeout, the client will query the server to see if the related file system object has been updated.

For file data, the client checks its cache validity when the file is opened. A query is sent to the server to determine if the file has been changed. Based on this information, the client determines if the data cache for the file should kept or released. Also, when the file is closed, any modified data is written to the server.
If an application wants to serialize access to file data, file locking of the file data ranges in question should be used.
The major addition to NFS version 4 in the area of caching is the ability of the server to delegate certain responsibilities to the client. When the server grants a delegation for a file to a client, the client is guaranteed certain semantics with respect to the sharing of that file with other clients. At OPEN, the server may provide the client either a read or write delegation for the file. If the client is granted a read delegation, it is assured that no other client has the ability to write to the file for the duration of the delegation. If the client is granted a write delegation, the client is assured that no other client has read or write access to the file.
Delegations can be recalled by the server. If another client requests access to the file in such a way that the access conflicts with the granted delegation, the server is able to notify the initial client and recall the delegation. This requires that a callback path exist between the server and client. If this callback path does not exist, then delegations can not be granted. The essence of a delegation is that it allows the client to locally service operations such as OPEN, CLOSE, LOCK, LOCKU, READ, WRITE without immediate interaction with the server.

1.2. General Definitions

The following definitions are provided for the purpose of providing an appropriate context for the reader.
Client The "client" is the entity that accesses the NFS server's resources. The client may be an application which contains the logic to access the NFS server directly. The client may also be the traditional operating system client remote file system services for a set of applications.
In the case of file locking the client is the entity that maintains a set of locks on behalf of one or more applications. This client is responsible for crash or failure recovery for those locks it manages.
Note that multiple clients may share the same transport and multiple clients may exist on the same network node.
Clientid A 64-bit quantity used as a unique, short-hand reference to a client supplied Verifier and ID. The server is responsible for supplying the Clientid.
Lease An interval of time defined by the server for which the client is irrevocably granted a lock. At the end of a lease period the lock may be revoked if the lease has not been extended. The lock must be revoked if a conflicting lock has been granted after the lease interval.
All leases granted by a server have the same fixed interval. Note that the fixed interval was chosen to alleviate the expense a server would have in maintaining state about variable length leases across server failures.
Lock The term "lock" is used to refer to both record (byte- range) locks as well as file (share) locks unless specifically stated otherwise.
Server The "Server" is the entity responsible for coordinating client access to a set of file systems.
Stable Storage NFS version 4 servers must be able to recover without data loss from multiple power failures (including cascading power failures, that is, several power failures in quick succession), operating system failures, and hardware failure of components other than the storage medium itself (for example, disk, nonvolatile RAM).
Some examples of stable storage that are allowable for an NFS server include:
1. Media commit of data, that is, the modified data has been successfully written to the disk media, for example, the disk platter.
2. An immediate reply disk drive with battery-backed on- drive intermediate storage or uninterruptible power system (UPS).
3. Server commit of data with battery-backed intermediate storage and recovery software.
4. Cache commit with uninterruptible power system (UPS) and recovery software.
Stateid A 64-bit quantity returned by a server that uniquely defines the locking state granted by the server for a specific lock owner for a specific file.
Stateids composed of all bits 0 or all bits 1 have special meaning and are reserved values.
Verifier A 64-bit quantity generated by the client that the server can use to determine if the client has restarted and lost all previous lock state.
2. Protocol Data Types

The syntax and semantics to describe the data types of the NFS version 4 protocol are defined in the XDR [RFC1832] and RPC [RFC1831] documents. The next sections build upon the XDR data types to define types and structures specific to this protocol.

