Network Working Group                                        K. Zeilenga
Request for Comments: 4533                           OpenLDAP Foundation
Category: Experimental                                         J.H. Choi
                                                        IBM Corporation
                                                              June 2006


          The Lightweight Directory Access Protocol (LDAP)
                  Content Synchronization Operation

Status of This Memo

  This memo defines an Experimental Protocol for the Internet
  community.  It does not specify an Internet standard of any kind.
  Discussion and suggestions for improvement are requested.
  Distribution of this memo is unlimited.

Copyright Notice

  Copyright (C) The Internet Society (2006).

IESG Note

  The IESG notes that this work was originally discussed in the LDUP
  working group.  The group came to consensus on a different approach,
  documented in RFC 3928; that document is on the standards track and
  should be reviewed by those considering implementation of this
  proposal.

Abstract

  This specification describes the Lightweight Directory Access
  Protocol (LDAP) Content Synchronization Operation.  The operation
  allows a client to maintain a copy of a fragment of the Directory
  Information Tree (DIT).  It supports both polling for changes and
  listening for changes.  The operation is defined as an extension of
  the LDAP Search Operation.














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Table of Contents

  1. Introduction ....................................................3
     1.1. Background .................................................3
     1.2. Intended Usage .............................................4
     1.3. Overview ...................................................5
     1.4. Conventions ................................................8
  2. Elements of the Sync Operation ..................................8
     2.1. Common ASN.1 Elements ......................................9
     2.2. Sync Request Control .......................................9
     2.3. Sync State Control ........................................10
     2.4. Sync Done Control .........................................10
     2.5. Sync Info Message .........................................11
     2.6. Sync Result Codes .........................................11
  3. Content Synchronization ........................................11
     3.1. Synchronization Session ...................................12
     3.2. Content Determination .....................................12
     3.3. refreshOnly Mode ..........................................13
     3.4. refreshAndPersist Mode ....................................16
     3.5. Search Request Parameters .................................17
     3.6. objectName ................................................18
     3.7. Canceling the Sync Operation ..............................19
     3.8. Refresh Required ..........................................19
     3.9. Chattiness Considerations .................................20
     3.10. Operation Multiplexing ...................................21
  4. Meta Information Considerations ................................22
     4.1. Entry DN ..................................................22
     4.2. Operational Attributes ....................................22
     4.3. Collective Attributes .....................................23
     4.4. Access and Other Administrative Controls ..................23
  5. Interaction with Other Controls ................................23
     5.1. ManageDsaIT Control .......................................24
     5.2. Subentries Control ........................................24
  6. Shadowing Considerations .......................................24
  7. Security Considerations ........................................25
  8. IANA Considerations ............................................26
     8.1. Object Identifier .........................................26
     8.2. LDAP Protocol Mechanism ...................................26
     8.3. LDAP Result Codes .........................................26
  9. Acknowledgements ...............................................26
  10. Normative References ..........................................27
  11. Informative References ........................................28
  Appendix A.  CSN-based Implementation Considerations ..............29








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1.  Introduction

  The Lightweight Directory Access Protocol (LDAP) [RFC4510] provides a
  mechanism, the search operation [RFC4511], that allows a client to
  request directory content matching a complex set of assertions and to
  request that the server return this content, subject to access
  control and other restrictions, to the client.  However, LDAP does
  not provide (despite the introduction of numerous extensions in this
  area) an effective and efficient mechanism for maintaining
  synchronized copies of directory content.  This document introduces a
  new mechanism specifically designed to meet the content
  synchronization requirements of sophisticated directory applications.

  This document defines the LDAP Content Synchronization Operation, or
  Sync Operation for short, which allows a client to maintain a
  synchronized copy of a fragment of a Directory Information Tree
  (DIT).  The Sync Operation is defined as a set of controls and other
  protocol elements that extend the Search Operation.

1.1.  Background

  Over the years, a number of content synchronization approaches have
  been suggested for use in LDAP directory services.  These approaches
  are inadequate for one or more of the following reasons:

     -  failure to ensure a reasonable level of convergence;

     -  failure to detect that convergence cannot be achieved (without
        reload);

     -  require pre-arranged synchronization agreements;

     -  require the server to maintain histories of past changes to DIT
        content and/or meta information;

     -  require the server to maintain synchronization state on a per-
        client basis; and/or

     -  are overly chatty.

  The Sync Operation provides eventual convergence of synchronized
  content when possible and, when not, notification that a full reload
  is required.

  The Sync Operation does not require pre-arranged synchronization
  agreements.





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  The Sync Operation does not require that servers maintain or use any
  history of past changes to the DIT or to meta information.  However,
  servers may maintain and use histories (e.g., change logs,
  tombstones, DIT snapshots) to reduce the number of messages generated
  and to reduce their size.  As it is not always feasible to maintain
  and use histories, the operation may be implemented using purely
  (current) state-based approaches.  The Sync Operation allows use of
  either the state-based approach or the history-based approach on an
  operation-by-operation basis to balance the size of history and the
  amount of traffic.  The Sync Operation also allows the combined use
  of the state-based and the history-based approaches.

  The Sync Operation does not require that servers maintain
  synchronization state on a per-client basis.  However, servers may
  maintain and use per-client state information to reduce the number of
  messages generated and the size of such messages.

  A synchronization mechanism can be considered overly chatty when
  synchronization traffic is not reasonably bounded.  The Sync
  Operation traffic is bounded by the size of updated (or new) entries
  and the number of unchanged entries in the content.  The operation is
  designed to avoid full content exchanges, even when the history
  information available to the server is insufficient to determine the
  client's state.  The operation is also designed to avoid transmission
  of out-of-content history information, as its size is not bounded by
  the content and it is not always feasible to transmit such history
  information due to security reasons.

  This document includes a number of non-normative appendices providing
  additional information to server implementors.

1.2.  Intended Usage

  The Sync Operation is intended to be used in applications requiring
  eventually-convergent content synchronization.  Upon completion of
  each synchronization stage of the operation, all information to
  construct a synchronized client copy of the content has been provided
  to the client or the client has been notified that a complete content
  reload is necessary.  Except for transient inconsistencies due to
  concurrent operation (or other) processing at the server, the client
  copy is an accurate reflection of the content held by the server.
  Transient inconsistencies will be resolved by subsequent
  synchronization operations.








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  Possible uses include the following:

     -  White page service applications may use the Sync Operation to
        maintain a current copy of a DIT fragment, for example, a mail
        user agent that uses the sync operation to maintain a local
        copy of an enterprise address book.

     -  Meta-information engines may use the Sync Operation to maintain
        a copy of a DIT fragment.

     -  Caching proxy services may use the Sync Operation to maintain a
        coherent content cache.

