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+Network Working Group                                        K. Zeilenga
+Request for Comments: 3296                           OpenLDAP Foundation
+Category: Standards Track                                      July 2002
+
+
+                    Named Subordinate References in
+        Lightweight Directory Access Protocol (LDAP) Directories
+
+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 (C) The Internet Society (2002).  All Rights Reserved.
+
+Abstract
+
+   This document details schema and protocol elements for representing
+   and managing named subordinate references in Lightweight Directory
+   Access Protocol (LDAP) Directories.
+
+Conventions
+
+   Schema definitions are provided using LDAPv3 description formats
+   [RFC2252].  Definitions provided here are formatted (line wrapped)
+   for readability.
+
+   The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
+   "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" used in
+   this document are to be interpreted as described in BCP 14 [RFC2119].
+
+1.  Background and Intended Usage
+
+   The broadening of interest in LDAP (Lightweight Directory Access
+   Protocol) [RFC2251] directories beyond their use as front ends to
+   X.500 [X.500] directories has created a need to represent knowledge
+   information in a more general way.  Knowledge information is
+   information about one or more servers maintained in another server,
+   used to link servers and services together.
+
+   This document details schema and protocol elements for representing
+   and manipulating named subordinate references in LDAP directories.  A
+   referral object is used to hold subordinate reference information in
+
+
+
+Zeilenga                    Standards Track                     [Page 1]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   the directory.  These referral objects hold one or more URIs
+   [RFC2396] contained in values of the ref attribute type and are used
+   to generate protocol referrals and continuations.
+
+   A control, ManageDsaIT, is defined to allow manipulation of referral
+   and other special objects as normal objects.  As the name of control
+   implies, it is intended to be analogous to the ManageDsaIT service
+   option described in X.511(97) [X.511].
+
+   Other forms of knowledge information are not detailed by this
+   document.  These forms may be described in subsequent documents.
+
+   This document details subordinate referral processing requirements
+   for servers.  This document does not describe protocol syntax and
+   semantics.  This is detailed in RFC 2251 [RFC2251].
+
+   This document does not detail use of subordinate knowledge references
+   to support replicated environments nor distributed operations (e.g.,
+   chaining of operations from one server to other servers).
+
+2.  Schema
+
+2.1.  The referral Object Class
+
+   A referral object is a directory entry whose structural object class
+   is (or is derived from) the referral object class.
+
+      ( 2.16.840.1.113730.3.2.6
+          NAME 'referral'
+          DESC 'named subordinate reference object'
+          STRUCTURAL
+          MUST ref )
+
+   The referral object class is a structural object class used to
+   represent a subordinate reference in the directory.  The referral
+   object class SHOULD be used in conjunction with the extensibleObject
+   object class to support the naming attributes used in the entry's
+   Distinguished Name (DN) [RFC2253].
+
+   Referral objects are normally instantiated at DSEs immediately
+   subordinate to object entries within a naming context held by the
+   DSA.  Referral objects are analogous to X.500 subordinate knowledge
+   (subr) DSEs [X.501].
+
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                     [Page 2]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   In the presence of a ManageDsaIT control, referral objects are
+   treated as normal entries as described in section 3.  Note that the
+   ref attribute is operational and will only be returned in a search
+   entry response when requested.
+
+   In the absence of a ManageDsaIT control, the content of referral
+   objects are used to construct referrals and search references as
+   described in Section 4 and, as such, the referral entries are not
+   themselves visible to clients.
+
+2.2  The ref Attribute Type
+
+      ( 2.16.840.1.113730.3.1.34
+          NAME 'ref'
+          DESC 'named reference - a labeledURI'
+          EQUALITY caseExactMatch
+          SYNTAX 1.3.6.1.4.1.1466.115.121.1.15
+          USAGE distributedOperation )
+
+   The ref attribute type has directoryString syntax and is case
+   sensitive.  The ref attribute is multi-valued.  Values placed in the
+   attribute MUST conform to the specification given for the labeledURI
+   attribute [RFC2079].  The labeledURI specification defines a format
+   that is a URI, optionally followed by whitespace and a label.  This
+   document does not make use of the label portion of the syntax.
+   Future documents MAY enable new functionality by imposing additional
+   structure on the label portion of the syntax as it appears in the ref
+   attribute.
+
+   If the URI contained in a ref attribute value refers to a LDAP
+   [RFC2251] server, it MUST be in the form of a LDAP URL [RFC2255].