2.1. Basic Data Types
Data Type Definition _____________________________________________________________________ int32_t typedef int int32_t;
uint32_t typedef unsigned int uint32_t;
int64_t typedef hyper int64_t;
uint64_t typedef unsigned hyper uint64_t;
attrlist4 typedef opaque attrlist4<>; Used for file/directory attributes
bitmap4 typedef uint32_t bitmap4<>; Used in attribute array encoding.
changeid4 typedef uint64_t changeid4; Used in definition of change_info
clientid4 typedef uint64_t clientid4; Shorthand reference to client identification
component4 typedef utf8string component4; Represents path name components
count4 typedef uint32_t count4; Various count parameters (READ, WRITE, COMMIT)
length4 typedef uint64_t length4; Describes LOCK lengths
linktext4 typedef utf8string linktext4; Symbolic link contents
mode4 typedef uint32_t mode4; Mode attribute data type
nfs_cookie4 typedef uint64_t nfs_cookie4; Opaque cookie value for READDIR
nfs_fh4 typedef opaque nfs_fh4<NFS4_FHSIZE>; Filehandle definition; NFS4_FHSIZE is defined as 128
nfs_ftype4 enum nfs_ftype4; Various defined file types
nfsstat4 enum nfsstat4; Return value for operations
offset4 typedef uint64_t offset4; Various offset designations (READ, WRITE, LOCK, COMMIT)
pathname4 typedef component4 pathname4<>; Represents path name for LOOKUP, OPEN and others
qop4 typedef uint32_t qop4; Quality of protection designation in SECINFO
sec_oid4 typedef opaque sec_oid4<>; Security Object Identifier The sec_oid4 data type is not really opaque. Instead contains an ASN.1 OBJECT IDENTIFIER as used by GSS-API in the mech_type argument to GSS_Init_sec_context. See [RFC2078] for details.
seqid4 typedef uint32_t seqid4; Sequence identifier used for file locking
stateid4 typedef uint64_t stateid4; State identifier used for file locking and delegation
utf8string typedef opaque utf8string<>; UTF-8 encoding for strings
verifier4 typedef opaque verifier4[NFS4_VERIFIER_SIZE]; Verifier used for various operations (COMMIT, CREATE, OPEN, READDIR, SETCLIENTID, WRITE) NFS4_VERIFIER_SIZE is defined as 8
2.2. Structured Data Types
nfstime4 struct nfstime4 { int64_t seconds; uint32_t nseconds; }
The nfstime4 structure gives the number of seconds and nanoseconds since midnight or 0 hour January 1, 1970 Coordinated Universal Time (UTC). Values greater than zero for the seconds field denote dates after the 0 hour January 1, 1970. Values less than zero for the seconds field denote dates before the 0 hour January 1, 1970. In both cases, the nseconds field is to be added to the seconds field for the final time representation. For example, if the time to be represented is one-half second before 0 hour January 1, 1970, the seconds field would have a value of negative one (-1) and the nseconds fields would have a value of one-half second (500000000). Values greater than 999,999,999 for nseconds are considered invalid.
This data type is used to pass time and date information. A server converts to and from its local representation of time when processing time values, preserving as much accuracy as possible. If the precision of timestamps stored for a file system object is
less than defined, loss of precision can occur. An adjunct time maintenance protocol is recommended to reduce client and server time skew.
time_how4
enum time_how4 { SET_TO_SERVER_TIME4 = 0, SET_TO_CLIENT_TIME4 = 1 };
settime4
union settime4 switch (time_how4 set_it) { case SET_TO_CLIENT_TIME4: nfstime4 time; default: void; };
The above definitions are used as the attribute definitions to set time values. If set_it is SET_TO_SERVER_TIME4, then the server uses its local representation of time for the time value.
specdata4
struct specdata4 { uint32_t specdata1; uint32_t specdata2; };
This data type represents additional information for the device file types NF4CHR and NF4BLK.
fsid4
struct fsid4 { uint64_t major; uint64_t minor; };
This type is the file system identifier that is used as a mandatory attribute.
fs_location4
struct fs_location4 { utf8string server<>; pathname4 rootpath; };
fs_locations4
struct fs_locations4 { pathname4 fs_root; fs_location4 locations<>; };
The fs_location4 and fs_locations4 data types are used for the fs_locations recommended attribute which is used for migration and replication support.
fattr4
struct fattr4 { bitmap4 attrmask; attrlist4 attr_vals; };
The fattr4 structure is used to represent file and directory attributes.
The bitmap is a counted array of 32 bit integers used to contain bit values. The position of the integer in the array that contains bit n can be computed from the expression (n / 32) and its bit within that integer is (n mod 32).
0 1 +-----------+-----------+-----------+-- | count | 31 .. 0 | 63 .. 32 | +-----------+-----------+-----------+--
change_info4
struct change_info4 { bool atomic; changeid4 before; changeid4 after; };
This structure is used with the CREATE, LINK, REMOVE, RENAME operations to let the client the know value of the change attribute for the directory in which the target file system object resides.
clientaddr4
struct clientaddr4 { /* see struct rpcb in RFC 1833 */ string r_netid<>; /* network id */ string r_addr<>; /* universal address */ };
The clientaddr4 structure is used as part of the SETCLIENT operation to either specify the address of the client that is using a clientid or as part of the call back registration.
cb_client4
struct cb_client4 { unsigned int cb_program; clientaddr4 cb_location; };
This structure is used by the client to inform the server of its call back address; includes the program number and client address.
nfs_client_id4
struct nfs_client_id4 { verifier4 verifier; opaque id<>; };
This structure is part of the arguments to the SETCLIENTID operation.
nfs_lockowner4
struct nfs_lockowner4 { clientid4 clientid; opaque owner<>; };
This structure is used to identify the owner of a OPEN share or file lock.
3. RPC and Security Flavor

The NFS version 4 protocol is a Remote Procedure Call (RPC) application that uses RPC version 2 and the corresponding eXternal Data Representation (XDR) as defined in [RFC1831] and [RFC1832]. The RPCSEC_GSS security flavor as defined in [RFC2203] MUST be used as the mechanism to deliver stronger security for the NFS version 4 protocol.

3.1. Ports and Transports

Historically, NFS version 2 and version 3 servers have resided on port 2049. The registered port 2049 [RFC1700] for the NFS protocol should be the default configuration. Using the registered port for NFS services means the NFS client will not need to use the RPC binding protocols as described in [RFC1833]; this will allow NFS to transit firewalls.

The transport used by the RPC service for the NFS version 4 protocol MUST provide congestion control comparable to that defined for TCP in [RFC2581]. If the operating environment implements TCP, the NFS version 4 protocol SHOULD be supported over TCP. The NFS client and server may use other transports if they support congestion control as defined above and in those cases a mechanism may be provided to override TCP usage in favor of another transport.
If TCP is used as the transport, the client and server SHOULD use persistent connections. This will prevent the weakening of TCP's congestion control via short lived connections and will improve performance for the WAN environment by eliminating the need for SYN handshakes.
Note that for various timers, the client and server should avoid inadvertent synchronization of those timers. For further discussion of the general issue refer to [Floyd].

3.2. Security Flavors

Traditional RPC implementations have included AUTH_NONE, AUTH_SYS, AUTH_DH, and AUTH_KRB4 as security flavors. With [RFC2203] an additional security flavor of RPCSEC_GSS has been introduced which uses the functionality of GSS-API [RFC2078]. This allows for the use of varying security mechanisms by the RPC layer without the additional implementation overhead of adding RPC security flavors. For NFS version 4, the RPCSEC_GSS security flavor MUST be used to
enable the mandatory security mechanism. Other flavors, such as, AUTH_NONE, AUTH_SYS, and AUTH_DH MAY be implemented as well.

3.2.1. Security mechanisms for NFS version 4

The use of RPCSEC_GSS requires selection of: mechanism, quality of protection, and service (authentication, integrity, privacy). The remainder of this document will refer to these three parameters of the RPCSEC_GSS security as the security triple.

3.2.1.1. Kerberos V5 as security triple

The Kerberos V5 GSS-API mechanism as described in [RFC1964] MUST be implemented and provide the following security triples.

column descriptions:
1 == number of pseudo flavor 2 == name of pseudo flavor 3 == mechanism's OID 4 == mechanism's algorithm(s) 5 == RPCSEC_GSS service
1 2 3 4 5 ----------------------------------------------------------------------- 390003 krb5 1.2.840.113554.1.2.2 DES MAC MD5 rpc_gss_svc_none 390004 krb5i 1.2.840.113554.1.2.2 DES MAC MD5 rpc_gss_svc_integrity 390005 krb5p 1.2.840.113554.1.2.2 DES MAC MD5 rpc_gss_svc_privacy for integrity, and 56 bit DES for privacy.
Note that the pseudo flavor is presented here as a mapping aid to the implementor. Because this NFS protocol includes a method to negotiate security and it understands the GSS-API mechanism, the pseudo flavor is not needed. The pseudo flavor is needed for NFS version 3 since the security negotiation is done via the MOUNT protocol.
For a discussion of NFS' use of RPCSEC_GSS and Kerberos V5, please see [RFC2623].