     -  Lightweight master-slave replication between heterogeneous
        directory servers.  For example, the Sync Operation can be used
        by a slave server to maintain a shadow copy of a DIT fragment.
        (Note: The International Telephone Union (ITU) has defined the
        X.500 Directory [X.500] Information Shadowing Protocol (DISP)
        [X.525], which may be used for master-slave replication between
        directory servers.  Other experimental LDAP replication
        protocols also exist.)

  This protocol is not intended to be used in applications requiring
  transactional data consistency.

  As this protocol transfers all visible values of entries belonging to
  the content upon change instead of change deltas, this protocol is
  not appropriate for bandwidth-challenged applications or deployments.

1.3.  Overview

  This section provides an overview of basic ways the Sync Operation
  can be used to maintain a synchronized client copy of a DIT fragment.

     -  Polling for changes: refreshOnly mode

     -  Listening for changes: refreshAndPersist mode

1.3.1.  Polling for Changes (refreshOnly)

  To obtain its initial client copy, the client issues a Sync request:
  a search request with the Sync Request Control with mode set to
  refreshOnly.  The server, much like it would with a normal search
  operation, returns (subject to access controls and other
  restrictions) the content matching the search criteria (baseObject,
  scope, filter, attributes).  Additionally, with each entry returned,
  the server provides a Sync State Control indicating state add.  This
  control contains the Universally Unique Identifier (UUID) [UUID] of



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  the entry [RFC4530].  Unlike the Distinguished Name (DN), which may
  change over time, an entry's UUID is stable.  The initial content is
  followed by a SearchResultDone with a Sync Done Control.  The Sync
  Done Control provides a syncCookie.  The syncCookie represents
  session state.

  To poll for updates to the client copy, the client reissues the Sync
  Operation with the syncCookie previously returned.  The server, much
  as it would with a normal search operation, determines which content
  would be returned as if the operation were a normal search operation.
  However, using the syncCookie as an indicator of what content the
  client was sent previously, the server sends copies of entries that
  have changed with a Sync State Control indicating state add.  For
  each changed entry, all (modified or unmodified) attributes belonging
  to the content are sent.

  The server may perform either or both of the two distinct
  synchronization phases that are distinguished by how to synchronize
  entries deleted from the content: the present and the delete phases.
  When the server uses a single phase for the refresh stage, each phase
  is marked as ended by a SearchResultDone with a Sync Done Control.  A
  present phase is identified by a FALSE refreshDeletes value in the
  Sync Done Control.  A delete phase is identified by a TRUE
  refreshDeletes value.  The present phase may be followed by a delete
  phase.  The two phases are delimited by a refreshPresent Sync Info
  Message having a FALSE refreshDone value.  In the case that both the
  phases are used, the present phase is used to bring the client copy
  up to the state at which the subsequent delete phase can begin.

  In the present phase, the server sends an empty entry (i.e., no
  attributes) with a Sync State Control indicating state present for
  each unchanged entry.

  The delete phase may be used when the server can reliably determine
  which entries in the prior client copy are no longer present in the
  content and the number of such entries is less than or equal to the
  number of unchanged entries.  In the delete mode, the server sends an
  empty entry with a Sync State Control indicating state delete for
  each entry that is no longer in the content, instead of returning an
  empty entry with state present for each present entry.

  The server may send syncIdSet Sync Info Messages containing the set
  of UUIDs of either unchanged present entries or deleted entries,
  instead of sending multiple individual messages.  If refreshDeletes
  of syncIdSet is set to FALSE, the UUIDs of unchanged present entries
  are contained in the syncUUIDs set; if refreshDeletes of syncIdSet is
  set to TRUE, the UUIDs of the entries no longer present in the
  content are contained in the syncUUIDs set.  An optional cookie can



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  be included in the syncIdSet to represent the state of the content
  after synchronizing the presence or the absence of the entries
  contained in the syncUUIDs set.

  The synchronized copy of the DIT fragment is constructed by the
  client.

  If refreshDeletes of syncDoneValue is FALSE, the new copy includes
  all changed entries returned by the reissued Sync Operation, as well
  as all unchanged entries identified as being present by the reissued
  Sync Operation, but whose content is provided by the previous Sync
  Operation.  The unchanged entries not identified as being present are
  deleted from the client content.  They had been either deleted,
  moved, or otherwise scoped-out from the content.

  If refreshDeletes of syncDoneValue is TRUE, the new copy includes all
  changed entries returned by the reissued Sync Operation, as well as
  all other entries of the previous copy except for those that are
  identified as having been deleted from the content.

  The client can, at some later time, re-poll for changes to this
  synchronized client copy.

1.3.2.  Listening for Changes (refreshAndPersist)

  Polling for changes can be expensive in terms of server, client, and
  network resources.  The refreshAndPersist mode allows for active
  updates of changed entries in the content.

  By selecting the refreshAndPersist mode, the client requests that the
  server send updates of entries that are changed after the initial
  refresh content is determined.  Instead of sending a SearchResultDone
  Message as in polling, the server sends a Sync Info Message to the
  client indicating that the refresh stage is complete and then enters
  the persist stage.  After receipt of this Sync Info Message, the
  client will construct a synchronized copy as described in Section
  1.3.1.

  The server may then send change notifications as the result of the
  original Sync search request, which now remains persistent in the
  server.  For entries to be added to the returned content, the server
  sends a SearchResultEntry (with attributes) with a Sync State Control
  indicating state add.  For entries to be deleted from the content,
  the server sends a SearchResultEntry containing no attributes and a
  Sync State Control indicating state delete.  For entries to be
  modified in the return content, the server sends a SearchResultEntry
  (with attributes) with a Sync State Control indicating state modify.




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  Upon modification of an entry, all (modified or unmodified)
  attributes belonging to the content are sent.

  Note that renaming an entry of the DIT may cause an add state change
  where the entry is renamed into the content, a delete state change
  where the entry is renamed out of the content, and a modify state
  change where the entry remains in the content.  Also note that a
  modification of an entry of the DIT may cause an add, delete, or
  modify state change to the content.

  Upon receipt of a change notification, the client updates its copy of
  the content.

  If the server desires to update the syncCookie during the persist
  stage, it may include the syncCookie in any Sync State Control or
  Sync Info Message returned.

  The operation persists until canceled [RFC3909] by the client or
  terminated by the server.  A Sync Done Control shall be attached to
  SearchResultDone Message to provide a new syncCookie.

1.4.  Conventions

  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 BCP 14 [RFC2119].

  Protocol elements are described using ASN.1 [X.680] with implicit
  tags.  The term "BER-encoded" means the element is to be encoded
  using the Basic Encoding Rules [X.690] under the restrictions
  detailed in Section 5.1 of [RFC4511].

2.  Elements of the Sync Operation

  The Sync Operation is defined as an extension to the LDAP Search
  Operation [RFC4511] where the directory user agent (DUA or client)
  submits a SearchRequest Message with a Sync Request Control and the
  directory system agent (DSA or server) responds with zero or more
  SearchResultEntry Messages, each with a Sync State Control; zero or
  more SearchResultReference Messages, each with a Sync State Control;
  zero or more Sync Info Intermediate Response Messages; and a
  SearchResultDone Message with a Sync Done Control.

