RFC 7530

Internet Engineering Task Force (IETF)                    T. Haynes, Ed.
Request for Comments: 7530                                  Primary Data
Obsoletes: 3530                                           D. Noveck, Ed.
Category: Standards Track                                           Dell
ISSN: 2070-1721                                               March 2015

              Network File System (NFS) Version 4 Protocol


   The Network File System (NFS) version 4 protocol is a distributed
   file system protocol that builds on the heritage of NFS protocol
   version 2 (RFC 1094) and version 3 (RFC 1813).  Unlike earlier
   versions, the NFS version 4 protocol supports traditional file access
   while integrating support for file locking and the MOUNT protocol.
   In addition, support for strong security (and its negotiation),
   COMPOUND operations, client caching, and internationalization has
   been added.  Of course, attention has been applied to making NFS
   version 4 operate well in an Internet environment.

   This document, together with the companion External Data
   Representation (XDR) description document, RFC 7531, obsoletes RFC
   3530 as the definition of the NFS version 4 protocol.

Status of This Memo

   This is an Internet Standards Track document.

   This document is a product of the Internet Engineering Task Force
   (IETF).  It represents the consensus of the IETF community.  It has
   received public review and has been approved for publication by the
   Internet Engineering Steering Group (IESG).  Further information on
   Internet Standards is available in Section 2 of RFC 5741.

   Information about the current status of this document, any errata,
   and how to provide feedback on it may be obtained at

Haynes & Noveck              Standards Track                    [Page 1]

RFC 7530                          NFSv4                       March 2015

Copyright Notice

   Copyright (c) 2015 IETF Trust and the persons identified as the
   document authors.  All rights reserved.

   This document is subject to BCP 78 and the IETF Trust's Legal
   Provisions Relating to IETF Documents
   (http://trustee.ietf.org/license-info) in effect on the date of
   publication of this document.  Please review these documents
   carefully, as they describe your rights and restrictions with respect
   to this document.  Code Components extracted from this document must
   include Simplified BSD License text as described in Section 4.e of
   the Trust Legal Provisions and are provided without warranty as
   described in the Simplified BSD License.

   This document may contain material from IETF Documents or IETF
   Contributions published or made publicly available before November
   10, 2008.  The person(s) controlling the copyright in some of this
   material may not have granted the IETF Trust the right to allow
   modifications of such material outside the IETF Standards Process.
   Without obtaining an adequate license from the person(s) controlling
   the copyright in such materials, this document may not be modified
   outside the IETF Standards Process, and derivative works of it may
   not be created outside the IETF Standards Process, except to format
   it for publication as an RFC or to translate it into languages other
   than English.

Table of Contents

   1. Introduction ....................................................8
      1.1. Requirements Language ......................................8
      1.2. NFS Version 4 Goals ........................................8
      1.3. Definitions in the Companion Document RFC 7531 Are
           Authoritative ..............................................9
      1.4. Overview of NFSv4 Features .................................9
           1.4.1. RPC and Security ....................................9
           1.4.2. Procedure and Operation Structure ..................10
           1.4.3. File System Model ..................................10
           1.4.4. OPEN and CLOSE .....................................12
           1.4.5. File Locking .......................................12
           1.4.6. Client Caching and Delegation ......................13
      1.5. General Definitions .......................................14
      1.6. Changes since RFC 3530 ....................................16
      1.7. Changes between RFC 3010 and RFC 3530 .....................16
   2. Protocol Data Types ............................................18
      2.1. Basic Data Types ..........................................18
      2.2. Structured Data Types .....................................21

Haynes & Noveck              Standards Track                    [Page 2]

