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PROPOSED STANDARD
Network Working Group                                  R. Megginson, Ed.Request for Comments: 3928                 Netscape Communications Corp.Category: Standards Track                                       M. Smith                                                     Pearl Crescent, LLC                                                            O. Natkovich                                                                   Yahoo                                                               J. Parham                                                   Microsoft Corporation                                                            October 2004Lightweight Directory Access Protocol (LDAP)Client Update Protocol (LCUP)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 (2004).Abstract   This document defines the Lightweight Directory Access Protocol   (LDAP) Client Update Protocol (LCUP).  The protocol is intended to   allow an LDAP client to synchronize with the content of a directory   information tree (DIT) stored by an LDAP server and to be notified   about the changes to that content.Megginson, et al.           Standards Track                     [Page 1]

RFC 3928              LDAP Client Update Protocol           October 2004Table of Contents1.  Overview . . . . . . . . . . . . . . . . . . . . . . . . . . .32.  Applicability. . . . . . . . . . . . . . . . . . . . . . . . .43.  Specification of Protocol Elements . . . . . . . . . . . . . .53.1.  ASN.1 Considerations . . . . . . . . . . . . . . . . . .53.2.  Universally Unique Identifiers . . . . . . . . . . . . .53.3.  LCUP Scheme and LCUP Cookie. . . . . . . . . . . . . . .53.4.  LCUP Context . . . . . . . . . . . . . . . . . . . . . .63.5.  Additional LDAP Result Codes defined by LCUP . . . . . .63.6.  Sync Request Control . . . . . . . . . . . . . . . . . .73.7.  Sync Update Control. . . . . . . . . . . . . . . . . . .73.8.  Sync Done Control. . . . . . . . . . . . . . . . . . . .84.  Protocol Usage and Flow. . . . . . . . . . . . . . . . . . . .84.1.  LCUP Search Requests . . . . . . . . . . . . . . . . . .84.1.1. Initial Synchronization and Full Resync . . . . .94.1.2. Incremental or Update Synchronization . . . . . .104.1.3. Persistent Only . . . . . . . . . . . . . . . . .104.2.  LCUP Search Responses. . . . . . . . . . . . . . . . . .104.2.1. Sync Update Informational Responses . . . . . . .114.2.2. Cookie Return Frequency . . . . . . . . . . . . .11             4.2.3. Definition of an Entry That Has Entered the                    Result Set. . . . . . . . . . . . . . . . . . . .124.2.4. Definition of an Entry That Has Changed . . . . .13             4.2.5. Definition of an Entry That Has Left the                    Result Set. . . . . . . . . . . . . . . . . . . .134.2.6. Results For Entries Present in the Result Set . .14             4.2.7. Results For Entries That Have Left the Result                    Set . . . . . . . . . . . . . . . . . . . . . . .144.3. Responses Requiring Special Consideration . . . . . . . .154.3.1. Returning Results During the Persistent Phase . .154.3.2. No Mixing of Sync Phase with Persist Phase. . . .16             4.3.3. Returning Updated Results During the Sync Phase . 16             4.3.4. Operational Attributes and Administrative                    Entries . . . . . . . . . . . . . . . . . . . . .164.3.5. Virtual Attributes. . . . . . . . . . . . . . . .17             4.3.6. Modify DN and Delete Operations Applied to                    Subtrees. . . . . . . . . . . . . . . . . . . . .174.3.7. Convergence Guarantees. . . . . . . . . . . . . .184.4.  LCUP Search Termination. . . . . . . . . . . . . . . . .184.4.1. Server Initiated Termination. . . . . . . . . . .184.4.2. Client Initiated Termination. . . . . . . . . . .194.5.  Size and Time Limits . . . . . . . . . . . . . . . . . .194.6.  Operations on the Same Connection. . . . . . . . . . . .194.7.  Interactions with Other Controls . . . . . . . . . . . .194.8.  Replication Considerations . . . . . . . . . . . . . . .205.  Client Side Considerations . . . . . . . . . . . . . . . . . .205.1.  Using Cookies with Different Search Criteria . . . . . .20Megginson, et al.           Standards Track                     [Page 2]

RFC 3928              LDAP Client Update Protocol           October 20045.2.  Renaming the Base Object . . . . . . . . . . . . . . . .205.3.  Use of Persistent Searches With Respect to Resources . .215.4.  Continuation References to Other LCUP Contexts . . . . .215.5.  Referral Handling. . . . . . . . . . . . . . . . . . . .215.6.  Multiple Copies of Same Entry During Sync Phase. . . . .215.7.  Handling Server Out of Resources Condition . . . . . . .216.  Server Implementation Considerations . . . . . . . . . . . . .226.1.  Server Support for UUIDs . . . . . . . . . . . . . . . .226.2.  Example of Using an RUV as the Cookie Value. . . . . . .226.3.  Cookie Support Issues. . . . . . . . . . . . . . . . . .226.3.1. Support for Multiple Cookie Schemes . . . . . . .226.3.2. Information Contained in the Cookie . . . . . . .236.4.  Persist Phase Response Time. . . . . . . . . . . . . . .236.5.  Scaling Considerations . . . . . . . . . . . . . . . . .236.6.  Alias Dereferencing. . . . . . . . . . . . . . . . . . .247.  Synchronizing Heterogeneous Data Stores. . . . . . . . . . . .248.  IANA Considerations. . . . . . . . . . . . . . . . . . . . . .249.  Security Considerations. . . . . . . . . . . . . . . . . . . .2410. References . . . . . . . . . . . . . . . . . . . . . . . . . .2510.1. Normative References . . . . . . . . . . . . . . . . . .2510.2. Informative References . . . . . . . . . . . . . . . . .2611. Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . .26   Appendix - Features Left Out of LCUP . . . . . . . . . . . . . . .27   Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . . .29   Full Copyright Statement . . . . . . . . . . . . . . . . . . . . .301.  Overview   The LCUP protocol is intended to allow LDAP clients to synchronize   with the content stored by LDAP servers.   The problem areas addressed by the protocol include:   -  Mobile clients that maintain a local read-only copy of the      directory data.  While off-line, the client uses the local copy of      the data.  When the client connects to the network, it      synchronizes with the current directory content and can optionally      receive notification about the changes that occur while it is on-      line.  For example, a mail client can maintain a local copy of the      corporate address book that it synchronizes with the master copy      whenever the client is connected to the corporate network.   -  Applications intending to synchronize heterogeneous data stores.      A meta directory application, for instance, would periodically      retrieve a list of modified entries from the directory, construct      the changes and apply them to a foreign data store.Megginson, et al.           Standards Track                     [Page 3]