  To allow clients to discover support for this operation, servers
  implementing this operation SHOULD publish 1.3.6.1.4.1.4203.1.9.1.1
  as a value of the 'supportedControl' attribute [RFC4512] of the root
  DSA-specific entry (DSE).  A server MAY choose to advertise this
  extension only when the client is authorized to use it.



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2.1.  Common ASN.1 Elements

2.1.1.  syncUUID

  The syncUUID data type is an OCTET STRING holding a 128-bit
  (16-octet) Universally Unique Identifier (UUID) [UUID].

     syncUUID ::= OCTET STRING (SIZE(16))
          -- constrained to UUID

2.1.2.  syncCookie

  The syncCookie is a notational convenience to indicate that, while
  the syncCookie type is encoded as an OCTET STRING, its value is an
  opaque value containing information about the synchronization session
  and its state.  Generally, the session information would include a
  hash of the operation parameters that the server requires not be
  changed and the synchronization state information would include a
  commit (log) sequence number, a change sequence number, or a time
  stamp.  For convenience of description, the term "no cookie" refers
  either to a null cookie or to a cookie with pre-initialized
  synchronization state.

     syncCookie ::= OCTET STRING

2.2.  Sync Request Control

  The Sync Request Control is an LDAP Control [RFC4511] where the
  controlType is the object identifier 1.3.6.1.4.1.4203.1.9.1.1 and the
  controlValue, an OCTET STRING, contains a BER-encoded
  syncRequestValue.  The criticality field is either TRUE or FALSE.

     syncRequestValue ::= SEQUENCE {
         mode ENUMERATED {
             -- 0 unused
             refreshOnly       (1),
             -- 2 reserved
             refreshAndPersist (3)
         },
         cookie     syncCookie OPTIONAL,
         reloadHint BOOLEAN DEFAULT FALSE
     }

  The Sync Request Control is only applicable to the SearchRequest
  Message.






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2.3.  Sync State Control

  The Sync State Control is an LDAP Control [RFC4511] where the
  controlType is the object identifier 1.3.6.1.4.1.4203.1.9.1.2 and the
  controlValue, an OCTET STRING, contains a BER-encoded syncStateValue.
  The criticality is FALSE.

     syncStateValue ::= SEQUENCE {
         state ENUMERATED {
             present (0),
             add (1),
             modify (2),
             delete (3)
         },
         entryUUID syncUUID,
         cookie    syncCookie OPTIONAL
     }

  The Sync State Control is only applicable to SearchResultEntry and
  SearchResultReference Messages.

2.4.  Sync Done Control

  The Sync Done Control is an LDAP Control [RFC4511] where the
  controlType is the object identifier 1.3.6.1.4.1.4203.1.9.1.3 and the
  controlValue contains a BER-encoded syncDoneValue.  The criticality
  is FALSE (and hence absent).

     syncDoneValue ::= SEQUENCE {
         cookie          syncCookie OPTIONAL,
         refreshDeletes  BOOLEAN DEFAULT FALSE
     }

  The Sync Done Control is only applicable to the SearchResultDone
  Message.
















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2.5.  Sync Info Message

  The Sync Info Message is an LDAP Intermediate Response Message
  [RFC4511] where responseName is the object identifier
  1.3.6.1.4.1.4203.1.9.1.4 and responseValue contains a BER-encoded
  syncInfoValue.  The criticality is FALSE (and hence absent).

     syncInfoValue ::= CHOICE {
         newcookie      [0] syncCookie,
         refreshDelete  [1] SEQUENCE {
             cookie         syncCookie OPTIONAL,
             refreshDone    BOOLEAN DEFAULT TRUE
         },
         refreshPresent [2] SEQUENCE {
             cookie         syncCookie OPTIONAL,
             refreshDone    BOOLEAN DEFAULT TRUE
         },
         syncIdSet      [3] SEQUENCE {
             cookie         syncCookie OPTIONAL,
             refreshDeletes BOOLEAN DEFAULT FALSE,
             syncUUIDs      SET OF syncUUID
         }
     }

2.6.  Sync Result Codes

  The following LDAP resultCode [RFC4511] is defined:

     e-syncRefreshRequired (4096)

3.  Content Synchronization

  The Sync Operation is invoked when the client sends a SearchRequest
  Message with a Sync Request Control.

  The absence of a cookie or an initialized synchronization state in a
  cookie indicates a request for initial content, while the presence of
  a cookie representing a state of a client copy indicates a request
  for a content update.  Synchronization Sessions are discussed in
  Section 3.1.  Content Determination is discussed in Section 3.2.

  The mode is either refreshOnly or refreshAndPersist.  The refreshOnly
  and refreshAndPersist modes are discussed in Sections 3.3 and 3.4,
  respectively.  The refreshOnly mode consists only of a refresh stage,
  while the refreshAndPersist mode consists of a refresh stage and a
  subsequent persist stage.





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3.1.  Synchronization Session

  A sequence of Sync Operations where the last cookie returned by the
  server for one operation is provided by the client in the next
  operation is said to belong to the same Synchronization Session.

  The client MUST specify the same content-controlling parameters (see
  Section 3.5) in each Search Request of the session.  The client
  SHOULD also issue each Sync request of a session under the same
  authentication and authorization associations with equivalent
  integrity and protections.  If the server does not recognize the
  request cookie or the request is made under different associations or
  non-equivalent protections, the server SHALL return the initial
  content as if no cookie had been provided or return an empty content
  with the e-syncRefreshRequired LDAP result code.  The decision
  between the return of the initial content and the return of the empty
  content with the e-syncRefreshRequired result code MAY be based on
  reloadHint in the Sync Request Control from the client.  If the
  server recognizes the request cookie as representing empty or initial
  synchronization state of the client copy, the server SHALL return the
  initial content.

  A Synchronization Session may span multiple LDAP sessions between the
  client and the server.  The client SHOULD issue each Sync request of
  a session to the same server.  (Note: Shadowing considerations are
  discussed in Section 6.)

3.2.  Content Determination

  The content to be provided is determined by parameters of the Search
  Request, as described in [RFC4511], and possibly other controls.  The
  same content parameters SHOULD be used in each Sync request of a
  session.  If different content is requested and the server is
  unwilling or unable to process the request, the server SHALL return
  the initial content as if no cookie had been provided or return an
  empty content with the e-syncRefreshRequired LDAP result code.  The
  decision between the return of the initial content and the return of
  the empty content with the e-syncRefreshRequired result code MAY be
  based on reloadHint in the Sync Request Control from the client.