RFC 7530                          NFSv4                       March 2015

   3. RPC and Security Flavor ........................................25
      3.1. Ports and Transports ......................................25
           3.1.1. Client Retransmission Behavior .....................26
      3.2. Security Flavors ..........................................27
           3.2.1. Security Mechanisms for NFSv4 ......................27
      3.3. Security Negotiation ......................................28
           3.3.1. SECINFO ............................................29
           3.3.2. Security Error .....................................29
           3.3.3. Callback RPC Authentication ........................29
   4. Filehandles ....................................................30
      4.1. Obtaining the First Filehandle ............................30
           4.1.1. Root Filehandle ....................................31
           4.1.2. Public Filehandle ..................................31
      4.2. Filehandle Types ..........................................31
           4.2.1. General Properties of a Filehandle .................32
           4.2.2. Persistent Filehandle ..............................32
           4.2.3. Volatile Filehandle ................................33
           4.2.4. One Method of Constructing a Volatile Filehandle ...34
      4.3. Client Recovery from Filehandle Expiration ................35
   5. Attributes .....................................................35
      5.1. REQUIRED Attributes .......................................37
      5.2. RECOMMENDED Attributes ....................................37
      5.3. Named Attributes ..........................................37
      5.4. Classification of Attributes ..............................39
      5.5. Set-Only and Get-Only Attributes ..........................40
      5.6. REQUIRED Attributes - List and Definition References ......40
      5.7. RECOMMENDED Attributes - List and Definition References ...41
      5.8. Attribute Definitions .....................................42
           5.8.1. Definitions of REQUIRED Attributes .................42
           5.8.2. Definitions of Uncategorized RECOMMENDED
                  Attributes .........................................45
      5.9. Interpreting owner and owner_group ........................51
      5.10. Character Case Attributes ................................53
   6. Access Control Attributes ......................................54
      6.1. Goals .....................................................54
      6.2. File Attributes Discussion ................................55
           6.2.1. Attribute 12: acl ..................................55
           6.2.2. Attribute 33: mode .................................70
      6.3. Common Methods ............................................71
           6.3.1. Interpreting an ACL ................................71
           6.3.2. Computing a mode Attribute from an ACL .............72
      6.4. Requirements ..............................................73
           6.4.1. Setting the mode and/or ACL Attributes .............74
           6.4.2. Retrieving the mode and/or ACL Attributes ..........75
           6.4.3. Creating New Objects ...............................75

Haynes & Noveck              Standards Track                    [Page 3]

RFC 7530                          NFSv4                       March 2015

   7. NFS Server Namespace ...........................................77
      7.1. Server Exports ............................................77
      7.2. Browsing Exports ..........................................77
      7.3. Server Pseudo-File System .................................78
      7.4. Multiple Roots ............................................79
      7.5. Filehandle Volatility .....................................79
      7.6. Exported Root .............................................79
      7.7. Mount Point Crossing ......................................79
      7.8. Security Policy and Namespace Presentation ................80
   8. Multi-Server Namespace .........................................81
      8.1. Location Attributes .......................................81
      8.2. File System Presence or Absence ...........................81
      8.3. Getting Attributes for an Absent File System ..............83
           8.3.1. GETATTR within an Absent File System ...............83
           8.3.2. READDIR and Absent File Systems ....................84
      8.4. Uses of Location Information ..............................84
           8.4.1. File System Replication ............................85
           8.4.2. File System Migration ..............................86
           8.4.3. Referrals ..........................................86
      8.5. Location Entries and Server Identity ......................87
      8.6. Additional Client-Side Considerations .....................88
      8.7. Effecting File System Referrals ...........................89
           8.7.1. Referral Example (LOOKUP) ..........................89
           8.7.2. Referral Example (READDIR) .........................93
      8.8. The Attribute fs_locations ................................96
   9. File Locking and Share Reservations ............................98
      9.1. Opens and Byte-Range Locks ................................99
           9.1.1. Client ID ..........................................99
           9.1.2. Server Release of Client ID .......................102
           9.1.3. Use of Seqids .....................................103
           9.1.4. Stateid Definition ................................104
           9.1.5. Lock-Owner ........................................110
           9.1.6. Use of the Stateid and Locking ....................110
           9.1.7. Sequencing of Lock Requests .......................113
           9.1.8. Recovery from Replayed Requests ...................114
           9.1.9. Interactions of Multiple Sequence Values ..........114
           9.1.10. Releasing State-Owner State ......................115
           9.1.11. Use of Open Confirmation .........................116
      9.2. Lock Ranges ..............................................117
      9.3. Upgrading and Downgrading Locks ..........................117
      9.4. Blocking Locks ...........................................118
      9.5. Lease Renewal ............................................119
      9.6. Crash Recovery ...........................................120
           9.6.1. Client Failure and Recovery .......................120
           9.6.2. Server Failure and Recovery .......................120
           9.6.3. Network Partitions and Recovery ...................122
      9.7. Recovery from a Lock Request Timeout or Abort ............130
      9.8. Server Revocation of Locks ...............................130