RFC 3928              LDAP Client Update Protocol           October 2004   -  Clients that need to take certain actions when a directory entry      is modified.  For instance, an electronic mail repository may want      to perform a "create mailbox" task when a new person entry is      added to an LDAP directory and a "delete mailbox" task when a      person entry is removed.   The problem areas not being considered:   -  Directory server to directory server synchronization.  The IETF is      developing a LDAP replication protocol, called LDUP [RFC3384],      which is specifically designed to address this problem area.   There are currently several protocols in use for LDAP client server   synchronization.  While each protocol addresses the needs of a   particular group of clients (e.g., on-line clients or off-line   clients), none satisfies the requirements of all clients in the   target group.  For instance, a mobile client that was off-line and   wants to become up to date with the server and stay up to date while   connected can't be easily supported by any of the existing protocols.   LCUP is designed such that the server does not need to maintain state   information specific to individual clients.  The server may need to   maintain additional state information about attribute modifications,   deleted entries, and moved/renamed entries.  The clients are   responsible for storing the information about how up to date they are   with respect to the server's content.  LCUP design avoids the need   for LCUP-specific update agreements to be made between client and   server prior to LCUP use.  The client decides when and from where to   retrieve the changes.  LCUP design requires clients to initiate the   update session and "pull" the changes from server.   LCUP operations are subject to administrative and access control   policies enforced by the server.   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 inBCP 14,RFC 2119   [RFC2119].2.  Applicability   LCUP will work best if the following conditions are met:   1) The server stores some degree of historical state or change      information to reduce the amount of wire traffic required for      incremental synchronizations.  The optimal balance between server      state and wire traffic varies amongst implementations and usage      scenarios, and is therefore left in the hands of implementers.Megginson, et al.           Standards Track                     [Page 4]

RFC 3928              LDAP Client Update Protocol           October 2004   2) The client cannot be assumed to understand the physical      information model (virtual attributes, operational attributes,      subentries, etc.) implemented by the server.  Optimizations would      be possible if such assumptions could be made.   3) Meta data changes and renames and deletions of large subtrees are      very infrequent.  LCUP makes these assumptions in order to reduce      client complexity required to deal with these special operations,      though when they do occur they may result in a large number of      incremental update messages or a full resync.3.  Specification of Protocol Elements   The following sections define the new elements required to use this   protocol.3.1.  ASN.1 Considerations   Protocol elements are described using ASN.1 [X.680].  The term "BER-   encoded" means the element is to be encoded using the Basic Encoding   Rules [X.690] under the restrictions detailed inSection 5.1 of   [RFC2251].  All ASN.1 in this document uses implicit tags.3.2.  Universally Unique Identifiers   Distinguished names can change, so are therefore unreliable as   identifiers.  A Universally Unique Identifier (or UUID for short)   MUST be used to uniquely identify entries used with LCUP.  The UUID   is part of the Sync Update control value (see below) returned with   each search result.  The server SHOULD provide the UUID as a single   valued operational attribute of the entry (e.g., "entryUUID").  We   RECOMMEND that the server provides a way to do efficient (i.e.,   indexed) searches for values of UUID, e.g., by using a search filter   like (entryUUID=<some UUID value>) to quickly search for and retrieve   an entry based on its UUID.  Servers SHOULD use a UUID format as   specified in [UUID].  The UUID used by LCUP is a value of the   following ASN.1 type:      LCUPUUID ::= OCTET STRING3.3.  LCUP Scheme and LCUP Cookie   The LCUP protocol uses a cookie to hold the state of the client's   data with respect to the server's data.  Each cookie format is   uniquely identified by its scheme.  The LCUP Scheme is a value of the   following ASN.1 type:      LCUPScheme ::= LDAPOIDMegginson, et al.           Standards Track                     [Page 5]

RFC 3928              LDAP Client Update Protocol           October 2004   This is the OID which identifies the format of the LCUP Cookie value.   The scheme OID, as all object identifiers, MUST be unique for a given   cookie scheme.  The cookie value may be opaque or it may be exposed   to LCUP clients.   For cookie schemes that expose their value, the   preferred form of documentation is an RFC.  It is expected that there   will be one or more standards track cookie schemes where the value   format is exposed and described in detail.   The LCUP Cookie is a value of the following ASN.1 type:      LCUPCookie ::= OCTET STRING   This is the actual data describing the state of the client's data.   This value may be opaque, or its value may have some well-known   format, depending on the scheme.   Further uses of the LCUP Cookie value are described below.3.4.  LCUP Context   A part of the DIT which is enabled for LCUP is referred to as an LCUP   Context.  A server may support one or more LCUP Contexts.  For   example, a server with two naming contexts may support LCUP in one   naming context but not the other, or support different LCUP cookie   schemes in each naming context.  Each LCUP Context MAY use a   different cookie scheme.  An LCUP search will not cross an LCUP   Context boundary, but will instead return a SearchResultReference   message, with the LDAP URL specifying the same host and port as   currently being searched, and with the baseDN set to the baseDN of   the new LCUP Context.  The client is then responsible for issuing   another search using the new baseDN, and possibly a different cookie   if that LCUP Context uses a different cookie.  The client is   responsible for maintaining a mapping of the LDAP URL to its   corresponding cookie.3.5.  Additional LDAP Result Codes defined by LCUP   Implementations of this specification SHALL recognize the following   additional resultCode values.  The LDAP result code names and numbers   defined in the following table have been assigned by IANA perRFC3383 [RFC3383].   lcupResourcesExhausted  (113)  the server is running out of resources   lcupSecurityViolation   (114)  the client is suspected of malicious                                  actions   lcupInvalidData         (115)  invalid scheme or cookie was supplied                                  by the clientMegginson, et al.           Standards Track                     [Page 6]

RFC 3928              LDAP Client Update Protocol           October 2004   lcupUnsupportedScheme   (116)  The cookie scheme is a valid OID but                                  is not supported by this server   lcupReloadRequired      (117)  indicates that client data needs to be                                  reinitialized.  This reason is                                  returned if the server does not                                  contain sufficient information to                                  synchronize the client or if the                                  server's data was reloaded since the                                  last synchronization session   The uses of these codes are described below.3.6.  Sync Request Control   The Sync Request Control is an LDAP Control [RFC2251,Section 4.1.2]   where the controlType is the object identifier 1.3.6.1.1.7.1 and the   controlValue, an OCTET STRING, contains a BER-encoded   syncRequestControlValue.      syncRequestControlValue ::= SEQUENCE {         updateType           ENUMERATED {                                 syncOnly       (0),                                 syncAndPersist (1),                                 persistOnly    (2) },         sendCookieInterval   [0] INTEGER    OPTIONAL,         scheme               [1] LCUPScheme OPTIONAL,         cookie               [2] LCUPCookie OPTIONAL        }   sendCookieInterval - the server SHOULD send the cookie back in the   Sync Update control value (defined below) for every   sendCookieInterval number of SearchResultEntry and   SearchResultReference PDUs returned to the client.  For example, if   the value is 5, the server SHOULD send the cookie back in the Sync   Update control value for every 5 search results returned to the   client.  If this value is absent, zero or less than zero, the server   chooses the interval.   The Sync Request Control is only applicable to the searchRequest   message.  Use of this control is described below.3.7.  Sync Update Control   The Sync Update Control is an LDAP Control [RFC2251,Section 4.1.2]   where the controlType is the object identifier 1.3.6.1.1.7.2 and the   controlValue, an OCTET STRING, contains a BER-encoded   syncUpdateControlValue.Megginson, et al.           Standards Track                     [Page 7]