+   The LDAP URL SHOULD NOT contain an explicit scope specifier, filter,
+   attribute description list, or any extensions.  The LDAP URL SHOULD
+   contain a non-empty DN.  The handling of LDAP URLs with absent or
+   empty DN parts or with explicit scope specifier is not defined by
+   this specification.
+
+   Other URI schemes MAY be used so long as all operations returning
+   referrals based upon the value could be performed.  This document
+   does not detail use of non-LDAP URIs.  This is left to future
+   specifications.
+
+   The referential integrity of the URI SHOULD NOT be validated by the
+   server holding or returning the URI (whether as a value of the
+   attribute or as part of a referral result or search reference
+   response).
+
+
+
+
+
+Zeilenga                    Standards Track                     [Page 3]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   When returning a referral result or search continuation, the server
+   MUST NOT return the separator or label portions of the attribute
+   values as part of the reference.  When the attribute contains
+   multiple values, the URI part of each value is used to construct the
+   referral result or search continuation.
+
+   The ref attribute values SHOULD NOT be used as a relative name-
+   component of an entry's DN [RFC2253].
+
+   This document uses the ref attribute in conjunction with the referral
+   object class to represent subordinate references.  The ref attribute
+   may be used for other purposes as defined by other documents.
+
+3.  The ManageDsaIT Control
+
+   The client may provide the ManageDsaIT control with an operation to
+   indicate that the operation is intended to manage objects within the
+   DSA (server) Information Tree.  The control causes Directory-specific
+   entries (DSEs), regardless of type, to be treated as normal entries
+   allowing clients to interrogate and update these entries using LDAP
+   operations.
+
+   A client MAY specify the following control when issuing an add,
+   compare, delete, modify, modifyDN, search request or an extended
+   operation for which the control is defined.
+
+   The control type is 2.16.840.1.113730.3.4.2.  The control criticality
+   may be TRUE or, if FALSE, absent.  The control value is absent.
+
+   When the control is present in the request, the server SHALL NOT
+   generate a referral or continuation reference based upon information
+   held in referral objects and instead SHALL treat the referral object
+   as a normal entry.  The server, however, is still free to return
+   referrals for other reasons.  When not present, referral objects
+   SHALL be handled as described above.
+
+   The control MAY cause other objects to be treated as normal entries
+   as defined by subsequent documents.
+
+4.  Named Subordinate References
+
+   A named subordinate reference is constructed by instantiating a
+   referral object in the referencing server with ref attribute values
+   which point to the corresponding subtree maintained in the referenced
+   server.  In general, the name of the referral object is the same as
+   the referenced object and this referenced object is a context prefix
+   [X.501].
+
+
+
+
+Zeilenga                    Standards Track                     [Page 4]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   That is, if server A holds "DC=example,DC=net" and server B holds
+   "DC=sub,DC=example,DC=net", server A may contain a referral object
+   named "DC=sub,DC=example,DC=net" which contains a ref attribute with
+   value of "ldap://B/DC=sub,DC=example,DC=net".
+
+      dn: DC=sub,DC=example,DC=net
+      dc: sub
+      ref: ldap://B/DC=sub,DC=example,DC=net
+      objectClass: referral
+      objectClass: extensibleObject
+
+   Typically the DN of the referral object and the DN of the object in
+   the referenced server are the same.
+
+   If the ref attribute has multiple values, all the DNs contained
+   within the LDAP URLs SHOULD be equivalent.  Administrators SHOULD
+   avoid configuring naming loops using referrals.
+
+   Named references MUST be treated as normal entries if the request
+   includes the ManageDsaIT control as described in section 3.
+
+5.  Scenarios
+
+   The following sections contain specifications of how referral objects
+   should be used in different scenarios followed by examples that
+   illustrate that usage.  The scenarios described here consist of
+   referral object handling when finding target of a non-search
+   operation, when finding the base of a search operation, and when
+   generating search references.  Lastly, other operation processing
+   considerations are presented.
+
+   It is to be noted that, in this document, a search operation is
+   conceptually divided into two distinct, sequential phases: (1)
+   finding the base object where the search is to begin, and (2)
+   performing the search itself.  The first phase is similar to, but not
+   the same as, finding the target of a non-search operation.
+
+   It should also be noted that the ref attribute may have multiple
+   values and, where these sections refer to a single ref attribute
+   value, multiple ref attribute values may be substituted and SHOULD be
+   processed and returned (in any order) as a group in a referral or
+   search reference in the same way as described for a single ref
+   attribute value.