Haynes & Noveck              Standards Track                    [Page 4]

RFC 7530                          NFSv4                       March 2015

      9.9. Share Reservations .......................................132
      9.10. OPEN/CLOSE Operations ...................................132
           9.10.1. Close and Retention of State Information .........133
      9.11. Open Upgrade and Downgrade ..............................134
      9.12. Short and Long Leases ...................................135
      9.13. Clocks, Propagation Delay, and Calculating Lease
            Expiration ..............................................135
      9.14. Migration, Replication, and State .......................136
           9.14.1. Migration and State ..............................136
           9.14.2. Replication and State ............................137
           9.14.3. Notification of Migrated Lease ...................137
           9.14.4. Migration and the lease_time Attribute ...........138
   10. Client-Side Caching ..........................................139
      10.1. Performance Challenges for Client-Side Caching ..........139
      10.2. Delegation and Callbacks ................................140
           10.2.1. Delegation Recovery ..............................142
      10.3. Data Caching ............................................147
           10.3.1. Data Caching and OPENs ...........................147
           10.3.2. Data Caching and File Locking ....................148
           10.3.3. Data Caching and Mandatory File Locking ..........150
           10.3.4. Data Caching and File Identity ...................150
      10.4. Open Delegation .........................................151
           10.4.1. Open Delegation and Data Caching .................154
           10.4.2. Open Delegation and File Locks ...................155
           10.4.3. Handling of CB_GETATTR ...........................155
           10.4.4. Recall of Open Delegation ........................158
           10.4.5. OPEN Delegation Race with CB_RECALL ..............160
           10.4.6. Clients That Fail to Honor Delegation Recalls ....161
           10.4.7. Delegation Revocation ............................162
      10.5. Data Caching and Revocation .............................162
           10.5.1. Revocation Recovery for Write Open Delegation ....163
      10.6. Attribute Caching .......................................164
      10.7. Data and Metadata Caching and Memory-Mapped Files .......166
      10.8. Name Caching ............................................168
      10.9. Directory Caching .......................................169
   11. Minor Versioning .............................................170
   12. Internationalization .........................................170
      12.1. Introduction ............................................170
      12.2. Limitations on Internationalization-Related
            Processing in the NFSv4 Context .........................172
      12.3. Summary of Server Behavior Types ........................173
      12.4. String Encoding .........................................173
      12.5. Normalization ...........................................174
      12.6. Types with Processing Defined by Other Internet Areas ...175
      12.7. Errors Related to UTF-8 .................................177
      12.8. Servers That Accept File Component Names That
            Are Not Valid UTF-8 Strings .............................177

Haynes & Noveck              Standards Track                    [Page 5]