3.2.1.2. LIPKEY as a security triple

The LIPKEY GSS-API mechanism as described in [RFC2847] MUST be implemented and provide the following security triples. The definition of the columns matches the previous subsection "Kerberos V5 as security triple"
1 2 3 4 5 ----------------------------------------------------------------------- 390006 lipkey 1.3.6.1.5.5.9 negotiated rpc_gss_svc_none 390007 lipkey-i 1.3.6.1.5.5.9 negotiated rpc_gss_svc_integrity 390008 lipkey-p 1.3.6.1.5.5.9 negotiated rpc_gss_svc_privacy
The mechanism algorithm is listed as "negotiated". This is because LIPKEY is layered on SPKM-3 and in SPKM-3 [RFC2847] the confidentiality and integrity algorithms are negotiated. Since SPKM-3 specifies HMAC-MD5 for integrity as MANDATORY, 128 bit cast5CBC for confidentiality for privacy as MANDATORY, and further specifies that HMAC-MD5 and cast5CBC MUST be listed first before weaker algorithms, specifying "negotiated" in column 4 does not impair interoperability. In the event an SPKM-3 peer does not support the mandatory algorithms, the other peer is free to accept or reject the GSS-API context creation.
Because SPKM-3 negotiates the algorithms, subsequent calls to LIPKEY's GSS_Wrap() and GSS_GetMIC() by RPCSEC_GSS will use a quality of protection value of 0 (zero). See section 5.2 of [RFC2025] for an explanation.
LIPKEY uses SPKM-3 to create a secure channel in which to pass a user name and password from the client to the user. Once the user name and password have been accepted by the server, calls to the LIPKEY context are redirected to the SPKM-3 context. See [RFC2847] for more details.

3.2.1.3. SPKM-3 as a security triple

The SPKM-3 GSS-API mechanism as described in [RFC2847] MUST be implemented and provide the following security triples. The definition of the columns matches the previous subsection "Kerberos V5 as security triple".
1 2 3 4 5 ----------------------------------------------------------------------- 390009 spkm3 1.3.6.1.5.5.1.3 negotiated rpc_gss_svc_none 390010 spkm3i 1.3.6.1.5.5.1.3 negotiated rpc_gss_svc_integrity 390011 spkm3p 1.3.6.1.5.5.1.3 negotiated rpc_gss_svc_privacy
For a discussion as to why the mechanism algorithm is listed as "negotiated", see the previous section "LIPKEY as a security triple."
Because SPKM-3 negotiates the algorithms, subsequent calls to SPKM- 3's GSS_Wrap() and GSS_GetMIC() by RPCSEC_GSS will use a quality of protection value of 0 (zero). See section 5.2 of [RFC2025] for an explanation. Even though LIPKEY is layered over SPKM-3, SPKM-3 is specified as a mandatory set of triples to handle the situations where the initiator (the client) is anonymous or where the initiator has its own certificate. If the initiator is anonymous, there will not be a user name and password to send to the target (the server). If the initiator has its own certificate, then using passwords is superfluous.

3.3. Security Negotiation

With the NFS version 4 server potentially offering multiple security mechanisms, the client needs a method to determine or negotiate which mechanism is to be used for its communication with the server. The NFS server may have multiple points within its file system name space that are available for use by NFS clients. In turn the NFS server may be configured such that each of these entry points may have different or multiple security mechanisms in use.

The security negotiation between client and server must be done with a secure channel to eliminate the possibility of a third party intercepting the negotiation sequence and forcing the client and server to choose a lower level of security than required or desired.

3.3.1. Security Error

Based on the assumption that each NFS version 4 client and server must support a minimum set of security (i.e. LIPKEY, SPKM-3, and Kerberos-V5 all under RPCSEC_GSS), the NFS client will start its communication with the server with one of the minimal security triples. During communication with the server, the client may receive an NFS error of NFS4ERR_WRONGSEC. This error allows the server to notify the client that the security triple currently being used is not appropriate for access to the server's file system resources. The client is then responsible for determining what security triples are available at the server and choose one which is appropriate for the client.

3.3.2. SECINFO

The new SECINFO operation will allow the client to determine, on a per filehandle basis, what security triple is to be used for server access. In general, the client will not have to use the SECINFO procedure except during initial communication with the server or when the client crosses policy boundaries at the server. It is possible that the server's policies change during the client's interaction therefore forcing the client to negotiate a new security triple.

3.4. Callback RPC Authentication

The callback RPC (described later) must mutually authenticate the NFS server to the principal that acquired the clientid (also described later), using the same security flavor the original SETCLIENTID operation used. Because LIPKEY is layered over SPKM-3, it is permissible for the server to use SPKM-3 and not LIPKEY for the callback even if the client used LIPKEY for SETCLIENTID.

For AUTH_NONE, there are no principals, so this is a non-issue.
For AUTH_SYS, the server simply uses the AUTH_SYS credential that the user used when it set up the delegation.
For AUTH_DH, one commonly used convention is that the server uses the credential corresponding to this AUTH_DH principal:
unix.host@domain
where host and domain are variables corresponding to the name of server host and directory services domain in which it lives such as a Network Information System domain or a DNS domain.
Regardless of what security mechanism under RPCSEC_GSS is being used, the NFS server, MUST identify itself in GSS-API via a GSS_C_NT_HOSTBASED_SERVICE name type. GSS_C_NT_HOSTBASED_SERVICE names are of the form:
service@hostname
For NFS, the "service" element is
nfs
Implementations of security mechanisms will convert nfs@hostname to various different forms. For Kerberos V5 and LIPKEY, the following form is RECOMMENDED:
nfs/hostname
For Kerberos V5, nfs/hostname would be a server principal in the Kerberos Key Distribution Center database. For LIPKEY, this would be the username passed to the target (the NFS version 4 client that receives the callback).
It should be noted that LIPKEY may not work for callbacks, since the LIPKEY client uses a user id/password. If the NFS client receiving the callback can authenticate the NFS server's user name/password pair, and if the user that the NFS server is authenticating to has a public key certificate, then it works.
In situations where NFS client uses LIPKEY and uses a per-host principal for the SETCLIENTID operation, instead of using LIPKEY for SETCLIENTID, it is RECOMMENDED that SPKM-3 with mutual authentication be used. This effectively means that the client will use a certificate to authenticate and identify the initiator to the target on the NFS server. Using SPKM-3 and not LIPKEY has the following advantages:
o When the server does a callback, it must authenticate to the principal used in the SETCLIENTID. Even if LIPKEY is used, because LIPKEY is layered over SPKM-3, the NFS client will need to have a certificate that corresponds to the principal used in the SETCLIENTID operation. From an administrative perspective, having a user name, password, and certificate for both the client and server is redundant.
o LIPKEY was intended to minimize additional infrastructure requirements beyond a certificate for the target, and the expectation is that existing password infrastructure can be leveraged for the initiator. In some environments, a per-host password does not exist yet. If certificates are used for any per-host principals, then additional password infrastructure is not needed.
o In cases when a host is both an NFS client and server, it can share the same per-host certificate.
4. Filehandles