+
+   Search references returned for a given request may be returned in any
+   order.
+
+
+
+
+
+Zeilenga                    Standards Track                     [Page 5]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+5.1.  Example Configuration
+
+   For example, suppose the contacted server (hosta) holds the entry
+   "O=MNN,C=WW" and the entry "CN=Manager,O=MNN,C=WW" and the following
+   referral objects:
+
+      dn: OU=People,O=MNN,C=WW
+      ou: People
+      ref: ldap://hostb/OU=People,O=MNN,C=US
+      ref: ldap://hostc/OU=People,O=MNN,C=US
+      objectClass: referral
+      objectClass: extensibleObject
+
+      dn: OU=Roles,O=MNN,C=WW
+      ou: Roles
+      ref: ldap://hostd/OU=Roles,O=MNN,C=WW
+      objectClass: referral
+      objectClass: extensibleObject
+
+   The first referral object provides the server with the knowledge that
+   subtree "OU=People,O=MNN,C=WW" is held by hostb and hostc (e.g., one
+   is the master and the other a shadow).  The second referral object
+   provides the server with the knowledge that the subtree
+   "OU=Roles,O=MNN,C=WW" is held by hostd.
+
+   Also, in the context of this document, the "nearest naming context"
+   means the deepest context which the object is within.  That is, if
+   the object is within multiple naming contexts, the nearest naming
+   context is the one which is subordinate to all other naming contexts
+   the object is within.
+
+5.2.  Target Object Considerations
+
+   This section details referral handling for add, compare, delete,
+   modify, and modify DN operations.  If the client requests any of
+   these operations, there are four cases that the server must handle
+   with respect to the target object.
+
+   The DN part MUST be modified such that it refers to the appropriate
+   target in the referenced server (as detailed below).  Even where the
+   DN to be returned is the same as the target DN, the DN part SHOULD
+   NOT be trimmed.
+
+   In cases where the URI to be returned is a LDAP URL, the server
+   SHOULD trim any present scope, filter, or attribute list from the URI
+   before returning it.  Critical extensions MUST NOT be trimmed or
+   modified.
+
+
+
+
+Zeilenga                    Standards Track                     [Page 6]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   Case 1: The target object is not held by the server and is not within
+      or subordinate to any naming context nor subordinate to any
+      referral object held by the server.
+
+      The server SHOULD process the request normally as appropriate for
+      a non-existent base which is not within any naming context of the
+      server (generally return noSuchObject or a referral based upon
+      superior knowledge reference information).  This document does not
+      detail management or processing of superior knowledge reference
+      information.
+
+   Case 2: The target object is held by the server and is a referral
+      object.
+
+      The server SHOULD return the URI value contained in the ref
+      attribute of the referral object appropriately modified as
+      described above.
+
+   Example: If the client issues a modify request for the target object
+      of "OU=People,O=MNN,c=WW", the server will return:
+
+         ModifyResponse (referral) {
+             ldap://hostb/OU=People,O=MNN,C=WW
+             ldap://hostc/OU=People,O=MNN,C=WW
+         }
+
+   Case 3: The target object is not held by the server, but the nearest
+      naming context contains no referral object which the target object
+      is subordinate to.
+
+      If the nearest naming context contains no referral object which
+      the target is subordinate to, the server SHOULD process the
+      request as appropriate for a nonexistent target (generally return
+      noSuchObject).
+
+   Case 4: The target object is not held by the server, but the nearest
+      naming context contains a referral object which the target object
+      is subordinate to.
+
+      If a client requests an operation for which the target object is
+      not held by the server and the nearest naming context contains a
+      referral object which the target object is subordinate to, the
+      server SHOULD return a referral response constructed from the URI
+      portion of the ref value of the referral object.
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                     [Page 7]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   Example: If the client issues an add request where the target object
+      has a DN of "CN=Manager,OU=Roles,O=MNN,C=WW", the server will
+      return:
+
+         AddResponse (referral) {
+             ldap://hostd/CN=Manager,OU=Roles,O=MNN,C=WW"
+         }
+
+      Note that the DN part of the LDAP URL is modified such that it
+      refers to the appropriate entry in the referenced server.
+
+5.3.  Base Object Considerations
+
+   This section details referral handling for base object processing
+   within search operations.  Like target object considerations for
+   non-search operations, there are the four cases.