  The content may not necessarily include all entries or references
  that would be returned by a normal search operation, nor, for those
  entries included, all attributes returned by a normal search.  When
  the server is unwilling or unable to provide synchronization for any
  attribute for a set of entries, the server MUST treat all filter
  components matching against these attributes as Undefined and MUST
  NOT return these attributes in SearchResultEntry responses.




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  Servers SHOULD support synchronization for all non-collective user-
  application attributes for all entries.

  The server may also return continuation references to other servers
  or to itself.  The latter is allowed as the server may partition the
  entries it holds into separate synchronization contexts.

  The client may chase all or some of these continuations, each as a
  separate content synchronization session.

3.3.  refreshOnly Mode

  A Sync request with mode refreshOnly and with no cookie is a poll for
  initial content.  A Sync request with mode refreshOnly and with a
  cookie representing a synchronization state is a poll for content
  update.

3.3.1.  Initial Content Poll

  Upon receipt of the request, the server provides the initial content
  using a set of zero or more SearchResultEntry and
  SearchResultReference Messages followed by a SearchResultDone
  Message.

  Each SearchResultEntry Message SHALL include a Sync State Control of
  state add, an entryUUID containing the entry's UUID, and no cookie.
  Each SearchResultReference Message SHALL include a Sync State Control
  of state add, an entryUUID containing the UUID associated with the
  reference (normally the UUID of the associated named referral
  [RFC3296] object), and no cookie.  The SearchResultDone Message SHALL
  include a Sync Done Control having refreshDeletes set to FALSE.

  A resultCode value of success indicates that the operation
  successfully completed.  Otherwise, the result code indicates the
  nature of the failure.  The server may return e-syncRefreshRequired
  result code on the initial content poll if it is safe to do so when
  it is unable to perform the operation due to various reasons.
  reloadHint is set to FALSE in the SearchRequest Message requesting
  the initial content poll.

  If the operation is successful, a cookie representing the
  synchronization state of the current client copy SHOULD be returned
  for use in subsequent Sync Operations.

3.3.2.  Content Update Poll

  Upon receipt of the request, the server provides the content refresh
  using a set of zero or more SearchResultEntry and



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  SearchResultReference Messages followed by a SearchResultDone
  Message.

  The server is REQUIRED to:

     a) provide the sequence of messages necessary for eventual
        convergence of the client's copy of the content to the server's
        copy,

     b) treat the request as an initial content request (e.g., ignore
        the cookie or the synchronization state represented in the
        cookie),

     c) indicate that the incremental convergence is not possible by
        returning e-syncRefreshRequired,

     d) return a resultCode other than success or e-
        syncRefreshRequired.

  A Sync Operation may consist of a single present phase, a single
  delete phase, or a present phase followed by a delete phase.

  In each phase, for each entry or reference that has been added to the
  content or been changed since the previous Sync Operation indicated
  by the cookie, the server returns a SearchResultEntry or
  SearchResultReference Message, respectively, each with a Sync State
  Control consisting of state add, an entryUUID containing the UUID of
  the entry or reference, and no cookie.  Each SearchResultEntry
  Message represents the current state of a changed entry.  Each
  SearchResultReference Message represents the current state of a
  changed reference.

  In the present phase, for each entry that has not been changed since
  the previous Sync Operation, an empty SearchResultEntry is returned
  whose objectName reflects the entry's current DN, whose attributes
  field is empty, and whose Sync State Control consists of state
  present, an entryUUID containing the UUID of the entry, and no
  cookie.  For each reference that has not been changed since the
  previous Sync Operation, an empty SearchResultReference containing an
  empty SEQUENCE OF LDAPURL is returned with a Sync State Control
  consisting of state present, an entryUUID containing the UUID of the
  entry, and no cookie.  No messages are sent for entries or references
  that are no longer in the content.

  Multiple empty entries with a Sync State Control of state present
  SHOULD be coalesced into one or more Sync Info Messages of syncIdSet
  value with refreshDeletes set to FALSE.  syncUUIDs contain a set of
  UUIDs of the entries and references unchanged since the last Sync



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  Operation.  syncUUIDs may be empty.  The Sync Info Message of
  syncIdSet may contain a cookie to represent the state of the content
  after performing the synchronization of the entries in the set.

  In the delete phase, for each entry no longer in the content, the
  server returns a SearchResultEntry whose objectName reflects a past
  DN of the entry or is empty, whose attributes field is empty, and
  whose Sync State Control consists of state delete, an entryUUID
  containing the UUID of the deleted entry, and no cookie.  For each
  reference no longer in the content, a SearchResultReference
  containing an empty SEQUENCE OF LDAPURL is returned with a Sync State
  Control consisting of state delete, an entryUUID containing the UUID
  of the deleted reference, and no cookie.

  Multiple empty entries with a Sync State Control of state delete
  SHOULD be coalesced into one or more Sync Info Messages of syncIdSet
  value with refreshDeletes set to TRUE.  syncUUIDs contain a set of
  UUIDs of the entries and references that have been deleted from the
  content since the last Sync Operation.  syncUUIDs may be empty.  The
  Sync Info Message of syncIdSet may contain a cookie to represent the
  state of the content after performing the synchronization of the
  entries in the set.

  When a present phase is followed by a delete phase, the two phases
  are delimited by a Sync Info Message containing syncInfoValue of
  refreshPresent, which may contain a cookie representing the state
  after completing the present phase.  The refreshPresent contains
  refreshDone, which is always FALSE in the refreshOnly mode of Sync
  Operation because it is followed by a delete phase.

  If a Sync Operation consists of a single phase, each phase and hence
  the Sync Operation are marked as ended by a SearchResultDone Message
  with Sync Done Control, which SHOULD contain a cookie representing
  the state of the content after completing the Sync Operation.  The
  Sync Done Control contains refreshDeletes, which is set to FALSE for
  the present phase and set to TRUE for the delete phase.

  If a Sync Operation consists of a present phase followed by a delete
  phase, the Sync Operation is marked as ended at the end of the delete
  phase by a SearchResultDone Message with Sync Done Control, which
  SHOULD contain a cookie representing the state of the content after
  completing the Sync Operation.  The Sync Done Control contains
  refreshDeletes, which is set to TRUE.

  The client can specify whether it prefers to receive an initial
  content by supplying reloadHint of TRUE or to receive a e-
  syncRefreshRequired resultCode by supplying reloadHint of FALSE
  (hence absent), in the case that the server determines that it is



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  impossible or inefficient to achieve the eventual convergence by
  continuing the current incremental synchronization thread.

  A resultCode value of success indicates that the operation is
  successfully completed.  A resultCode value of e-syncRefreshRequired
  indicates that a full or partial refresh is needed.  Otherwise, the
  result code indicates the nature of failure.  A cookie is provided in
  the Sync Done Control for use in subsequent Sync Operations for
  incremental synchronization.

3.4.  refreshAndPersist Mode

  A Sync request with mode refreshAndPersist asks for initial content
  or content update (during the refresh stage) followed by change
  notifications (during the persist stage).