The filehandle in the NFS protocol is a per server unique identifier for a file system object. The contents of the filehandle are opaque to the client. Therefore, the server is responsible for translating the filehandle to an internal representation of the file system object. Since the filehandle is the client's reference to an object and the client may cache this reference, the server SHOULD not reuse a filehandle for another file system object. If the server needs to reuse a filehandle value, the time elapsed before reuse SHOULD be large enough such that it is unlikely the client has a cached copy of the reused filehandle value. Note that a client may cache a filehandle for a very long time. For example, a client may cache NFS data to local storage as a method to expand its effective cache size and as a means to survive client restarts. Therefore, the lifetime of a cached filehandle may be extended.

4.1. Obtaining the First Filehandle

The operations of the NFS protocol are defined in terms of one or more filehandles. Therefore, the client needs a filehandle to initiate communication with the server. With the NFS version 2 protocol [RFC1094] and the NFS version 3 protocol [RFC1813], there exists an ancillary protocol to obtain this first filehandle. The MOUNT protocol, RPC program number 100005, provides the mechanism of translating a string based file system path name to a filehandle which can then be used by the NFS protocols.

The MOUNT protocol has deficiencies in the area of security and use via firewalls. This is one reason that the use of the public filehandle was introduced in [RFC2054] and [RFC2055]. With the use of the public filehandle in combination with the LOOKUP procedure in the NFS version 2 and 3 protocols, it has been demonstrated that the MOUNT protocol is unnecessary for viable interaction between NFS client and server.
Therefore, the NFS version 4 protocol will not use an ancillary protocol for translation from string based path names to a filehandle. Two special filehandles will be used as starting points for the NFS client.

4.1.1. Root Filehandle

The first of the special filehandles is the ROOT filehandle. The ROOT filehandle is the "conceptual" root of the file system name space at the NFS server. The client uses or starts with the ROOT filehandle by employing the PUTROOTFH operation. The PUTROOTFH operation instructs the server to set the "current" filehandle to the ROOT of the server's file tree. Once this PUTROOTFH operation is used, the client can then traverse the entirety of the server's file tree with the LOOKUP procedure. A complete discussion of the server name space is in the section "NFS Server Name Space".

4.1.2. Public Filehandle

The second special filehandle is the PUBLIC filehandle. Unlike the ROOT filehandle, the PUBLIC filehandle may be bound or represent an arbitrary file system object at the server. The server is responsible for this binding. It may be that the PUBLIC filehandle and the ROOT filehandle refer to the same file system object. However, it is up to the administrative software at the server and the policies of the server administrator to define the binding of the PUBLIC filehandle and server file system object. The client may not make any assumptions about this binding.

4.2. Filehandle Types

In the NFS version 2 and 3 protocols, there was one type of filehandle with a single set of semantics. The NFS version 4 protocol introduces a new type of filehandle in an attempt to accommodate certain server environments. The first type of filehandle is 'persistent'. The semantics of a persistent filehandle are the same as the filehandles of the NFS version 2 and 3 protocols. The second or new type of filehandle is the "volatile" filehandle.

The volatile filehandle type is being introduced to address server functionality or implementation issues which make correct implementation of a persistent filehandle infeasible. Some server environments do not provide a file system level invariant that can be used to construct a persistent filehandle. The underlying server file system may not provide the invariant or the server's file system programming interfaces may not provide access to the needed invariant. Volatile filehandles may ease the implementation of server functionality such as hierarchical storage management or file system reorganization or migration. However, the volatile filehandle increases the implementation burden for the client. However this increased burden is deemed acceptable based on the overall gains achieved by the protocol.
Since the client will need to handle persistent and volatile filehandle differently, a file attribute is defined which may be used by the client to determine the filehandle types being returned by the server.

4.2.1. General Properties of a Filehandle

The filehandle contains all the information the server needs to distinguish an individual file. To the client, the filehandle is opaque. The client stores filehandles for use in a later request and can compare two filehandles from the same server for equality by doing a byte-by-byte comparison. However, the client MUST NOT otherwise interpret the contents of filehandles. If two filehandles from the same server are equal, they MUST refer to the same file. If they are not equal, the client may use information provided by the server, in the form of file attributes, to determine whether they denote the same files or different files. The client would do this as necessary for client side caching. Servers SHOULD try to maintain a one-to-one correspondence between filehandles and files but this is not required. Clients MUST use filehandle comparisons only to improve performance, not for correct behavior. All clients need to be prepared for situations in which it cannot be determined whether two filehandles denote the same object and in such cases, avoid making invalid assumptions which might cause incorrect behavior.
Further discussion of filehandle and attribute comparison in the context of data caching is presented in the section "Data Caching and File Identity".
As an example, in the case that two different path names when traversed at the server terminate at the same file system object, the server SHOULD return the same filehandle for each path. This can occur if a hard link is used to create two file names which refer to the same underlying file object and associated data. For example, if paths /a/b/c and /a/d/c refer to the same file, the server SHOULD return the same filehandle for both path names traversals.

4.2.2. Persistent Filehandle

A persistent filehandle is defined as having a fixed value for the lifetime of the file system object to which it refers. Once the server creates the filehandle for a file system object, the server MUST accept the same filehandle for the object for the lifetime of the object. If the server restarts or reboots the NFS server must honor the same filehandle value as it did in the server's previous instantiation. Similarly, if the file system is migrated, the new NFS server must honor the same file handle as the old NFS server.