RFC 3928              LDAP Client Update Protocol           October 2004      syncUpdateControlValue ::= SEQUENCE {         stateUpdate   BOOLEAN,         entryUUID     [0] LCUPUUID OPTIONAL, -- REQUIRED for entries --         UUIDAttribute [1] AttributeType OPTIONAL,         entryLeftSet  [2] BOOLEAN,         persistPhase  [3] BOOLEAN,         scheme        [4] LCUPScheme OPTIONAL,         cookie        [5] LCUPCookie OPTIONAL      }   The field UUIDAttribute contains the name or OID of the attribute   that the client should use to perform searches for entries based on   the UUID.  The client should be able to use it in an equality search   filter, e.g., "(<uuid attribute>=<entry UUID value>)" and should be   able to use it in the attribute list of the search request to return   its value.  The UUIDAttribute field may be omitted if the server does   not support searching on the UUID values.   The Sync Update Control is only applicable to SearchResultEntry and   SearchResultReference messages.  Although entryUUID is OPTIONAL, it   MUST be used with SearchResultEntry messages.  Use of this control is   described below.3.8.  Sync Done Control   The Sync Done Control is an LDAP Control [RFC2251,Section 4.1.2]   where the controlType is the object identifier 1.3.6.1.1.7.3 and the   controlValue contains a BER-encoded syncDoneValue.      syncDoneValue ::= SEQUENCE {         scheme      [0] LCUPScheme OPTIONAL,         cookie      [1] LCUPCookie OPTIONAL      }   The Sync Done Control is only applicable to SearchResultDone message.   Use of this control is described below.4.  Protocol Usage and Flow4.1.  LCUP Search Requests   A client initiates a synchronization or persistent search session   with a server by attaching a Sync Request control to an LDAP   searchRequest message.  The search specification determines the part   of the directory information tree (DIT) the client wishes to   synchronize with, the set of attributes it is interested in and the   amount of data the client is willing to receive.  The Sync Request   control contains the client's request specification.Megginson, et al.           Standards Track                     [Page 8]

RFC 3928              LDAP Client Update Protocol           October 2004   If there is an error condition, the server MUST immediately return a   SearchResultDone message with the resultCode set to an error code.   This table maps a condition to its corresponding behavior and   resultCode.   Condition                       Behavior or resultCode   Sync Request Control is not     Server behaves as [RFC2251, Section   supported                       4.1.2] - specifically, if the                                   criticality of the control is FALSE,                                   the server will process the request                                   as a normal search request   Scheme is not supported         lcupUnsupportedScheme   A control value field is        lcupInvalidData   invalid (e.g., illegal   updateType, or the scheme is   not a valid OID, or the cookie   is invalid)   Server is running out of        lcupResourcesExhausted   resources   Server suspects client of       lcupSecurityViolation   malicious behavior (frequent   connects/disconnects, etc.)   The server cannot bring the     lcupReloadRequired   client up to date (server data   has been reloaded, or other   changes prevent   convergence)4.1.1.  Initial Synchronization and Full Resync   For an initial synchronization or full resync, the fields of the Sync   Request control MUST be specified as follows:   updateType         - MUST be set to syncOnly or syncAndPersist   sendCookieInterval - MAY be set   scheme             - MAY be set - if set, the server MUST use this                        specified scheme or return lcupUnsupportedScheme                        (see above) - if not set, the server MAY use any                        scheme it supports.   cookie             - MUST NOT be setMegginson, et al.           Standards Track                     [Page 9]

RFC 3928              LDAP Client Update Protocol           October 2004   If the request was successful, the client will receive results as   described in the section "LCUP Search Responses" below.4.1.2.  Incremental or Update Synchronization   For an incremental or update synchronization, the fields of the Sync   Request control MUST be specified as follows:   updateType         - MUST be set to syncOnly or syncAndPersist   sendCookieInterval - MAY be set   scheme             - MUST be set   cookie             - MUST be set   The client SHOULD always use the latest cookie it received from the   server.   If the request was successful, the client will receive results as   described in the section "LCUP Search Responses" below.4.1.3.  Persistent Only   For persistent only search request, the fields of the Sync Request   MUST be specified as follows:   updateType          - MUST be set to persistOnly   sendCookieInterval  - MAY be set   scheme              - MAY be set - if set, the server MUST use this                         specified scheme or return                         lcupUnsupportedScheme (see above) - if not set,                         the server MAY use any scheme it supports.   cookie              - MAY be set, but the server MUST ignore it   If the request was successful, the client will receive results as   described in the section "LCUP Search Responses" below.4.2.  LCUP Search Responses   In response to the client's LCUP request, the server returns zero or   more SearchResultEntry or SearchResultReference PDUs that fit the   client's specification, followed by a SearchResultDone PDU.  The   behavior is as specified in [RFC2251Section 4.5].  Each   SearchResultEntry or SearchResultReference PDU also contains a Sync   Update control that describes the LCUP state of the returned entry.   The SearchResultDone PDU contains a Sync Done control.  The following   sections specify behaviors in addition to [RFC2251Section 4.5].Megginson, et al.           Standards Track                    [Page 10]

RFC 3928              LDAP Client Update Protocol           October 20044.2.1 Sync Update Informational Responses   The server may use the Sync Update control to return information not   related to a particular entry.  It MAY do this at any time to return   a cookie to the client, or to inform the client that the sync phase   of a syncAndPersist search is complete and the persist phase has   begun.  It MAY do this during the persist phase even though no entry   has changed that would have normally triggered a response.  In order   to do this, it is REQUIRED to return the following:   -  A SearchResultEntry PDU with the objectName field set to the DN of      the baseObject of the search request and with an empty attribute      list.   -  A Sync Update control value with the fields set to the following:   stateUpdate   - MUST be set to TRUE   entryUUID     - SHOULD be set to the UUID of the baseObject of the                   search request   entryLeftSet  - MUST be set to FALSE   persistPhase  - MUST be FALSE if the search is in the sync phase of a                   request, and MUST be TRUE if the search is in the                   persist phase   UUIDAttribute - SHOULD only be set if this is either the first result                   returned or if the attribute has changed   scheme        - MUST be set if the cookie is set and the cookie                   format has changed; otherwise, it MAY be omitted   cookie        - SHOULD be set   If the server merely wants to return a cookie to the client, it   should return as above with the cookie field set.   During a syncAndPersist request, the server MUST return (as above)   immediately after the last entry of the sync phase has been sent and   before the first entry of the persist phase has been sent.  In this   case, the persistPhase field MUST be set to TRUE.  This allows the   client to know that the sync phase is complete and the persist phase   is starting.4.2.2 Cookie Return Frequency   The cookie field of the Sync Update control value MAY be set in any   returned result, during both the sync phase and the persist phase.   The server should return the cookie to the client often enough for   the client to resync in a reasonable period of time in case the   search is disconnected or otherwise terminated.  The   sendCookieInterval field in the Sync Request control is a suggestionMegginson, et al.           Standards Track                    [Page 11]