3.4.1.  refresh Stage

  The content refresh is provided as described in Section 3.3, except
  that the successful completion of content refresh is indicated by
  sending a Sync Info Message of refreshDelete or refreshPresent with a
  refreshDone value set to TRUE instead of a SearchResultDone Message
  with resultCode success.  A cookie SHOULD be returned in the Sync
  Info Message to represent the state of the content after finishing
  the refresh stage of the Sync Operation.

3.4.2.  persist Stage

  Change notifications are provided during the persist stage.

  As updates are made to the DIT, the server notifies the client of
  changes to the content.  DIT updates may cause entries and references
  to be added to the content, deleted from the content, or modified
  within the content.  DIT updates may also cause references to be
  added, deleted, or modified within the content.

  Where DIT updates cause an entry to be added to the content, the
  server provides a SearchResultEntry Message that represents the entry
  as it appears in the content.  The message SHALL include a Sync State
  Control with state of add, an entryUUID containing the entry's UUID,
  and an optional cookie.

  Where DIT updates cause a reference to be added to the content, the
  server provides a SearchResultReference Message that represents the
  reference in the content.  The message SHALL include a Sync State
  Control with state of add, an entryUUID containing the UUID
  associated with the reference, and an optional cookie.




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  Where DIT updates cause an entry to be modified within the content,
  the server provides a SearchResultEntry Message that represents the
  entry as it appears in the content.  The message SHALL include a Sync
  State Control with state of modify, an entryUUID containing the
  entry's UUID, and an optional cookie.

  Where DIT updates cause a reference to be modified within the
  content, the server provides a SearchResultReference Message that
  represents the reference in the content.  The message SHALL include a
  Sync State Control with state of modify, an entryUUID containing the
  UUID associated with the reference, and an optional cookie.

  Where DIT updates cause an entry to be deleted from the content, the
  server provides a SearchResultEntry Message with no attributes.  The
  message SHALL include a Sync State Control with state of delete, an
  entryUUID containing the entry's UUID, and an optional cookie.

  Where DIT updates cause a reference to be deleted from the content,
  the server provides a SearchResultReference Message with an empty
  SEQUENCE OF LDAPURL.  The message SHALL include a Sync State Control
  with state of delete, an entryUUID containing the UUID associated
  with the reference, and an optional cookie.

  Multiple empty entries with a Sync State Control of state delete
  SHOULD be coalesced into one or more Sync Info Messages of syncIdSet
  value with refreshDeletes set to TRUE. syncUUIDs contain a set of
  UUIDs of the entries and references that have been deleted from the
  content.  The Sync Info Message of syncIdSet may contain a cookie to
  represent the state of the content after performing the
  synchronization of the entries in the set.

  With each of these messages, the server may provide a new cookie to
  be used in subsequent Sync Operations.  Additionally, the server may
  also return Sync Info Messages of choice newCookie to provide a new
  cookie.  The client SHOULD use the newest (last) cookie it received
  from the server in subsequent Sync Operations.

3.5.  Search Request Parameters

  As stated in Section 3.1, the client SHOULD specify the same
  content-controlling parameters in each Search Request of the session.
  All fields of the SearchRequest Message are considered content-
  controlling parameters except for sizeLimit and timeLimit.








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3.5.1.  baseObject

  As with the normal search operation, the refresh and persist stages
  are not isolated from DIT changes.  It is possible that the entry
  referred to by the baseObject is deleted, renamed, or moved.  It is
  also possible that the alias object used in finding the entry
  referred to by the baseObject is changed such that the baseObject
  refers to a different entry.

  If the DIT is updated during processing of the Sync Operation in a
  manner that causes the baseObject no longer to refer to any entry or
  in a manner that changes the entry the baseObject refers to, the
  server SHALL return an appropriate non-success result code, such as
  noSuchObject, aliasProblem, aliasDereferencingProblem, referral, or
  e-syncRefreshRequired.

3.5.2.  derefAliases

  This operation does not support alias dereferencing during searching.
  The client SHALL specify neverDerefAliases or derefFindingBaseObj for
  the SearchRequest derefAliases parameter.  The server SHALL treat
  other values (e.g., derefInSearching, derefAlways) as protocol
  errors.

3.5.3.  sizeLimit

  The sizeLimit applies only to entries (regardless of their state in
  Sync State Control) returned during the refreshOnly operation or the
  refresh stage of the refreshAndPersist operation.

3.5.4.  timeLimit

  For a refreshOnly Sync Operation, the timeLimit applies to the whole
  operation.  For a refreshAndPersist operation, the timeLimit applies
  only to the refresh stage including the generation of the Sync Info
  Message with a refreshDone value of TRUE.

3.5.5.  filter

  The client SHOULD avoid filter assertions that apply to the values of
  the attributes likely to be considered by the server as ones holding
  meta-information.  See Section 4.

3.6.  objectName

  The Sync Operation uses entryUUID values provided in the Sync State
  Control as the primary keys to entries.  The client MUST use these
  entryUUIDs to correlate synchronization messages.



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  In some circumstances, the DN returned may not reflect the entry's
  current DN.  In particular, when the entry is being deleted from the
  content, the server may provide an empty DN if the server does not
  wish to disclose the entry's current DN (or, if deleted from the DIT,
  the entry's last DN).

  Also note that the entry's DN may be viewed as meta information (see
  Section 4.1).

3.7.  Canceling the Sync Operation

  Servers MUST implement the LDAP Cancel [RFC3909] Operation and
  support cancellation of outstanding Sync Operations as described
  here.

  To cancel an outstanding Sync Operation, the client issues an LDAP
  Cancel [RFC3909] Operation.

  If at any time the server becomes unwilling or unable to continue
  processing a Sync Operation, the server SHALL return a
  SearchResultDone with a non-success resultCode indicating the reason
  for the termination of the operation.

  Whether the client or the server initiated the termination, the
  server may provide a cookie in the Sync Done Control for use in
  subsequent Sync Operations.

3.8.  Refresh Required

  In order to achieve the eventually-convergent synchronization, the
  server may terminate the Sync Operation in the refresh or persist
  stages by returning an e-syncRefreshRequired resultCode to the
  client.  If no cookie is provided, a full refresh is needed.  If a
  cookie representing a synchronization state is provided in this
  response, an incremental refresh is needed.

  To obtain a full refresh, the client then issues a new
  synchronization request with no cookie.  To obtain an incremental
  reload, the client issues a new synchronization with the provided
  cookie.

  The server may choose to provide a full copy in the refresh stage
  (e.g., ignore the cookie or the synchronization state represented in
  the cookie) instead of providing an incremental refresh in order to
  achieve the eventual convergence.






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  The decision between the return of the initial content and the return
  of the e-syncRefreshRequired result code may be based on reloadHint
  in the Sync Request Control from the client.