+
+   In cases where the URI to be returned is a LDAP URL, the server MUST
+   provide an explicit scope specifier from the LDAP URL prior to
+   returning it.  In addition, the DN part MUST be modified such that it
+   refers to the appropriate target in the referenced server (as
+   detailed below).
+
+   If aliasing dereferencing was necessary in finding the referral
+   object, the DN part of the URI MUST be replaced with the base DN as
+   modified by the alias dereferencing such that the return URL refers
+   to the new target object per [RFC2251, 4.1.11].
+
+   Critical extensions MUST NOT be trimmed nor modified.
+
+   Case 1: The base object is not held by the server and is not within
+      nor subordinate to any naming context held by the server.
+
+      The server SHOULD process the request normally as appropriate for
+      a non-existent base which not within any naming context of the
+      server (generally return a superior referral or noSuchObject).
+      This document does not detail management or processing of superior
+      knowledge references.
+
+   Case 2: The base object is held by the server and is a referral
+      object.
+
+      The server SHOULD return the URI value contained in the ref
+      attribute of the referral object appropriately modified as
+      described above.
+
+
+
+
+
+
+Zeilenga                    Standards Track                     [Page 8]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+   Example: If the client issues a subtree search in which the base
+      object is "OU=Roles,O=MNN,C=WW", the server will return
+
+         SearchResultDone (referral) {
+             ldap://hostd/OU=Roles,O=MNN,C=WW??sub
+         }
+
+      If the client were to issue a base or oneLevel search instead of
+      subtree, the returned LDAP URL would explicitly specify "base" or
+      "one", respectively, instead of "sub".
+
+   Case 3: The base object is not held by the server, but the nearest
+      naming context contains no referral object which the base object
+      is subordinate to.
+
+      If the nearest naming context contains no referral object which
+      the base is subordinate to, the request SHOULD be processed
+      normally as appropriate for a nonexistent base (generally return
+      noSuchObject).
+
+   Case 4: The base object is not held by the server, but the nearest
+      naming context contains a referral object which the base object is
+      subordinate to.
+
+      If a client requests an operation for which the target object is
+      not held by the server and the nearest naming context contains a
+      referral object which the target object is subordinate to, the
+      server SHOULD return a referral response which is constructed from
+      the URI portion of the ref value of the referral object.
+
+   Example: If the client issues a base search request for
+      "CN=Manager,OU=Roles,O=MNN,C=WW", the server will return
+
+         SearchResultDone (referral) {
+             ldap://hostd/CN=Manager,OU=Roles,O=MNN,C=WW??base"
+         }
+
+      If the client were to issue a subtree or oneLevel search instead
+      of subtree, the returned LDAP URL would explicitly specify "sub"
+      or "one", respectively, instead of "base".
+
+      Note that the DN part of the LDAP URL is modified such that it
+      refers to the appropriate entry in the referenced server.
+
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                     [Page 9]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+5.4.  Search Continuation Considerations
+
+   For search operations, once the base object has been found and
+   determined not to be a referral object, the search may progress.  Any
+   entry matching the filter and scope of the search which is not a
+   referral object is returned to the client normally as described in
+   [RFC2251].
+
+   For each referral object within the requested scope, regardless of
+   the search filter, the server SHOULD return a SearchResultReference
+   which is constructed from the URI component of values of the ref
+   attribute.  If the URI component is not a LDAP URL, it should be
+   returned as is.  If the LDAP URL's DN part is absent or empty, the DN
+   part must be modified to contain the DN of the referral object.  If
+   the URI component is a LDAP URL, the URI SHOULD be modified to add an
+   explicit scope specifier.
+
+   Subtree Example:
+
+      If a client requests a subtree search of "O=MNN,C=WW", then in
+      addition to any entries within scope which match the filter, hosta
+      will also return two search references as the two referral objects
+      are within scope.  One possible response might be:
+
+          SearchEntry for O=MNN,C=WW
+          SearchResultReference {
+              ldap://hostb/OU=People,O=MNN,C=WW??sub
+              ldap://hostc/OU=People,O=MNN,C=WW??sub
+          }
+          SearchEntry for CN=Manager,O=MNN,C=WW
+          SearchResultReference {
+              ldap://hostd/OU=Roles,O=MNN,C=WW??sub
+          }
+          SearchResultDone (success)
+
+   One Level Example:
+
+      If a client requests a one level search of "O=MNN,C=WW" then, in
+      addition to any entries one level below the "O=MNN,C=WW" entry
+      matching the filter, the server will also return two search
+      references as the two referral objects are within scope.  One
+      possible sequence is shown:
+
+
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                    [Page 10]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+          SearchResultReference {
+              ldap://hostb/OU=People,O=MNN,C=WW??base
+              ldap://hostc/OU=People,O=MNN,C=WW??base
+          }
+          SearchEntry for CN=Manager,O=MNN,C=WW
+          SearchResultReference {
+              ldap://hostd/OU=Roles,O=MNN,C=WW??base
+          }
+          SearchResultDone (success)
+
+   Note: Unlike the examples in Section 4.5.3.1 of RFC 2251, the LDAP
+      URLs returned with the SearchResultReference messages contain, as
+      required by this specification, an explicit scope specifier.