RFC 3928              LDAP Client Update Protocol           October 2004   to the server of how often to return the cookie in the Sync Update   control.  The server SHOULD respect this value.   The scheme field of the Sync Update control value MUST be set if the   cookie is set and the cookie format has changed; otherwise, it MAY be   omitted.   Some clients may have unreliable connections, for example, a wireless   device or a WAN connection.  These clients may want to insure that   the cookie is returned often in the Sync Update control value, so   that if they have to reconnect, they do not have to process many   redundant entries.  These clients should set the sendCookieInterval   in the Sync Request control value to a low number, perhaps even 1.   Some clients may have a limited bandwidth connection, and may not   want to receive the cookie very often, or even at all (however, the   cookie is always sent back in the Sync Done control value upon   successful completion).  These clients should set the   sendCookieInterval in the Sync Request control value to a high   number.   A reasonable behavior of the server is to return the cookie only when   data in the LCUP context has changed, even if the client has   specified a frequent sendCookieInterval.  If nothing has changed, the   server can probably save some bandwidth by not returning the cookie.4.2.3.  Definition of an Entry That Has Entered the Result Set   An entry SHALL BE considered to have entered the client's search   result set if one of the following conditions is met:   -  During the sync phase for an incremental sync operation, the entry      is present in the search result set but was not present before;      this can be due to the entry being added via an LDAP Add      operation, or by the entry being moved into the result set by an      LDAP Modify DN operation, or by some modification to the entry      that causes it to enter the result set (e.g., adding an attribute      value that matches the clients search filter), or by some meta-      data change that causes the entry to enter the result set (e.g.,      relaxing of some access control that permits the entry to be      visible to the client).   -  During the persist phase for a persistent search operation, the      entry enters the search result set; this can be due to the entry      being added via an LDAP Add operation, or by the entry being moved      into the result set by an LDAP Modify DN operation, or by some      modification to the entry that causes it to enter the result set      (e.g., adding an attribute value that matches the clients search      filter), or by some meta-data change that causes the entry toMegginson, et al.           Standards Track                    [Page 12]

RFC 3928              LDAP Client Update Protocol           October 2004      enter the result set (e.g., relaxing of some access control that      permits the entry to be visible to the client).4.2.4.  Definition of an Entry That Has Changed   An entry SHALL BE considered to be changed if one or more of the   attributes in the attribute list in the search request have been   modified.  For example, if the search request listed the attributes   "cn sn uid", and there is an entry in the client's search result set   with the "cn" attribute that has been modified, the entry is   considered to be modified.  The modification may be due to an LDAP   Modify operation or by some change to the meta-data for the entry   (e.g., virtual attributes) that causes some change to the value of   the specified attributes.   The converse of this is that an entry SHALL NOT BE considered to be   changed if none of the attributes in the attribute list of the search   request are modified attributes of the entry.  For example, if the   search request listed the attributes "cn sn uid", and there is an   entry in the client's search result set with the "foo" attribute that   has been modified, and none of the "cn" or "sn" or "uid" attributes   have been modified, the entry is NOT considered to be changed.4.2.5.  Definition of an Entry That Has Left the Result Set   An entry SHALL BE considered to have left the client's search result   set if one of the following conditions is met:   -  During the sync phase for an incremental sync operation, the entry      is not present in the search result set but was present before;      this can be due to the entry being deleted via an LDAP Delete      operation, or by the entry leaving the result set via an LDAP      Modify DN operation, or by some modification to the entry that      causes it to leave the result set (e.g., changing/removing an      attribute value so that it no longer matches the client's search      filter), or by some meta-data change that causes the entry to      leave the result set (e.g., adding of some access control that      denies the entry to be visible to the client).   -  During the persist phase for a persistent search operation, the      entry leaves the search result set; this can be due to the entry      being deleted via an LDAP Delete operation, or by the entry      leaving the result set via an LDAP Modify DN operation, or by some      modification to the entry that causes it to leave the result set      (e.g., changing/removing an attribute value so that it no longer      matches the client's search filter), or by some meta-data changeMegginson, et al.           Standards Track                    [Page 13]

RFC 3928              LDAP Client Update Protocol           October 2004      that causes the entry to leave the result set (e.g., adding of      some access control that denies the entry to be visible to the      client).4.2.6.  Results For Entries Present in the Result Set   An entry SHOULD be returned as present under the following   conditions:   -  The request is an initial synchronization or full resync request      and the entry is present in the client's search result set   -  The request is an incremental synchronization and the entry has      changed or entered the result set since the last sync   -  The search is in the persist phase and the entry enters the result      set or changes   For a SearchResultEntry return, the fields of the Sync Update control   value MUST be set as follows:   stateUpdate   - MUST be set to FALSE   entryUUID     - MUST be set to the UUID of the entry   entryLeftSet  - MUST be set to FALSE   persistPhase  - MUST be set to FALSE if during the sync phase or TRUE                   if during the persist phase   UUIDAttribute - SHOULD only be set if this is either the first result                   returned or if the attribute has changed   scheme        - as above   cookie        - as above   The searchResultReference return will look the same, except that the   entryUUID is not required.  If it is specified, it MUST contain the   UUID of the DSE holding the reference knowledge.4.2.7.  Results For Entries That Have Left the Result Set   An entry SHOULD be returned as having left the result set under the   following conditions:   -  The request is an incremental synchronization during the sync      phase and the entry has left the result set   -  The search is in the persist phase and the entry has left the      result setMegginson, et al.           Standards Track                    [Page 14]