  In the case of persist stage Sync, the server returns the resultCode
  of e-syncRefreshRequired to the client to indicate that the client
  needs to issue a new Sync Operation in order to obtain a synchronized
  copy of the content.  If no cookie is provided, a full refresh is
  needed.  If a cookie representing a synchronization state is
  provided, an incremental refresh is needed.

  The server may also return e-syncRefreshRequired if it determines
  that a refresh would be more efficient than sending all the messages
  required for convergence.

  Note that the client may receive one or more of SearchResultEntry,
  SearchResultReference, and/or Sync Info Messages before it receives a
  SearchResultDone Message with the e-syncRefreshRequired result code.

3.9.  Chattiness Considerations

  The server MUST ensure that the number of entry messages generated to
  refresh the client content does not exceed the number of entries
  presently in the content.  While there is no requirement for servers
  to maintain history information, if the server has sufficient history
  to allow it to reliably determine which entries in the prior client
  copy are no longer present in the content and the number of such
  entries is less than or equal to the number of unchanged entries, the
  server SHOULD generate delete entry messages instead of present entry
  messages (see Section 3.3.2).

  When the amount of history information maintained in the server is
  not enough for the clients to perform infrequent refreshOnly Sync
  Operations, it is likely that the server has incomplete history
  information (e.g., due to truncation) by the time those clients
  connect again.

  The server SHOULD NOT resort to full reload when the history
  information is not enough to generate delete entry messages.  The
  server SHOULD generate either present entry messages only or present
  entry messages followed by delete entry messages to bring the client
  copy to the current state.  In the latter case, the present entry
  messages bring the client copy to a state covered by the history
  information maintained in the server.

  The server SHOULD maintain enough (current or historical) state
  information (such as a context-wide last modify time stamp) to
  determine if no changes were made in the context since the content



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  refresh was provided and, when no changes were made, generate zero
  delete entry messages instead of present messages.

  The server SHOULD NOT use the history information when its use does
  not reduce the synchronization traffic or when its use can expose
  sensitive information not allowed to be received by the client.

  The server implementor should also consider chattiness issues that
  span multiple Sync Operations of a session.  As noted in Section 3.8,
  the server may return e-syncRefreshRequired if it determines that a
  reload would be more efficient than continuing under the current
  operation.  If reloadHint in the Sync Request is TRUE, the server may
  initiate a reload without directing the client to request a reload.

  The server SHOULD transfer a new cookie frequently to avoid having to
  transfer information already provided to the client.  Even where DIT
  changes do not cause content synchronization changes to be
  transferred, it may be advantageous to provide a new cookie using a
  Sync Info Message.  However, the server SHOULD avoid overloading the
  client or network with Sync Info Messages.

  During persist mode, the server SHOULD coalesce multiple outstanding
  messages updating the same entry.  The server MAY delay generation of
  an entry update in anticipation of subsequent changes to that entry
  that could be coalesced.  The length of the delay should be long
  enough to allow coalescing of update requests issued back to back but
  short enough that the transient inconsistency induced by the delay is
  corrected in a timely manner.

  The server SHOULD use the syncIdSet Sync Info Message when there are
  multiple delete or present messages to reduce the amount of
  synchronization traffic.

  Also note that there may be many clients interested in a particular
  directory change, and that servers attempting to service all of these
  at once may cause congestion on the network.  The congestion issues
  are magnified when the change requires a large transfer to each
  interested client.  Implementors and deployers of servers should take
  steps to prevent and manage network congestion.

3.10.  Operation Multiplexing

  The LDAP protocol model [RFC4511] allows operations to be multiplexed
  over a single LDAP session.  Clients SHOULD NOT maintain multiple
  LDAP sessions with the same server.  Servers SHOULD ensure that
  responses from concurrently processed operations are interleaved
  fairly.




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  Clients SHOULD combine Sync Operations whose result set is largely
  overlapping.  This avoids having to return multiple messages, once
  for each overlapping session, for changes to entries in the overlap.

  Clients SHOULD NOT combine Sync Operations whose result sets are
  largely non-overlapping.  This ensures that an event requiring an
  e-syncRefreshRequired response can be limited to as few result sets
  as possible.

4.  Meta Information Considerations

4.1.  Entry DN

  As an entry's DN is constructed from its relative DN (RDN) and the
  entry's parent's DN, it is often viewed as meta information.

  While renaming or moving to a new superior causes the entry's DN to
  change, that change SHOULD NOT, by itself, cause synchronization
  messages to be sent for that entry.  However, if the renaming or the
  moving could cause the entry to be added or deleted from the content,
  appropriate synchronization messages should be generated to indicate
  this to the client.

  When a server treats the entry's DN as meta information, the server
  SHALL either

     -  evaluate all MatchingRuleAssertions [RFC4511] to TRUE if
        matching a value of an attribute of the entry, otherwise
        Undefined, or

     -  evaluate all MatchingRuleAssertion with dnAttributes of TRUE as
        Undefined.

  The latter choice is offered for ease of server implementation.

4.2.  Operational Attributes

  Where values of an operational attribute are determined by values not
  held as part of the entry it appears in, the operational attribute
  SHOULD NOT support synchronization of that operational attribute.

  For example, in servers that implement the X.501 subschema model
  [X.501], servers should not support synchronization of the
  subschemaSubentry attribute as its value is determined by values held
  and administrated in subschema subentries.






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  As a counter example, servers that implement aliases [RFC4512][X.501]
  can support synchronization of the aliasedObjectName attribute as its
  values are held and administrated as part of the alias entries.

  Servers SHOULD support synchronization of the following operational
  attributes: createTimestamp, modifyTimestamp, creatorsName,
  modifiersName [RFC4512].  Servers MAY support synchronization of
  other operational attributes.

4.3.  Collective Attributes

  A collective attribute is "a user attribute whose values are the same
  for each member of an entry collection" [X.501].  Use of collective
  attributes in LDAP is discussed in [RFC3671].

  Modification of a collective attribute generally affects the content
  of multiple entries, which are the members of the collection.  It is
  inefficient to include values of collective attributes visible in
  entries of the collection, as a single modification of a collective
  attribute requires transmission of multiple SearchResultEntry (one
  for each entry of the collection that the modification affected).

  Servers SHOULD NOT synchronize collective attributes appearing in
  entries of any collection.  Servers MAY support synchronization of
  collective attributes appearing in collective attribute subentries.

4.4.  Access and Other Administrative Controls

  Entries are commonly subject to access and other administrative
  Controls.  While portions of the policy information governing a
  particular entry may be held in the entry, policy information is
  often held elsewhere (in superior entries, in subentries, in the root
  DSE, in configuration files, etc.).  Because of this, changes to
  policy information make it difficult to ensure eventual convergence
  during incremental synchronization.