The persistent filehandle will be become stale or invalid when the file system object is removed. When the server is presented with a persistent filehandle that refers to a deleted object, it MUST return an error of NFS4ERR_STALE. A filehandle may become stale when the file system containing the object is no longer available. The file system may become unavailable if it exists on removable media and the media is no longer available at the server or the file system in whole has been destroyed or the file system has simply been removed from the server's name space (i.e. unmounted in a Unix environment).

4.2.3. Volatile Filehandle

A volatile filehandle does not share the same longevity characteristics of a persistent filehandle. The server may determine that a volatile filehandle is no longer valid at many different points in time. If the server can definitively determine that a volatile filehandle refers to an object that has been removed, the server should return NFS4ERR_STALE to the client (as is the case for persistent filehandles). In all other cases where the server determines that a volatile filehandle can no longer be used, it should return an error of NFS4ERR_FHEXPIRED.
The mandatory attribute "fh_expire_type" is used by the client to determine what type of filehandle the server is providing for a particular file system. This attribute is a bitmask with the following values:
FH4_PERSISTENT The value of FH4_PERSISTENT is used to indicate a persistent filehandle, which is valid until the object is removed from the file system. The server will not return NFS4ERR_FHEXPIRED for this filehandle. FH4_PERSISTENT is defined as a value in which none of the bits specified below are set.
FH4_NOEXPIRE_WITH_OPEN The filehandle will not expire while client has the file open. If this bit is set, then the values FH4_VOLATILE_ANY or FH4_VOL_RENAME do not impact expiration while the file is open. Once the file is closed or if the FH4_NOEXPIRE_WITH_OPEN bit is false, the rest of the volatile related bits apply.
FH4_VOLATILE_ANY The filehandle may expire at any time and will expire during system migration and rename.
FH4_VOL_MIGRATION The filehandle will expire during file system migration. May only be set if FH4_VOLATILE_ANY is not set.
FH4_VOL_RENAME The filehandle may expire due to a rename. This includes a rename by the requesting client or a rename by another client. May only be set if FH4_VOLATILE_ANY is not set.
Servers which provide volatile filehandles should deny a RENAME or REMOVE that would affect an OPEN file or any of the components leading to the OPEN file. In addition, the server should deny all RENAME or REMOVE requests during the grace or lease period upon server restart.
The reader may be wondering why there are three FH4_VOL* bits and why FH4_VOLATILE_ANY is exclusive of FH4_VOL_MIGRATION and FH4_VOL_RENAME. If the a filehandle is normally persistent but cannot persist across a file set migration, then the presence of the FH4_VOL_MIGRATION or FH4_VOL_RENAME tells the client that it can treat the file handle as persistent for purposes of maintaining a file name to file handle cache, except for the specific event described by the bit. However, FH4_VOLATILE_ANY tells the client that it should not maintain such a cache for unopened files. A server MUST not present FH4_VOLATILE_ANY with FH4_VOL_MIGRATION or FH4_VOL_RENAME as this will lead to confusion. FH4_VOLATILE_ANY implies that the file handle will expire upon migration or rename, in addition to other events.

4.2.4. One Method of Constructing a Volatile Filehandle

As mentioned, in some instances a filehandle is stale (no longer valid; perhaps because the file was removed from the server) or it is expired (the underlying file is valid but since the filehandle is volatile, it may have expired). Thus the server needs to be able to return NFS4ERR_STALE in the former case and NFS4ERR_FHEXPIRED in the latter case. This can be done by careful construction of the volatile filehandle. One possible implementation follows.

A volatile filehandle, while opaque to the client could contain:
[volatile bit = 1 | server boot time | slot | generation number]
o slot is an index in the server volatile filehandle table
o generation number is the generation number for the table entry/slot
If the server boot time is less than the current server boot time, return NFS4ERR_FHEXPIRED. If slot is out of range, return NFS4ERR_BADHANDLE. If the generation number does not match, return NFS4ERR_FHEXPIRED.
When the server reboots, the table is gone (it is volatile).
If volatile bit is 0, then it is a persistent filehandle with a different structure following it.

4.3. Client Recovery from Filehandle Expiration

If possible, the client SHOULD recover from the receipt of an NFS4ERR_FHEXPIRED error. The client must take on additional responsibility so that it may prepare itself to recover from the expiration of a volatile filehandle. If the server returns persistent filehandles, the client does not need these additional steps.

For volatile filehandles, most commonly the client will need to store the component names leading up to and including the file system object in question. With these names, the client should be able to recover by finding a filehandle in the name space that is still available or by starting at the root of the server's file system name space. If the expired filehandle refers to an object that has been removed from the file system, obviously the client will not be able to recover from the expired filehandle.
It is also possible that the expired filehandle refers to a file that has been renamed. If the file was renamed by another client, again it is possible that the original client will not be able to recover. However, in the case that the client itself is renaming the file and the file is open, it is possible that the client may be able to recover. The client can determine the new path name based on the processing of the rename request. The client can then regenerate the new filehandle based on the new path name. The client could also use the compound operation mechanism to construct a set of operations like:
RENAME A B LOOKUP B GETFH
5. File Attributes

To meet the requirements of extensibility and increased interoperability with non-Unix platforms, attributes must be handled in a flexible manner. The NFS Version 3 fattr3 structure contains a fixed list of attributes that not all clients and servers are able to support or care about. The fattr3 structure can not be extended as new needs arise and it provides no way to indicate non-support. With the NFS Version 4 protocol, the client will be able to ask what attributes the server supports and will be able to request only those attributes in which it is interested.