RFC 3928              LDAP Client Update Protocol           October 2004   -  The entry has left the result set as a result of an LDAP Delete or      LDAP Modify DN operation against the entry itself (i.e., not as a      result of an operation against its parent or ancestor)   For a SearchResultEntry return where the entry has left the result   set, the fields of the Sync Update control value MUST be set as   follows:   stateUpdate   - MUST be set to FALSE   entryUUID     - MUST be set to the UUID of the entry that left the                   result set   entryLeftSet  - MUST be set to TRUE   persistPhase  - MUST be set to FALSE if during the sync phase or TRUE                   if during the persist phase   UUIDAttribute - SHOULD only be set if this is either the first result                   returned or if the attribute has changed   scheme        - as above   cookie        - as above   The searchResultReference return will look the same, except that the   entryUUID is not required.  If it is specified, it MUST contain the   UUID of the DSE holding the reference knowledge.   Some server implementations keep track of deleted entries using a   tombstone - a hidden entry that keeps track of the state, but not all   of the data, of an entry that has been deleted.  In this case, the   tombstone may not contain all of the original attributes of the   entry, and therefore it may be impossible for the server to determine   if an entry should be removed from the result set based on the   attributes in the client's search request.  Servers SHOULD keep   enough information about the attributes in the deleted entries to   determine if an entry should be removed from the result set.  Since   this may not be possible, the server MAY return an entry as having   left the result set even if it is not or never was in the client's   result set.  Clients MUST ignore these notifications.4.3.  Responses Requiring Special Consideration   The following sections describe special handling that may be required   when returning results.4.3.1.  Returning Results During the Persistent Phase   During the persistent phase, the server SHOULD return the changed   entries to the client as quickly as possible.Megginson, et al.           Standards Track                    [Page 15]

RFC 3928              LDAP Client Update Protocol           October 20044.3.2.  No Mixing of Sync Phase with Persist Phase   During a sync phase, the server MUST NOT return any entries with the   persistPhase flag set to TRUE, and during the persist phase, all   entries returned MUST have the persistPhase flag set to TRUE.  The   server MUST NOT mix and match sync phase entries with persist phase   entries.  If there are any sync phase entries to return, they MUST be   returned before any persist phase entries are returned.4.3.3.  Returning Updated Results During the Sync Phase   There may be updates to the entries in the result set of a sync phase   search during the actual search operation.  If the DSA is under a   heavy update load, and it attempts to send all of those updated   entries to the client in addition to the other updates it was already   planning to send for the sync phase, the server may never get to the   end of the sync phase.  Therefore, it is left up to the discretion of   the server implementation to decide when the client is "in sync" -   that is, when to end a syncOnly request, or when to send the Sync   Update Informational Response between the sync phase and the persist   phase of a syncAndPersist request.  The server MAY send the same   entry multiple times during the sync phase if the entry changes   during the sync phase.   A reasonable behavior is for the server to generate a cookie based on   the server state at the time the client initiated the LCUP request,   and only send entries up to that point during the sync phase. Entries   updated after that point will be returned only during the persist   phase of a syncAndPersist request, or only upon an incremental   synchronization.4.3.4.  Operational Attributes and Administrative Entries   An operational attribute SHOULD be returned if it is specified in the   attributes list and would normally be returned as subject to the   constraints of [RFC2251Section 4.5].  If the server does not support   syncing of operational attributes, the server MUST return a   SearchResultDone message with a resultCode of unwillingToPerform.   LDAP Subentries [RFC3672] SHOULD be returned if they would normally   be returned by the search request.  If the server does not support   syncing of LDAP Subentries, and the server can determine from the   search request that the client has requested LDAP Subentries to be   returned (e.g., search control or search filter), the server MUST   return a SearchResultDone message with a resultCode of   unwillingToPerform.  Otherwise, the server MAY simply omit returning   LDAP Subentries.Megginson, et al.           Standards Track                    [Page 16]

RFC 3928              LDAP Client Update Protocol           October 20044.3.5.  Virtual Attributes   An entry may have attributes whose presence in the entry, or presence   of values of the attribute, is generated on the fly, possibly by some   mechanism outside of the entry, elsewhere in the DIT.  An example of   this is collective attributes [RFC3671].  These attributes shall be   referred to in this document as virtual attributes.   LCUP treats these attributes the same way as normal, non-virtual   attributes.  A virtual attribute SHOULD be returned if it is   specified in the attributes list and would normally be returned as   subject to the constraints of [RFC2251Section 4.5].  If the server   does not support syncing of virtual attributes, the server MUST   return a SearchResultDone message with a resultCode of   unwillingToPerform.   One consequence of this is that if you change the definition of a   virtual attribute such that it makes the value of that attribute   change in many entries in the client's search scope, this means that   a server may have to return many entries to the client as a result of   that one change.  It is not anticipated that this will be a frequent   occurrence, and the server has the option to simply force the client   to resync if necessary.   It is also possible that a future LDAP control will allow the client   to request only virtual or only non-virtual attributes.4.3.6.  Modify DN and Delete Operations Applied to Subtrees   There is a special case where a Modify DN or a Delete operation is   applied to the base entry of a subtree, and either that base entry or   entries in the subtree are within the scope of an LCUP search   request.  In this case, all of the entries in the subtree are   implicitly renamed or removed.   In either of these cases, the server MUST do one of the following:   -  treat all of these entries as having been renamed or removed and      return each entry to the client as such   -  decide that this would be prohibitively expensive, and force the      client to resync   If the search base object has been renamed, and the client has   received a noSuchObject as the result of a search request, the client   MAY use the entryUUID and UUIDAttribute to locate the new DN that is   the result of the modify DN operation.Megginson, et al.           Standards Track                    [Page 17]

RFC 3928              LDAP Client Update Protocol           October 20044.3.7.  Convergence Guarantees   If at any time during an LCUP search, either during the sync phase or   the persist phase, the server determines that it cannot guarantee   that it can bring the client's copy of the data to eventual   convergence, it SHOULD immediately terminate the LCUP search request   and return a SearchResultDone message with a resultCode of   lcupReloadRequired.  This can also happen at the beginning of an   incremental synchronization request, if the client presents a cookie   that is out of date or otherwise unable to be processed.  The client   should then issue an initial synchronization request.   This can happen, for example, if the data on the server is reloaded,   or if there has been some change to the meta-data that makes it   impossible for the server to determine if a particular entry should   or should not be part of the search result set, or if the meta-data   change makes it too resource intensive for the server to calculate   the proper result set.   The server can also return lcupReloadRequired if it determines that   it would be more efficient for the client to perform a reload, for   example, if too many entries have changed and a simple reload would   be much faster.4.4.  LCUP Search Termination4.4.1.  Server Initiated Termination   When the server has successfully finished processing the client's   request, it attaches a Sync Done control to the SearchResultDone   message and sends it to the client.  However, if the SearchResultDone   message contains a resultCode that is not success or canceled, the   Sync Done control MAY be omitted.  Although the LCUP cookie is   OPTIONAL in the Sync Done control value, it MUST be set if the   SearchResultDone resultCode is success or canceled.  The server   SHOULD also set the cookie if the resultCode is   lcupResourcesExhausted, timeLimitExceeded, sizeLimitExceeded, or   adminLimitExceeded.  This allows the client to more easily resync   later.  If some error occurred, either an LDAP search error (e.g.,   insufficientAccessRights) or an LCUP error (e.g.,   lcupUnsupportedScheme), the cookie MAY be omitted.  If the cookie is   set, the scheme MUST be set also if the cookie format has changed,   otherwise, it MAY be omitted.   If server resources become tight, the server can terminate one or   more search operations by sending a SearchResultDone message to the   client(s) with a resultCode of lcupResourcesExhausted.  The server   SHOULD attach a Sync Done control with the cookie set.  A server sideMegginson, et al.           Standards Track                    [Page 18]