  Where it is impractical or infeasible to generate content changes
  resulting from a change to policy information, servers may opt to
  return e-syncRefreshRequired or to treat the Sync Operation as an
  initial content request (e.g., ignore the cookie or the
  synchronization state represented in the cookie).

5.  Interaction with Other Controls

  The Sync Operation may be used with:

     - ManageDsaIT Control [RFC3296]




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     - Subentries Control [RFC3672]

  as described below.  The Sync Operation may be used with other LDAP
  extensions as detailed in other documents.

5.1.  ManageDsaIT Control

  The ManageDsaIT Control [RFC3296] indicates that the operation acts
  upon the DSA Information Tree and causes referral and other special
  entries to be treated as object entries with respect to the
  operation.

5.2.  Subentries Control

  The Subentries Control is used with the search operation "to control
  the visibility of entries and subentries which are within scope"
  [RFC3672].  When used with the Sync Operation, the subentries control
  and other factors (search scope, filter, etc.) are used to determine
  whether an entry or subentry appears in the content.

6.  Shadowing Considerations

  As noted in [RFC4511], some servers may hold shadow copies of entries
  that can be used to answer search and comparison queries.  Such
  servers may also support content synchronization requests.  This
  section discusses considerations for implementors and deployers for
  the implementation and deployment of the Sync operation in shadowed
  directories.

  While a client may know of multiple servers that are equally capable
  of being used to obtain particular directory content from, a client
  SHOULD NOT assume that each of these servers is equally capable of
  continuing a content synchronization session.  As stated in Section
  3.1, the client SHOULD issue each Sync request of a Sync session to
  the same server.

  However, through domain naming or IP address redirection or other
  techniques, multiple physical servers can be made to appear as one
  logical server to a client.  Only servers that are equally capable in
  regards to their support for the Sync operation and that hold equally
  complete copies of the entries should be made to appear as one
  logical server.  In particular, each physical server acting as one
  logical server SHOULD be equally capable of continuing a content
  synchronization based upon cookies provided by any of the other
  physical servers without requiring a full reload.  Because there is
  no standard LDAP shadowing mechanism, the specification of how to
  independently implement equally capable servers (as well as the
  precise definition of "equally capable") is left to future documents.



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  Note that it may be difficult for the server to reliably determine
  what content was provided to the client by another server, especially
  in the shadowing environments that allow shadowing events to be
  coalesced.  For these servers, the use of the delete phase discussed
  in Section 3.3.2 may not be applicable.

7.  Security Considerations

  In order to maintain a synchronized copy of the content, a client is
  to delete information from its copy of the content as described
  above.  However, the client may maintain knowledge of information
  disclosed to it by the server separate from its copy of the content
  used for synchronization.  Management of this knowledge is beyond the
  scope of this document.  Servers should be careful not to disclose
  information for content the client is not authorized to have
  knowledge of and/or about.

  While the information provided by a series of refreshOnly Sync
  Operations is similar to that provided by a series of Search
  Operations, persist stage may disclose additional information.  A
  client may be able to discern information about the particular
  sequence of update operations that caused content change.

  Implementors should take precautions against malicious cookie
  content, including malformed cookies or valid cookies used with
  different security associations and/or protections in an attempt to
  obtain unauthorized access to information.  Servers may include a
  digital signature in the cookie to detect tampering.

  The operation may be the target of direct denial-of-service attacks.
  Implementors should provide safeguards to ensure the operation is not
  abused.  Servers may place access control or other restrictions upon
  the use of this operation.

  Note that even small updates to the directory may cause a significant
  amount of traffic to be generated to clients using this operation.  A
  user could abuse its update privileges to mount an indirect denial of
  service to these clients, other clients, and/or portions of the
  network.  Servers should provide safeguards to ensure that update
  operations are not abused.

  Implementors of this (or any) LDAP extension should be familiar with
  general LDAP security considerations [RFC4510].








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8.  IANA Considerations

  Registration of the following values have been completed by the IANA
  [RFC4520].

8.1.  Object Identifier

  The OID arc 1.3.6.1.4.1.4203.1.9.1 was assigned [ASSIGN] by the
  OpenLDAP Foundation, under its IANA-assigned private enterprise
  allocation [PRIVATE], for use in this specification.

8.2.  LDAP Protocol Mechanism

  The IANA has registered the LDAP Protocol Mechanism described in this
  document.

     Subject: Request for LDAP Protocol Mechanism Registration
     Object Identifier: 1.3.6.1.4.1.4203.1.9.1.1
     Description: LDAP Content Synchronization Control
     Person & email address to contact for further information:
         Kurt Zeilenga <[email protected]>
     Usage: Control
     Specification: RFC 4533
     Author/Change Controller: Kurt D. Zeilenga, Jong Hyuk Choi
     Comments: none

8.3.  LDAP Result Codes

  The IANA has registered the LDAP Result Code described in this
  document.

     Subject: LDAP Result Code Registration
     Person & email address to contact for further information:
         Kurt Zeilenga <[email protected]>
     Result Code Name: e-syncRefreshRequired (4096)
     Specification: RFC 4533
     Author/Change Controller: Kurt D. Zeilenga, Jong Hyuk Choi
     Comments:  none

9.  Acknowledgements

  This document borrows significantly from the LDAP Client Update
  Protocol [RFC3928], a product of the IETF LDUP working group.  This
  document also benefited from Persistent Search [PSEARCH], Triggered
  Search [TSEARCH], and Directory Synchronization [DIRSYNC] works.
  This document also borrows from "Lightweight Directory Access
  Protocol (v3)" [RFC2251].




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RFC 4533         LDAP Content Synchronization Operation        June 2006


10.  Normative References

  [RFC2119]   Bradner, S., "Key words for use in RFCs to Indicate
              Requirement Levels", BCP 14, RFC 2119, March 1997.

  [RFC3296]   Zeilenga, K., "Named Subordinate References in
              Lightweight Directory Access Protocol (LDAP)
              Directories", RFC 3296, July 2002.

  [RFC3671]   Zeilenga, K., "Collective Attributes in the Lightweight
              Directory Access Protocol (LDAP)", RFC 3671, December
              2003.

  [RFC3672]   Zeilenga, K., "Subentries in the Lightweight Directory
              Access Protocol (LDAP)", RFC 3672, December 2003.

  [RFC3909]   Zeilenga, K., "Lightweight Directory Access Protocol
              (LDAP) Cancel Operation", RFC 3909, October 2004.

  [RFC4510]   Zeilenga, K., Ed., "Lightweight Directory Access Protocol
              (LDAP): Technical Specification Road Map", RFC 4510, June
              2006.

  [RFC4511]   Sermersheim, J., Ed., "Lightweight Directory Access
              Protocol (LDAP): The Protocol", RFC 4511, June 2006.

  [RFC4512]   Zeilenga, K., "Lightweight Directory Access Protocol
              (LDAP): Directory Information Models", RFC 4512, June
              2006.