RFC 7530                          NFSv4                       March 2015

   13. Error Values .................................................178
      13.1. Error Definitions .......................................179
           13.1.1. General Errors ...................................180
           13.1.2. Filehandle Errors ................................181
           13.1.3. Compound Structure Errors ........................183
           13.1.4. File System Errors ...............................184
           13.1.5. State Management Errors ..........................186
           13.1.6. Security Errors ..................................187
           13.1.7. Name Errors ......................................187
           13.1.8. Locking Errors ...................................188
           13.1.9. Reclaim Errors ...................................190
           13.1.10. Client Management Errors ........................191
           13.1.11. Attribute Handling Errors .......................191
           13.1.12. Miscellaneous Errors ............................191
      13.2. Operations and Their Valid Errors .......................192
      13.3. Callback Operations and Their Valid Errors ..............200
      13.4. Errors and the Operations That Use Them .................201
   14. NFSv4 Requests ...............................................206
      14.1. COMPOUND Procedure ......................................207
      14.2. Evaluation of a COMPOUND Request ........................207
      14.3. Synchronous Modifying Operations ........................208
      14.4. Operation Values ........................................208
   15. NFSv4 Procedures .............................................209
      15.1. Procedure 0: NULL - No Operation ........................209
      15.2. Procedure 1: COMPOUND - COMPOUND Operations .............210
   16. NFSv4 Operations .............................................214
      16.1. Operation 3: ACCESS - Check Access Rights ...............214
      16.2. Operation 4: CLOSE - Close File .........................217
      16.3. Operation 5: COMMIT - Commit Cached Data ................218
      16.4. Operation 6: CREATE - Create a Non-regular File Object ..221
      16.5. Operation 7: DELEGPURGE - Purge Delegations
            Awaiting Recovery .......................................224
      16.6. Operation 8: DELEGRETURN - Return Delegation ............226
      16.7. Operation 9: GETATTR - Get Attributes ...................227
      16.8. Operation 10: GETFH - Get Current Filehandle ............229
      16.9. Operation 11: LINK - Create Link to a File ..............230
      16.10. Operation 12: LOCK - Create Lock .......................232
      16.11. Operation 13: LOCKT - Test for Lock ....................236
      16.12. Operation 14: LOCKU - Unlock File ......................238
      16.13. Operation 15: LOOKUP - Look Up Filename ................240
      16.14. Operation 16: LOOKUPP - Look Up Parent Directory .......242
      16.15. Operation 17: NVERIFY - Verify Difference in
             Attributes .............................................243
      16.16. Operation 18: OPEN - Open a Regular File ...............245

Haynes & Noveck              Standards Track                    [Page 6]

RFC 7530                          NFSv4                       March 2015

      16.17. Operation 19: OPENATTR - Open Named Attribute
             Directory ..............................................256
      16.18. Operation 20: OPEN_CONFIRM - Confirm Open ..............257
      16.19. Operation 21: OPEN_DOWNGRADE - Reduce Open File
             Access .................................................260
      16.20. Operation 22: PUTFH - Set Current Filehandle ...........262
      16.21. Operation 23: PUTPUBFH - Set Public Filehandle .........263
      16.22. Operation 24: PUTROOTFH - Set Root Filehandle ..........265
      16.23. Operation 25: READ - Read from File ....................266
      16.24. Operation 26: READDIR - Read Directory .................269
      16.25. Operation 27: READLINK - Read Symbolic Link ............273
      16.26. Operation 28: REMOVE - Remove File System Object .......274
      16.27. Operation 29: RENAME - Rename Directory Entry ..........276
      16.28. Operation 30: RENEW - Renew a Lease ....................278
      16.29. Operation 31: RESTOREFH - Restore Saved Filehandle .....280
      16.30. Operation 32: SAVEFH - Save Current Filehandle .........281
      16.31. Operation 33: SECINFO - Obtain Available Security ......282
      16.32. Operation 34: SETATTR - Set Attributes .................286
      16.33. Operation 35: SETCLIENTID - Negotiate Client ID ........289
      16.34. Operation 36: SETCLIENTID_CONFIRM - Confirm Client ID ..293
      16.35. Operation 37: VERIFY - Verify Same Attributes ..........297
      16.36. Operation 38: WRITE - Write to File ....................299
      16.37. Operation 39: RELEASE_LOCKOWNER - Release
             Lock-Owner State .......................................304
      16.38. Operation 10044: ILLEGAL - Illegal Operation ...........305
   17. NFSv4 Callback Procedures ....................................306
      17.1. Procedure 0: CB_NULL - No Operation .....................306
      17.2. Procedure 1: CB_COMPOUND - COMPOUND Operations ..........307
   18. NFSv4 Callback Operations ....................................309
      18.1. Operation 3: CB_GETATTR - Get Attributes ................309
      18.2. Operation 4: CB_RECALL - Recall an Open Delegation ......310
      18.3. Operation 10044: CB_ILLEGAL - Illegal Callback
            Operation ...............................................311
   19. Security Considerations ......................................312
   20. IANA Considerations ..........................................314
      20.1. Named Attribute Definitions .............................314
           20.1.1. Initial Registry .................................315
           20.1.2. Updating Registrations ...........................315
      20.2. Updates to Existing IANA Registries .....................315
   21. References ...................................................316
      21.1. Normative References ....................................316
      21.2. Informative References ..................................318
   Acknowledgments ..................................................322
   Authors' Addresses ...............................................323