To this end, attributes will be divided into three groups: mandatory, recommended, and named. Both mandatory and recommended attributes are supported in the NFS version 4 protocol by a specific and well- defined encoding and are identified by number. They are requested by setting a bit in the bit vector sent in the GETATTR request; the server response includes a bit vector to list what attributes were returned in the response. New mandatory or recommended attributes may be added to the NFS protocol between major revisions by publishing a standards-track RFC which allocates a new attribute number value and defines the encoding for the attribute. See the section "Minor Versioning" for further discussion.
Named attributes are accessed by the new OPENATTR operation, which accesses a hidden directory of attributes associated with a file system object. OPENATTR takes a filehandle for the object and returns the filehandle for the attribute hierarchy. The filehandle for the named attributes is a directory object accessible by LOOKUP or READDIR and contains files whose names represent the named attributes and whose data bytes are the value of the attribute. For example:
LOOKUP "foo" ; look up file GETATTR attrbits OPENATTR ; access foo's named attributes LOOKUP "x11icon" ; look up specific attribute READ 0,4096 ; read stream of bytes
Named attributes are intended for data needed by applications rather than by an NFS client implementation. NFS implementors are strongly encouraged to define their new attributes as recommended attributes by bringing them to the IETF standards-track process.
The set of attributes which are classified as mandatory is deliberately small since servers must do whatever it takes to support them. The recommended attributes may be unsupported; though a server should support as many as it can. Attributes are deemed mandatory if the data is both needed by a large number of clients and is not otherwise reasonably computable by the client when support is not provided on the server.

5.1. Mandatory Attributes

These MUST be supported by every NFS Version 4 client and server in order to ensure a minimum level of interoperability. The server must store and return these attributes and the client must be able to function with an attribute set limited to these attributes. With just the mandatory attributes some client functionality may be impaired or limited in some ways. A client may ask for any of these attributes to be returned by setting a bit in the GETATTR request and the server must return their value.

5.2. Recommended Attributes

These attributes are understood well enough to warrant support in the NFS Version 4 protocol. However, they may not be supported on all clients and servers. A client may ask for any of these attributes to be returned by setting a bit in the GETATTR request but must handle the case where the server does not return them. A client may ask for the set of attributes the server supports and should not request attributes the server does not support. A server should be tolerant of requests for unsupported attributes and simply not return them rather than considering the request an error. It is expected that servers will support all attributes they comfortably can and only fail to support attributes which are difficult to support in their operating environments. A server should provide attributes whenever
they don't have to "tell lies" to the client. For example, a file modification time should be either an accurate time or should not be supported by the server. This will not always be comfortable to clients but it seems that the client has a better ability to fabricate or construct an attribute or do without the attribute.

5.3. Named Attributes

These attributes are not supported by direct encoding in the NFS Version 4 protocol but are accessed by string names rather than numbers and correspond to an uninterpreted stream of bytes which are stored with the file system object. The name space for these attributes may be accessed by using the OPENATTR operation. The OPENATTR operation returns a filehandle for a virtual "attribute directory" and further perusal of the name space may be done using READDIR and LOOKUP operations on this filehandle. Named attributes may then be examined or changed by normal READ and WRITE and CREATE operations on the filehandles returned from READDIR and LOOKUP. Named attributes may have attributes.

It is recommended that servers support arbitrary named attributes. A client should not depend on the ability to store any named attributes in the server's file system. If a server does support named attributes, a client which is also able to handle them should be able to copy a file's data and meta-data with complete transparency from one location to another; this would imply that names allowed for regular directory entries are valid for named attribute names as well.
Names of attributes will not be controlled by this document or other IETF standards track documents. See the section "IANA Considerations" for further discussion.

5.4. Mandatory Attributes - Definitions
Name # DataType Access Description ___________________________________________________________________ supp_attr 0 bitmap READ The bit vector which would retrieve all mandatory and recommended attributes that are supported for this object.
type 1 nfs4_ftype READ The type of the object (file, directory, symlink)
fh_expire_type 2 uint32 READ Server uses this to specify filehandle expiration behavior to the client. See the section "Filehandles" for additional description.
change 3 uint64 READ A value created by the server that the client can use to determine if file data, directory contents or attributes of the object have been modified. The server may return the object's time_modify attribute for this attribute's value but only if the file system object can not be updated more frequently than the resolution of time_modify.
size 4 uint64 R/W The size of the object in bytes.
link_support 5 boolean READ Does the object's file system supports hard links?
symlink_support 6 boolean READ Does the object's file system supports symbolic links?
named_attr 7 boolean READ Does this object have named attributes?
fsid 8 fsid4 READ Unique file system identifier for the file system holding this object. fsid contains major and minor components each of which are uint64.
unique_handles 9 boolean READ Are two distinct filehandles guaranteed to refer to two different file system objects?
lease_time 10 nfs_lease4 READ Duration of leases at server in seconds.
rdattr_error 11 enum READ Error returned from getattr during readdir.
5.5. Recommended Attributes - Definitions
Name # Data Type Access Description _____________________________________________________________________ ACL 12 nfsace4<> R/W The access control list for the object.
aclsupport 13 uint32 READ Indicates what types of ACLs are supported on the current file system.
archive 14 boolean R/W Whether or not this file has been archived since the time of last modification (deprecated in favor of time_backup).
cansettime 15 boolean READ Is the server able to change the times for a file system object as specified in a SETATTR operation?
case_insensitive 16 boolean READ Are filename comparisons on this file system case insensitive?
case_preserving 17 boolean READ Is filename case on this file system preserved?
chown_restricted 18 boolean READ If TRUE, the server will reject any request to change either the owner or the group associated with a file if the caller is not a privileged user (for example, "root" in Unix operating environments or in NT the "Take Ownership" privilege)
filehandle 19 nfs4_fh READ The filehandle of this object (primarily for readdir requests).
fileid 20 uint64 READ A number uniquely identifying the file within the file system.
files_avail 21 uint64 READ File slots available to this user on the file system containing this object - this should be the smallest relevant limit.
files_free 22 uint64 READ Free file slots on the file system containing this object - this should be the smallest relevant limit.
files_total 23 uint64 READ Total file slots on the file system containing this object.
fs_locations 24 fs_locations READ Locations where this file system may be found. If the server returns NFS4ERR_MOVED as an error, this attribute must be supported.
hidden 25 boolean R/W Is file considered hidden with respect to the WIN32 API?
homogeneous 26 boolean READ Whether or not this object's file system is homogeneous, i.e. are per file system attributes the same for all file system's objects.
maxfilesize 27 uint64 READ Maximum supported file size for the file system of this object.
maxlink 28 uint32 READ Maximum number of links for this object.
maxname 29 uint32 READ Maximum filename size supported for this object.
maxread 30 uint64 READ Maximum read size supported for this object.
maxwrite 31 uint64 READ Maximum write size supported for this object. This attribute SHOULD be supported if the file is writable. Lack of this attribute can lead to the client either wasting
bandwidth or not receiving the best performance.
mimetype 32 utf8<> R/W MIME body type/subtype of this object.
mode 33 mode4 R/W Unix-style permission bits for this object (deprecated in favor of ACLs)
no_trunc 34 boolean READ If a name longer than name_max is used, will an error be returned or will the name be truncated?
numlinks 35 uint32 READ Number of hard links to this object.
owner 36 utf8<> R/W The string name of the owner of this object.
owner_group 37 utf8<> R/W The string name of the group ownership of this object.
quota_avail_hard 38 uint64 READ For definition see "Quota Attributes" section below.
quota_avail_soft 39 uint64 READ For definition see "Quota Attributes" section below.
quota_used 40 uint64 READ For definition see "Quota Attributes" section below.
rawdev 41 specdata4 READ Raw device identifier. Unix device major/minor node information.
space_avail 42 uint64 READ Disk space in bytes available to this user on the file system containing this object - this should be the smallest relevant limit.
space_free 43 uint64 READ Free disk space in bytes on the file system containing this object - this should be the smallest relevant limit.
space_total 44 uint64 READ Total disk space in bytes on the file system containing this object.
space_used 45 uint64 READ Number of file system bytes allocated to this object.
system 46 boolean R/W Is this file a system file with respect to the WIN32 API?
time_access 47 nfstime4 READ The time of last access to the object.
time_access_set 48 settime4 WRITE Set the time of last access to the object. SETATTR use only.
time_backup 49 nfstime4 R/W The time of last backup of the object.
time_create 50 nfstime4 R/W The time of creation of the object. This attribute does not have any relation to the traditional Unix file attribute "ctime" or "change time".
time_delta 51 nfstime4 READ Smallest useful server time granularity.
time_metadata 52 nfstime4 R/W The time of last meta-data modification of the object.
time_modify 53 nfstime4 READ The time of last modification to the object.
time_modify_set 54 settime4 WRITE Set the time of last modification to the object. SETATTR use only.
5.6. Interpreting owner and owner_group