RFC 3928              LDAP Client Update Protocol           October 2004   policy is used to decide which searches to terminate.  This can also   be used as a security mechanism to disconnect clients that are   suspected of malicious actions, but if the server can infer that the   client is malicious, the server SHOULD return lcupSecurityViolation   instead.4.4.2.  Client Initiated Termination   If the client needs to terminate the synchronization process and it   wishes to obtain the cookie that represents the current state of its   data, it issues an LDAP Cancel operation [RFC3909].  The server   responds immediately with a LDAP Cancel response [RFC3909].  The   server MAY send any pending SearchResultEntry or   SearchResultReference PDUs if the server cannot easily abort or   remove those search results from its outgoing queue.  The server   SHOULD send as few of these remaining messages as possible.  Finally,   the server sends the message SearchResultDone with the Sync Done   control attached.  If the search was successful up to that point, the   resultCode field of the SearchResultDone message MUST be canceled   [RFC3909], and the cookie MUST be set in the Sync Done control.  If   there is an error condition, the server MAY return as described insection 4.4.1 above, or MAY return as described in [RFC3909].   If the client is not interested in the state information, it can   simply abandon the search operation or disconnect from the server.4.5.  Size and Time Limits   The server SHALL support size and time limits as specified in   [RFC2251,Section 5].  The server SHOULD ensure that if the operation   is terminated due to these conditions, the cookie is sent back to the   client.4.6.  Operations on the Same Connection   It is permissible for the client to issue other LDAP operations on   the connection used by the protocol.  Since each LDAP   request/response carries a message id there will be no ambiguity   about which PDU belongs to which operation.  By sharing the   connection among multiple operations, the server will be able to   conserve its resources.4.7.  Interactions with Other Controls   LCUP defines neither restrictions nor guarantees about the ability to   use the controls defined in this document in conjunction with other   LDAP controls, except for the following: A server MAY ignore non-   critical controls supplied with the LCUP control.  A server MAYMegginson, et al.           Standards Track                    [Page 19]

RFC 3928              LDAP Client Update Protocol           October 2004   ignore an LCUP defined control if it is non-critical and it is   supplied with other critical controls.  If a server receives a   critical LCUP control with another critical control, and the server   does not support both controls at the same time, the server SHOULD   return unavailableCriticalExtension.   It is up to the server implementation to determine if the server   supports controls such as the Sort or VLV or similar controls that   change the order of the entries sent to the client.  But note that it   may be difficult or impossible for a server to perform an incremental   synchronization in the presence of such controls, since the cookie   will typically be based off a change number, or Change Sequence   Number (CSN), or timestamp, or some criteria other than an   alphabetical order.4.8.  Replication Considerations   Use of an LCUP cookie with multiple DSAs in a replicated environment   is not defined by LCUP.   An implementation of LCUP may support   continuation of an LCUP session with another DSA holding a replica of   the LCUP context.  Clients MAY submit cookies returned by one DSA to   a different DSA; it is up to the server to determine if a cookie is   one they recognize or not and to return an appropriate result code if   not.5.  Client Side Considerations5.1.  Using Cookies with Different Search Criteria   The cookie received from the server after a synchronization session   SHOULD only be used with the same search specification as the search   that generated the cookie.  Some servers MAY allow the cookie to be   used with a more restrictive search specification than the search   that generated the cookie.  If the server does not support the   cookie, it MUST return lcupInvalidCookie.  This is because the client   can end up with an incomplete data store otherwise.  A more   restrictive search specification is one that would generate a subset   of the data produced by the original search specification.5.2.  Renaming the Base Object   Because an LCUP client specifies the area of the tree with which it   wishes to synchronize through the standard LDAP search specification,   the client can be returned noSuchObject error if the root of the   synchronization area was renamed between the synchronization sessions   or during a synchronization session.  If this condition occurs, the   client can attempt to locate the root by using the root's UUID saved   in client's local data store.  It then can repeat the synchronizationMegginson, et al.           Standards Track                    [Page 20]

RFC 3928              LDAP Client Update Protocol           October 2004   request using the new search base.  In general, a client can detect   that an entry was renamed and apply the changes received to the right   entry by using the UUID rather than DN based addressing.5.3.  Use of Persistent Searches With Respect to Resources   Each active persistent operation requires that an open TCP connection   be maintained between an LDAP client and an LDAP server that might   not otherwise be kept open.  Therefore, client implementors are   encouraged to avoid using persistent operations for non-essential   tasks and to close idle LDAP connections as soon as practical.  The   server may close connections if server resources become tight.5.4.  Continuation References to Other LCUP Contexts   The client MAY receive a continuation reference   (SearchResultReference [RFC2251SECTION 4.5.3]) if the search request   spans multiple parts of the DIT, some of which may require a   different LCUP cookie, some of which may not even be managed by LCUP.   The client SHOULD maintain a cache of the LDAP URLs returned in the   continuation references and the cookies associated with them.  The   client is responsible for performing another LCUP search to follow   the references, and SHOULD use the cookie corresponding to the LDAP   URL for that reference (if it has a cookie).5.5.  Referral Handling   The client may receive a referral (Referral [RFC2251SECTION 4.1.11])   when the search base is a subordinate reference, and this will end   the operation.5.6.  Multiple Copies of Same Entry During Sync Phase   The server MAY send the same entry multiple times during a sync phase   if the entry changes during the sync phase.  The client SHOULD use   the last sent copy of the entry as the current one.5.7.  Handling Server Out of Resources Condition   If the client receives an lcupResourcesExhausted or   lcupSecurityViolation resultCode, the client SHOULD wait at least 5   seconds before attempting another operation.  It is RECOMMENDED that   the client use an exponential backoff strategy, but different clients   may want to use different backoff strategies.Megginson, et al.           Standards Track                    [Page 21]