Haynes & Noveck              Standards Track                    [Page 7]

RFC 7530                          NFSv4                       March 2015

1.  Introduction

1.1.  Requirements Language

   The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
   document are to be interpreted as described in RFC 2119 [RFC2119],
   except where "REQUIRED" and "RECOMMENDED" are used as qualifiers to
   distinguish classes of attributes as described in Sections
   and 5 of this document.

1.2.  NFS Version 4 Goals

   The Network File System version 4 (NFSv4) protocol is a further
   revision of the NFS protocol defined already by versions 2 [RFC1094]
   and 3 [RFC1813].  It retains the essential characteristics of
   previous versions: design for easy recovery; independent of transport
   protocols, operating systems, and file systems; simplicity; and good
   performance.  The NFSv4 revision has the following goals:

   o  Improved access and good performance on the Internet.

      The protocol is designed to transit firewalls easily, perform well
      where latency is high and bandwidth is low, and scale to very
      large numbers of clients per server.

   o  Strong security with negotiation built into the protocol.

      The protocol builds on the work of the Open Network Computing
      (ONC) Remote Procedure Call (RPC) working group in supporting the
      RPCSEC_GSS protocol (see both [RFC2203] and [RFC5403]).
      Additionally, the NFSv4 protocol provides a mechanism to allow
      clients and servers the ability to negotiate security and require
      clients and servers to support a minimal set of security schemes.

   o  Good cross-platform interoperability.

      The protocol features a file system model that provides a useful,
      common set of features that does not unduly favor one file system
      or operating system over another.

   o  Designed for protocol extensions.

      The protocol is designed to accept standard extensions that do not
      compromise backward compatibility.

Haynes & Noveck              Standards Track                    [Page 8]

RFC 7530                          NFSv4                       March 2015

   This document, together with the companion External Data
   Representation (XDR) description document [RFC7531], obsoletes
   [RFC3530] as the authoritative document describing NFSv4.  It does
   not introduce any over-the-wire protocol changes, in the sense that
   previously valid requests remain valid.

1.3.  Definitions in the Companion Document RFC 7531 Are Authoritative

   The "Network File System (NFS) Version 4 External Data Representation
   Standard (XDR) Description" [RFC7531] contains the definitions in XDR
   description language of the constructs used by the protocol.  Inside
   this document, several of the constructs are reproduced for purposes
   of explanation.  The reader is warned of the possibility of errors in
   the reproduced constructs outside of [RFC7531].  For any part of the
   document that is inconsistent with [RFC7531], [RFC7531] is to be
   considered authoritative.

1.4.  Overview of NFSv4 Features

   To provide a reasonable context for the reader, the major features of
   the NFSv4 protocol will be reviewed in brief.  This is done to
   provide an appropriate context for both the reader who is familiar
   with the previous versions of the NFS protocol and the reader who is
   new to the NFS protocols.  For the reader new to the NFS protocols,
   some fundamental knowledge is still expected.  The reader should be
   familiar with the XDR and RPC protocols as described in [RFC4506] and
   [RFC5531].  A basic knowledge of file systems and distributed file
   systems is expected as well.