The recommended attributes "owner" and "owner_group" are represented in terms of a UTF-8 string. To avoid a representation that is tied to a particular underlying implementation at the client or server, the use of the UTF-8 string has been chosen. Note that section 6.1 of [RFC2624] provides additional rationale. It is expected that the client and server will have their own local representation of owner and owner_group that is used for local storage or presentation to the end user. Therefore, it is expected that when these attributes are transferred between the client and server that the local representation is translated to a syntax of the form "user@dns_domain". This will allow for a client and server that do not use the same local representation the ability to translate to a common syntax that can be interpreted by both.

The translation is not specified as part of the protocol. This allows various solutions to be employed. For example, a local translation table may be consulted that maps between a numeric id to the user@dns_domain syntax. A name service may also be used to accomplish the translation. The "dns_domain" portion of the owner string is meant to be a DNS domain name. For example, user@ietf.org.
In the case where there is no translation available to the client or server, the attribute value must be constructed without the "@".>href=mailto:"@".>"@". Therefore, the absence of the @ from the owner or owner_group attribute signifies that no translation was available and the receiver of the attribute should not place any special meaning with the attribute value. Even though the attribute value can not be translated, it may still be useful. In the case of a client, the attribute string may be used for local display of ownership.

5.7. Character Case Attributes

With respect to the case_insensitive and case_preserving attributes, each UCS-4 character (which UTF-8 encodes) has a "long descriptive name" [RFC1345] which may or may not included the word "CAPITAL" or "SMALL". The presence of SMALL or CAPITAL allows an NFS server to implement unambiguous and efficient table driven mappings for case insensitive comparisons, and non-case-preserving storage. For general character handling and internationalization issues, see the section "Internationalization".

5.8. Quota Attributes

For the attributes related to file system quotas, the following definitions apply:
quota_avail_soft The value in bytes which represents the amount of additional disk space that can be allocated to this file or directory before the user may reasonably be warned. It is understood that this space may be consumed by allocations to other files or directories though there is a rule as to which other files or directories.
quota_avail_hard The value in bytes which represent the amount of additional disk space beyond the current allocation that can be allocated to this file or directory before further allocations will be refused. It is understood that this space may be consumed by allocations to other files or directories.
quota_used The value in bytes which represent the amount of disc space used by this file or directory and possibly a number of other similar files or directories, where the set of "similar" meets at least the criterion that allocating space to any file or directory in the set will reduce the "quota_avail_hard" of every other file or directory in the set.
Note that there may be a number of distinct but overlapping sets of files or directories for which a quota_used value is maintained. E.g. "all files with a given owner", "all files with a given group owner". etc.
The server is at liberty to choose any of those sets but should do so in a repeatable way. The rule may be configured per- filesystem or may be "choose the set with the smallest quota".
5.9. Access Control Lists

The NFS ACL attribute is an array of access control entries (ACE). There are various access control entry types. The server is able to communicate which ACE types are supported by returning the appropriate value within the aclsupport attribute. The types of ACEs are defined as follows:
Type Description _____________________________________________________ ALLOW Explicitly grants the access defined in acemask4 to the file or directory.
DENY Explicitly denies the access defined in acemask4 to the file or directory.
AUDIT LOG (system dependent) any access attempt to a file or directory which uses any of the access methods specified in acemask4.
ALARM Generate a system ALARM (system dependent) when any access attempt is made to a file or directory for the access methods specified in acemask4.
The NFS ACE attribute is defined as follows:
typedef uint32_t acetype4; typedef uint32_t aceflag4; typedef uint32_t acemask4;
struct nfsace4 { acetype4 type; aceflag4 flag; acemask4 access_mask; utf8string who; };
To determine if an ACCESS or OPEN request succeeds each nfsace4 entry is processed in order by the server. Only ACEs which have a "who" that matches the requester are considered. Each ACE is processed until all of the bits of the requester's access have been ALLOWED. Once a bit (see below) has been ALLOWED by an ACCESS_ALLOWED_ACE, it is no longer considered in the processing of later ACEs. If an ACCESS_DENIED_ACE is encountered where the requester's mode still has unALLOWED bits in common with the "access_mask" of the ACE, the request is denied.
The bitmask constants used to represent the above definitions within the aclsupport attribute are as follows:
const ACL4_SUPPORT_ALLOW_ACL = 0x00000001; const ACL4_SUPPORT_DENY_ACL = 0x00000002; const ACL4_SUPPORT_AUDIT_ACL = 0x00000004; const ACL4_SUPPORT_ALARM_ACL = 0x00000008;
5.9.1. ACE type

The semantics of the "type" field follow the descriptions provided above.