RFC 3928              LDAP Client Update Protocol           October 20046.  Server Implementation Considerations6.1.  Server Support for UUIDs   Servers MUST support UUIDs.  UUIDs are required in the Sync Update   control.  Additionally, server implementers SHOULD make the UUID   values for the entries available as an attribute of the entry, and   provide indexing or other mechanisms to allow clients to search for   an entry using the UUID attribute in the search filter.  The   syncUpdate control provides a field UUIDAttribute to allow the server   to let the client know the name or OID of the attribute to use to   search for an entry by UUID.6.2.  Example of Using an RUV as the Cookie Value   By design, the protocol supports multiple cookie schemes.  This is to   allow different implementations the flexibility of storing any   information applicable to their environment.  A reasonable   implementation for an LDUP compliant server would be to use the   Replica Update Vector (RUV).  For each master, RUV contains the   largest CSN seen from this master.  In addition, RUV implemented by   some directory servers (not yet in LDUP) contains replica generation   - an opaque string that identifies the replica's data store.  The   replica generation value changes whenever the replica's data is   reloaded.  Replica generation is intended to signal the   replication/synchronization peers that the replica's data was   reloaded and that all other replicas need to be reinitialized.  RUV   satisfies the three most important properties of the cookie: (1) it   uniquely identifies the state of client's data, (2) it can be used to   synchronize with multiple servers, and (3) it can be used to detect   that the server's data was reloaded.  If RUV is used as the cookie,   entries last modified by a particular master must be sent to the   client in the order of their last modified CSN.  This ordering   guarantees that the RUV can be updated after each entry is sent.6.3. Cookie Support Issues6.3.1.  Support for Multiple Cookie Schemes   A server may support one or more LCUP cookie schemes.  It is expected   that schemes will be published along with their OIDs as RFCs.  The   server's DIT may be partitioned into different sections which may   have different cookies associated with them.  For example, some   servers may use some sort of replication mechanism to support LCUP.   If so, the DIT may be partitioned into multiple replicas.  A client   may send an LCUP search request that spans multiple replicas.  Some   parts of the DIT spanned by the search request scope may support LCUP   and some may not.  The server MUST send a SearchResultReferenceMegginson, et al.           Standards Track                    [Page 22]

RFC 3928              LDAP Client Update Protocol           October 2004   [RFC2251,SECTION 4.5.3] when the LCUP Context for a returned entry   changes.  The server SHOULD send all references to other LCUP   Contexts in the search scope first, in order to allow the clients to   process these searches in parallel.  The LDAP URL(s) returned MUST   contain the DN(s) of the base of another section of the DIT (however   the server implementation has partitioned the DIT).  The client will   then issue another LCUP search using the LDAP URL returned.  Each   section of the DIT MAY require a different cookie value, so the   client SHOULD maintain a cache, mapping the different LDAP URL values   to different cookies.  If the cookie changes, the scheme may change   as well, but the cookie scheme MUST be the same within a given LCUP   Context.6.3.2.  Information Contained in the Cookie   The cookie must contain enough information to allow the server to   determine whether the cookie can be safely used with the search   specification it is attached to.  As discussed earlier in the   document, the cookie SHOULD only be used with the search   specification that is equal to the one for which the cookie was   generated, but some servers MAY support using a cookie with a search   specification that is more restrictive than the one used to generate   the cookie.6.4.  Persist Phase Response Time   The specification makes no guarantees about how soon a server should   send notification of a changed entry to the client during the persist   phase.  This is intentional as any specific maximum delay would be   impossible to meet in a distributed directory service implementation.   Server implementers are encouraged to minimize the delay before   sending notifications to ensure that clients' needs for timeliness of   change notification are met.6.5.  Scaling Considerations   Implementers of servers that support the mechanism described in this   document should ensure that their implementation scales well as the   number of active persistent operations and the number of changes made   in the directory increases.  Server implementers are also encouraged   to support a large number of client connections if they need to   support large numbers of persistent operations.Megginson, et al.           Standards Track                    [Page 23]

RFC 3928              LDAP Client Update Protocol           October 20046.6.  Alias Dereferencing   LCUP design does not consider issues associated with alias   dereferencing in search.  Clients MUST specify derefAliases as either   neverDerefAliases or derefFindingBaseObj.  Servers are to return   protocolError if the client specifies either derefInSearching or   derefAlways.7.  Synchronizing Heterogeneous Data Stores   Clients, like a meta directory join engine, synchronizing multiple   writable data stores, will only work correctly if each piece of   information comes from a single authoritative data source.  In a   replicated environment, an LCUP Context should employ the same   conflict resolution scheme across all its replicas.  This is because   different systems have different notions of time and different update   resolution procedures.  As a result, a change applied on one system   can be discarded by the other, thus preventing the data stores from   converging.8.  IANA Considerations   This document lists several values that have been registered by the   IANA.  The following LDAP result codes have been assigned by IANA as   described insection 3.6 of [RFC3383]:      lcupResourcesExhausted    113      lcupSecurityViolation     114      lcupInvalidData           115      lcupUnsupportedScheme     116      lcupReloadRequired        117   The three controls defined in this document have been registered as   LDAP Protocol Mechanisms as described insection 3.2 of [RFC3383].   One OID, 1.3.6.1.1.7, has been assigned by IANA as described insection 3.1 of [RFC3383].  The OIDs for the controls defined in this   document are derived as follows from the one assigned by IANA:      LCUP Sync Request Control    1.3.6.1.1.7.1      LCUP Sync Update Control     1.3.6.1.1.7.2      LCUP Sync Done Control       1.3.6.1.1.7.39.  Security Considerations   In some situations, it may be important to prevent general exposure   of information about changes that occur in an LDAP server. Therefore,   servers that implement the mechanism described in this document   SHOULD provide a means to enforce access control on the entriesMegginson, et al.           Standards Track                    [Page 24]

RFC 3928              LDAP Client Update Protocol           October 2004   returned and MAY also provide specific access control mechanisms to   control the use of the controls and extended operations defined in   this document.   As with normal LDAP search requests, a malicious client can initiate   a large number of persistent search requests in an attempt to consume   all available server resources and deny service to legitimate   clients.  The protocol provides the means to stop malicious clients   by disconnecting them from the server.  The servers that implement   the mechanism SHOULD provide the means to detect the malicious   clients. In addition, the servers SHOULD provide the means to limit   the number of resources that can be consumed by a single client.10.  References10.1.  Normative References   [RFC2119]    Bradner, S., "Key words for use in RFCs to Indicate                Requirement Levels",BCP 14,RFC 2119, March 1997.   [RFC2251]    Wahl, M., Howes, T., and S. Kille, "Lightweight                Directory Access Protocol (v3)",RFC 2251, December                1997.   [RFC3383]    Zeilenga, K., "Internet Assigned Numbers Authority                (IANA) Considerations for Lightweight Directory Access                Protocol (LDAP)",BCP 64,RFC 3383, September 2002.   [RFC3909]    Zeilenga, K., "Lightweight Directory Access Protocol                (LDAP) Cancel Operation",RFC 3909, October 2004.   [X.680]      ITU-T, "Abstract Syntax Notation One (ASN.1) -                Specification of Basic Notation", X.680, 1994.   [X.690]      ITU-T, "Specification of ASN.1 encoding rules:  Basic,                Canonical, and Distinguished Encoding Rules", X.690,                1994.   [UUID]       International Organization for Standardization (ISO),                "Information technology - Open Systems Interconnection -                Remote Procedure Call", ISO/IEC 11578:1996.Megginson, et al.           Standards Track                    [Page 25]