+
+5.6.  Other Considerations
+
+   This section details processing considerations for other operations.
+
+5.6.1 Bind
+
+   Servers SHOULD NOT return referral result code if the bind name (or
+   authentication identity or authorization identity) is (or is
+   subordinate to) a referral object but MAY use the knowledge
+   information to process the bind request (such as in support a future
+   distributed operation specification).  Where the server makes no use
+   of the knowledge information, the server processes the request
+   normally as appropriate for a non-existent authentication or
+   authorization identity (e.g., return invalidCredentials).
+
+5.6.2 Modify DN
+
+   If the newSuperior is a referral object or is subordinate to a
+   referral object, the server SHOULD return affectsMultipleDSAs.  If
+   the newRDN already exists but is a referral object, the server SHOULD
+   return affectsMultipleDSAs instead of entryAlreadyExists.
+
+6.  Security Considerations
+
+   This document defines mechanisms that can be used to tie LDAP (and
+   other) servers together.  The information used to tie services
+   together should be protected from unauthorized modification.  If the
+   server topology information is not public information, it should be
+   protected from unauthorized disclosure as well.
+
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                    [Page 11]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+7.  Acknowledgments
+
+   This document borrows heavily from previous work by IETF LDAPext
+   Working Group.  In particular, this document is based upon "Named
+   Referral in LDAP Directories" (an expired Internet Draft) by
+   Christopher Lukas, Tim Howes, Michael Roszkowski, Mark C. Smith, and
+   Mark Wahl.
+
+8. Normative References
+
+   [RFC2079] Smith, M., "Definition of an X.500 Attribute Type and an
+             Object Class to Hold Uniform Resource Identifiers (URIs)",
+             RFC 2079, January 1997.
+
+   [RFC2119] Bradner, S., "Key Words for use in RFCs to Indicate
+             Requirement Levels", BCP 14, RFC 2119, March 1997.
+
+   [RFC2251] Wahl, M., Howes, T. and S. Kille, "Lightweight Directory
+             Access Protocol (v3)", RFC 2251, December 1997.
+
+   [RFC2252] Wahl, M., Coulbeck, A., Howes, T. and S. Kille,
+             "Lightweight Directory Access Protocol (v3): Attribute
+             Syntax Definitions", RFC 2252, December 1997.
+
+   [RFC2253] Wahl, M., Kille, S. and T. Howes, "Lightweight Directory
+             Access Protocol (v3): UTF-8 String Representation of
+             Distinguished Names", RFC 2253, December 1997.
+
+   [RFC2255] Howes, T. and M. Smith, "The LDAP URL Format", RFC 2255,
+             December, 1997.
+
+   [RFC2396] Berners-Lee, T., Fielding, R. and L. Masinter, "Uniform
+             Resource Identifiers (URI): Generic Syntax", RFC 2396,
+             August 1998.
+
+   [X.501]   ITU-T, "The Directory: Models", X.501, 1993.
+
+9. Informative References
+
+   [X.500]   ITU-T, "The Directory: Overview of Concepts, Models, and
+             Services", X.500, 1993.
+
+   [X.511]   ITU-T, "The Directory: Abstract Service Definition", X.500,
+             1997.
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                    [Page 12]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+10.  Author's Address
+
+   Kurt D. Zeilenga
+   OpenLDAP Foundation
+
+   EMail: Kurt@OpenLDAP.org
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+Zeilenga                    Standards Track                    [Page 13]
+
+RFC 3296    Named Subordinate References in LDAP Directories   July 2002
+
+
+11.  Full Copyright Statement
+
+   Copyright (C) The Internet Society (2002).  All Rights Reserved.
+
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+Zeilenga                    Standards Track                    [Page 14]
+