  [RFC4530]   Zeilenga, K., "Lightweight Directory Access Protocol
              (LDAP) entryUUID Operational Attribute", RFC 4530, June
              2006.

  [UUID]      International Organization for Standardization (ISO),
              "Information technology - Open Systems Interconnection -
              Remote Procedure Call", ISO/IEC 11578:1996

  [X.501]     International Telecommunication Union - Telecommunication
              Standardization Sector, "The Directory -- Models,"
              X.501(1993) (also ISO/IEC 9594-2:1994).

  [X.680]     International Telecommunication Union - Telecommunication
              Standardization Sector, "Abstract Syntax Notation One
              (ASN.1) - Specification of Basic Notation", X.680(1997)
              (also ISO/IEC 8824-1:1998).





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RFC 4533         LDAP Content Synchronization Operation        June 2006


  [X.690]     International Telecommunication Union - Telecommunication
              Standardization Sector, "Specification of ASN.1 encoding
              rules: Basic Encoding Rules (BER), Canonical Encoding
              Rules (CER), and Distinguished Encoding Rules (DER)",
              X.690(1997) (also ISO/IEC 8825-1:1998).

11.  Informative References

  [RFC2251]   Wahl, M., Howes, T., and S. Kille, "Lightweight Directory
              Access Protocol (v3)", RFC 2251, December 1997.

  [RFC3928]   Megginson, R., Ed., Smith, M., Natkovich, O., and J.
              Parham, "Lightweight Directory Access Protocol (LDAP)
              Client Update Protocol (LCUP)", RFC 3928, October 2004.

  [RFC4520]   Zeilenga, K., "Internet Assigned Numbers Authority (IANA)
              Considerations for the Lightweight Directory Access
              Protocol (LDAP)", BCP 64, RFC 4520, June 2006.

  [PRIVATE]   IANA, "Private Enterprise Numbers",
              http://www.iana.org/assignments/enterprise-numbers.

  [ASSIGN]    OpenLDAP Foundation, "OpenLDAP OID Delegations",
              http://www.openldap.org/foundation/oid-delegate.txt.

  [X.500]     International Telecommunication Union - Telecommunication
              Standardization Sector, "The Directory -- Overview of
              concepts, models and services," X.500(1993) (also ISO/IEC
              9594-1:1994).

  [X.525]     International Telecommunication Union - Telecommunication
              Standardization Sector, "The Directory: Replication",
              X.525(1993).

  [DIRSYNC]   Armijo, M., "Microsoft LDAP Control for Directory
              Synchronization", Work in Progress.

  [PSEARCH]   Smith, M., et al., "Persistent Search: A Simple LDAP
              Change Notification Mechanism", Work in Progress.

  [TSEARCH]   Wahl, M., "LDAPv3 Triggered Search Control", Work in
              Progress.









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RFC 4533         LDAP Content Synchronization Operation        June 2006


Appendix A.  CSN-based Implementation Considerations

  This appendix is provided for informational purposes only; it is not
  a normative part of the LDAP Content Synchronization Operation's
  technical specification.

  This appendix discusses LDAP Content Synchronization Operation server
  implementation considerations associated with Change Sequence Number
  based approaches.

  Change Sequence Number based approaches are targeted for use in
  servers that do not maintain history information (e.g., change logs,
  state snapshots) about changes made to the Directory and hence, must
  rely on current directory state and minimal synchronization state
  information embedded in Sync Cookie.  Servers that maintain history
  information should consider other approaches that exploit the history
  information.

  A Change Sequence Number is effectively a time stamp that has
  sufficient granularity to ensure that the precedence relationship in
  time of two updates to the same object can be determined.  Change
  Sequence Numbers are not to be confused with Commit Sequence Numbers
  or Commit Log Record Numbers.  A Commit Sequence Number allows one to
  determine how two commits (to the same object or different objects)
  relate to each other in time.  A Change Sequence Number associated
  with different entries may be committed out of order.  In the
  remainder of this Appendix, the term CSN refers to a Change Sequence
  Number.

  In these approaches, the server not only maintains a CSN for each
  directory entry (the entry CSN) but also maintains a value that we
  will call the context CSN.  The context CSN is the greatest committed
  entry CSN that is not greater than any outstanding (uncommitted)
  entry CSNs for all entries in a directory context.  The values of
  context CSN are used in syncCookie values as synchronization state
  indicators.

  As search operations are not isolated from individual directory
  update operations and individual update operations cannot be assumed
  to be serialized, one cannot assume that the returned content
  incorporates each relevant change whose change sequence number is
  less than or equal to the greatest entry CSN in the content.  The
  content incorporates all the relevant changes whose change sequence
  numbers are less than or equal to context CSN before search
  processing.  The content may also incorporate any subset of the
  changes whose change sequence number is greater than context CSN
  before search processing but less than or equal to the context CSN
  after search processing.  The content does not incorporate any of the



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  changes whose CSN is greater than the context CSN after search
  processing.

  A simple server implementation could use the value of the context CSN
  before search processing to indicate state.  Such an implementation
  would embed this value into each SyncCookie returned.  We'll call
  this the cookie CSN.  When a refresh was requested, the server would
  simply generate "update" messages for all entries in the content
  whose CSN is greater than the supplied cookie CSN and generate
  "present" messages for all other entries in the content.  However, if
  the current context CSN is the same as the cookie CSN, the server
  should instead generate zero "updates" and zero "delete" messages and
  indicate a refreshDeletes of TRUE, as the directory has not changed.

  The implementation should also consider the impact of changes to meta
  information, such as access controls, that affect content
  determination.  One approach is for the server to maintain a
  context-wide meta information CSN or meta CSN.  This meta CSN would
  be updated whenever meta information affecting content determination
  was changed.  If the value of the meta CSN is greater than the cookie
  CSN, the server should ignore the cookie and treat the request as an
  initial request for content.

  Additionally, servers may want to consider maintaining some per-
  session history information to reduce the number of messages needed
  to be transferred during incremental refreshes.  Specifically, a
  server could record information about entries as they leave the scope
  of a disconnected sync session and later use this information to
  generate delete messages instead of present messages.

  When the history information is truncated, the CSN of the latest
  truncated history information entry may be recorded as the truncated
  CSN of the history information.  The truncated CSN may be used to
  determine whether a client copy can be covered by the history
  information by comparing it to the synchronization state contained in
  the cookie supplied by the client.

  When there is a large number of sessions, it may make sense to
  maintain such history only for the selected clients.  Also, servers
  taking this approach need to consider resource consumption issues to
  ensure reasonable server operation and to protect against abuse.  It
  may be appropriate to restrict this mode of operation by policy.









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Authors' Addresses

  Kurt D. Zeilenga
  OpenLDAP Foundation

  EMail: [email protected]


  Jong Hyuk Choi
  IBM Corporation

  EMail: [email protected]







































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Full Copyright Statement

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