The bitmask constants used for the type field are as follows:
const ACE4_ACCESS_ALLOWED_ACE_TYPE = 0x00000000; const ACE4_ACCESS_DENIED_ACE_TYPE = 0x00000001; const ACE4_SYSTEM_AUDIT_ACE_TYPE = 0x00000002; const ACE4_SYSTEM_ALARM_ACE_TYPE = 0x00000003;
5.9.2. ACE flag

The "flag" field contains values based on the following descriptions.
ACE4_FILE_INHERIT_ACE
Can be placed on a directory and indicates that this ACE should be added to each new non-directory file created.
ACE4_DIRECTORY_INHERIT_ACE
Can be placed on a directory and indicates that this ACE should be added to each new directory created.
ACE4_INHERIT_ONLY_ACE
Can be placed on a directory but does not apply to the directory, only to newly created files/directories as specified by the above two flags.
ACE4_NO_PROPAGATE_INHERIT_ACE
Can be placed on a directory. Normally when a new directory is created and an ACE exists on the parent directory which is marked ACL4_DIRECTORY_INHERIT_ACE, two ACEs are placed on the new directory. One for the directory itself and one which is an inheritable ACE for newly created directories. This flag tells the server to not place an ACE on the newly created directory which is inheritable by subdirectories of the created directory.
ACE4_SUCCESSFUL_ACCESS_ACE_FLAG
ACL4_FAILED_ACCESS_ACE_FLAG
Both indicate for AUDIT and ALARM which state to log the event. On every ACCESS or OPEN call which occurs on a file or directory which has an ACL that is of type ACE4_SYSTEM_AUDIT_ACE_TYPE or ACE4_SYSTEM_ALARM_ACE_TYPE, the attempted access is compared to the ace4mask of these ACLs. If the access is a subset of ace4mask and the identifier match, an AUDIT trail or an ALARM is generated. By default this happens regardless of the success or failure of the ACCESS or OPEN call.
The flag ACE4_SUCCESSFUL_ACCESS_ACE_FLAG only produces the AUDIT or ALARM if the ACCESS or OPEN call is successful. The ACE4_FAILED_ACCESS_ACE_FLAG causes the ALARM or AUDIT if the ACCESS or OPEN call fails.
ACE4_IDENTIFIER_GROUP
Indicates that the "who" refers to a GROUP as defined under Unix.
The bitmask constants used for the flag field are as follows:
const ACE4_FILE_INHERIT_ACE = 0x00000001; const ACE4_DIRECTORY_INHERIT_ACE = 0x00000002; const ACE4_NO_PROPAGATE_INHERIT_ACE = 0x00000004; const ACE4_INHERIT_ONLY_ACE = 0x00000008; const ACE4_SUCCESSFUL_ACCESS_ACE_FLAG = 0x00000010; const ACE4_FAILED_ACCESS_ACE_FLAG = 0x00000020; const ACE4_IDENTIFIER_GROUP = 0x00000040;
5.9.3. ACE Access Mask

The access_mask field contains values based on the following:
Access Description _______________________________________________________________ READ_DATA Permission to read the data of the file LIST_DIRECTORY Permission to list the contents of a directory WRITE_DATA Permission to modify the file's data ADD_FILE Permission to add a new file to a directory APPEND_DATA Permission to append data to a file ADD_SUBDIRECTORY Permission to create a subdirectory to a directory READ_NAMED_ATTRS Permission to read the named attributes of a file WRITE_NAMED_ATTRS Permission to write the named attributes of a file EXECUTE Permission to execute a file DELETE_CHILD Permission to delete a file or directory within a directory READ_ATTRIBUTES The ability to read basic attributes (non-acls) of a file WRITE_ATTRIBUTES Permission to change basic attributes (non-acls) of a file
DELETE Permission to Delete the file READ_ACL Permission to Read the ACL WRITE_ACL Permission to Write the ACL WRITE_OWNER Permission to change the owner SYNCHRONIZE Permission to access file locally at the server with synchronous reads and writes
The bitmask constants used for the access mask field are as follows:
const ACE4_READ_DATA = 0x00000001; const ACE4_LIST_DIRECTORY = 0x00000001; const ACE4_WRITE_DATA = 0x00000002; const ACE4_ADD_FILE = 0x00000002; const ACE4_APPEND_DATA = 0x00000004; const ACE4_ADD_SUBDIRECTORY = 0x00000004; const ACE4_READ_NAMED_ATTRS = 0x00000008; const ACE4_WRITE_NAMED_ATTRS = 0x00000010; const ACE4_EXECUTE = 0x00000020; const ACE4_DELETE_CHILD = 0x00000040; const ACE4_READ_ATTRIBUTES = 0x00000080; const ACE4_WRITE_ATTRIBUTES = 0x00000100;
const ACE4_DELETE = 0x00010000; const ACE4_READ_ACL = 0x00020000; const ACE4_WRITE_ACL = 0x00040000; const ACE4_WRITE_OWNER = 0x00080000; const ACE4_SYNCHRONIZE = 0x00100000;
5.9.4. ACE who

There are several special identifiers ("who") which need to be understood universally. Some of these identifiers cannot be understood when an NFS client accesses the server, but have meaning when a local process accesses the file. The ability to display and modify these permissions is permitted over NFS.
Who Description _______________________________________________________________ "OWNER" The owner of the file. "GROUP" The group associated with the file. "EVERYONE" The world. "INTERACTIVE" Accessed from an interactive terminal. "NETWORK" Accessed via the network. "DIALUP" Accessed as a dialup user to the server. "BATCH" Accessed from a batch job. "ANONYMOUS" Accessed without any authentication. "AUTHENTICATED" Any authenticated user (opposite of ANONYMOUS) "SERVICE" Access from a system service.
To avoid conflict, these special identifiers are distinguish by an appended "@" and should appear in the form "xxxx@" (note: no domain name after the "@"). For example: ANONYMOUS@.

6. File System Migration and Replication

With the use of the recommended attribute "fs_locations", the NFS version 4 server has a method of providing file system migration