RFC 3928              LDAP Client Update Protocol           October 200410.2.  Informative References   [RFC3384]    Stokes, E., Weiser, R., Moats, R., and R. Huber,                "Lightweight Directory Access Protocol (version 3)                Replication Requirements",RFC 3384, October 2002.   [RFC3671]    Zeilenga, K., "Collective Attributes in the Lightweight                Directory Access Protocol (LDAP)",RFC 3671, December                2003.   [RFC3672]    Zeilenga, K. and S. Legg, "Subentries in the Lightweight                Directory Access Protocol (LDAP)",RFC 3672, December                2003.11.  Acknowledgments   The LCUP protocol is based in part on the Persistent Search Change   Notification Mechanism defined by Mark Smith, Gordon Good, Tim Howes,   and Rob Weltman, the LDAPv3 Triggered Search Control defined by Mark   Wahl, and the LDAP Control for Directory Synchronization defined by   Michael Armijo.  The members of the IETF LDUP working group made   significant contributions to this document.Megginson, et al.           Standards Track                    [Page 26]

RFC 3928              LDAP Client Update Protocol           October 2004Appendix - Features Left Out of LCUP   There are several features present in other protocols or considered   useful by clients that are currently not included in the protocol   primarily because they are difficult to implement on the server.   These features are briefly discussed in this section.Triggered Search Change Type   This feature is present in the Triggered Search specification.  A   flag is attached to each entry returned to the client indicating the   reason why this entry is returned.  The possible reasons from the   document are:   -  notChange: the entry existed in the directory and matched the      search at the time the operation is being performed,   -  enteredSet: the entry entered the result,   -  leftSet: the entry left the result,   -  modified: the entry was part of the result set, was modified or      renamed, and still is in the result set.   The leftSet feature is particularly useful because it indicates to   the client that an entry is no longer within the client's search   specification and the client can remove the associated data from its   data store.  Ironically, this feature is the hardest to implement on   the server because the server does not keep track of the client's   state and has no easy way of telling which entries moved out of scope   between synchronization sessions with the client.  A compromise could   be reached by only providing this feature for the operations that   occur while the client is connected to the server.  This is easier to   accomplish because the decision about the change type can be made   based only on the change without need for any historical information.   This, however, would add complexity to the protocol.Persistent Search Change Type   This feature is present in the Persistent Search specification.   Persistent search has the notion of changeTypes.  The client   specifies which type of updates will cause entries to be returned,   and optionally whether the server tags each returned entry with the   type of change that caused that entry to be returned.   For LCUP, the intention is full synchronization, not partial.  Each   entry returned by an LCUP search will have some change associated   with it that may concern the client.  The client may have to have aMegginson, et al.           Standards Track                    [Page 27]

RFC 3928              LDAP Client Update Protocol           October 2004   local index of entries by DN or UUID to determine if the entry has   been added or just modified.  It is easy for clients to determine if   the entry has been deleted because the entryLeftSet value of the Sync   Update control will be TRUE.Sending Changes   Some earlier synchronization protocols sent the client(s) only the   modified attributes of the entry rather than the entire entry.  While   this approach can significantly reduce the amount of data returned to   the client, it has several disadvantages.  First, unless a separate   mechanism (like the change type described above) is used to notify   the client about entries moving into the search scope, sending only   the changes can result in the client having an incomplete version of   the data.  Let's consider an example.  An attribute of an entry is   modified.  As a result of the change, the entry enters the scope of   the client's search.  If only the changes are sent, the client would   never see the initial data of the entry.  Second, this feature is   hard to implement since the server might not contain sufficient   information to construct the changes based solely on the server's   state and the client's cookie.  On the other hand, this feature can   be easily implemented by the client assuming that the client has the   previous version of the data and can perform value by value   comparisons.Data Size Limits   Some earlier synchronization protocols allowed clients to control the   amount of data sent to them in the search response.  This feature was   intended to allow clients with limited resources to process   synchronization data in batches.  However, an LDAP search operation   already provides the means for the client to specify the size limit   by setting the sizeLimit field in the SearchRequest to the maximum   number of entries the client is willing to receive.  While the   granularity is not the same, the assumption is that regular LDAP   clients that can deal with the limitations of the LDAP protocol will   implement LCUP.Data Ordering   Some earlier synchronization protocols allowed a client to specify   that parent entries should be sent before the children for add   operations and children entries sent before their parents during   delete operations.  This ordering helps clients to maintain a   hierarchical view of the data in their data store.  While possibly   useful, this feature is relatively hard to implement and is expensive   to perform.Megginson, et al.           Standards Track                    [Page 28]

RFC 3928              LDAP Client Update Protocol           October 2004Authors' Addresses   Rich Megginson   Netscape Communications Corp., an America Online company.   360 W. Caribbean Drive   Sunnyvale, CA 94089   USA   Phone: +1 505 797-7762   EMail: rmegginson0224@aol.com   Olga Natkovich   Yahoo, Inc.   701 First Ave.   Sunnyvale, CA 94089   USA   Phone: +1 408 349-6153   EMail: olgan@yahoo-inc.com   Mark Smith   Pearl Crescent, LLC   447 Marlpool Drive   Saline, MI 48176   USA   Phone: +1 734 944-2856   EMail: mcs@pearlcrescent.com   Jeff Parham   Microsoft Corporation   One Microsoft Way   Redmond, WA 98052-6399   USA   Phone: +1 425 882-8080   EMail: jeffparh@microsoft.comMegginson, et al.           Standards Track                    [Page 29]

RFC 3928              LDAP Client Update Protocol           October 2004Full Copyright Statement   Copyright (C) The Internet Society (2004).   This document is subject to the rights, licenses and restrictions   contained inBCP 78, and at www.rfc-editor.org, and except as set   forth therein, the authors retain all their rights.   This document and the information contained herein are provided on an   "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS   OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY AND THE INTERNET   ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS OR IMPLIED,   INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE   INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED   WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.Intellectual Property   The IETF takes no position regarding the validity or scope of any   Intellectual Property Rights or other rights that might be claimed to   pertain to the implementation or use of the technology described in   this document or the extent to which any license under such rights   might or might not be available; nor does it represent that it has   made any independent effort to identify any such rights.  Information   on the ISOC's procedures with respect to rights in ISOC Documents can   be found inBCP 78 andBCP 79.   Copies of IPR disclosures made to the IETF Secretariat and any   assurances of licenses to be made available, or the result of an   attempt made to obtain a general license or permission for the use of   such proprietary rights by implementers or users of this   specification can be obtained from the IETF on-line IPR repository athttp://www.ietf.org/ipr.   The IETF invites any interested party to bring to its attention any   copyrights, patents or patent applications, or other proprietary   rights that may cover technology that may be required to implement   this standard.  Please address the information to the IETF at ietf-   ipr@ietf.org.Acknowledgement   Funding for the RFC Editor function is currently provided by the   Internet Society.Megginson, et al.           Standards Track                    [Page 30]

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