1.4.1.  RPC and Security

   As with previous versions of NFS, the XDR and RPC mechanisms used for
   the NFSv4 protocol are those defined in [RFC4506] and [RFC5531].  To
   meet end-to-end security requirements, the RPCSEC_GSS framework (both
   version 1 in [RFC2203] and version 2 in [RFC5403]) will be used to
   extend the basic RPC security.  With the use of RPCSEC_GSS, various
   mechanisms can be provided to offer authentication, integrity, and
   privacy to the NFSv4 protocol.  Kerberos V5 will be used as described
   in [RFC4121] to provide one security framework.  With the use of
   RPCSEC_GSS, other mechanisms may also be specified and used for NFSv4

   To enable in-band security negotiation, the NFSv4 protocol has added
   a new operation that provides the client with a method of querying
   the server about its policies regarding which security mechanisms
   must be used for access to the server's file system resources.  With
   this, the client can securely match the security mechanism that meets
   the policies specified at both the client and server.

Haynes & Noveck              Standards Track                    [Page 9]

RFC 7530                          NFSv4                       March 2015

1.4.2.  Procedure and Operation Structure

   A significant departure from the previous versions of the NFS
   protocol is the introduction of the COMPOUND procedure.  For the
   NFSv4 protocol, there are two RPC procedures: NULL and COMPOUND.  The
   COMPOUND procedure is defined in terms of operations, and these
   operations correspond more closely to the traditional NFS procedures.

   With the use of the COMPOUND procedure, the client is able to build
   simple or complex requests.  These COMPOUND requests allow for a
   reduction in the number of RPCs needed for logical file system
   operations.  For example, without previous contact with a server a
   client will be able to read data from a file in one request by
   combining LOOKUP, OPEN, and READ operations in a single COMPOUND RPC.
   With previous versions of the NFS protocol, this type of single
   request was not possible.

   The model used for COMPOUND is very simple.  There is no logical OR
   or ANDing of operations.  The operations combined within a COMPOUND
   request are evaluated in order by the server.  Once an operation
   returns a failing result, the evaluation ends and the results of all
   evaluated operations are returned to the client.

   The NFSv4 protocol continues to have the client refer to a file or
   directory at the server by a "filehandle".  The COMPOUND procedure
   has a method of passing a filehandle from one operation to another
   within the sequence of operations.  There is a concept of a current
   filehandle and a saved filehandle.  Most operations use the current
   filehandle as the file system object to operate upon.  The saved
   filehandle is used as temporary filehandle storage within a COMPOUND
   procedure as well as an additional operand for certain operations.

1.4.3.  File System Model

   The general file system model used for the NFSv4 protocol is the same
   as previous versions.  The server file system is hierarchical, with
   the regular files contained within being treated as opaque byte
   streams.  In a slight departure, file and directory names are encoded
   with UTF-8 to deal with the basics of internationalization.

   The NFSv4 protocol does not require a separate protocol to provide
   for the initial mapping between pathname and filehandle.  Instead of
   using the older MOUNT protocol for this mapping, the server provides
   a root filehandle that represents the logical root or top of the file
   system tree provided by the server.  The server provides multiple
   file systems by gluing them together with pseudo-file systems.  These
   pseudo-file systems provide for potential gaps in the pathnames
   between real file systems.

Haynes & Noveck              Standards Track                   [Page 10]

RFC 7530                          NFSv4                       March 2015  Filehandle Types

   In previous versions of the NFS protocol, the filehandle provided by
   the server was guaranteed to be valid or persistent for the lifetime
   of the file system object to which it referred.  For some server
   implementations, this persistence requirement has been difficult to
   meet.  For the NFSv4 protocol, this requirement has been relaxed by
   introducing another type of filehandle -- volatile.  With persistent
   and volatile filehandle types, the server implementation can match
   the abilities of the file system at the server along with the
   operating environment.  The client will have knowledge of the type of
   filehandle being provided by the server and can be prepared to deal
   with the semantics of each.  Attribute Types

   The NFSv4 protocol has a rich and extensible file object attribute
   structure, which is divided into REQUIRED, RECOMMENDED, and named
   attributes (see Section 5).

   Several (but not all) of the REQUIRED attributes are derived from the
   attributes of NFSv3 (see the definition of the fattr3 data type in
   [RFC1813]).  An example of a REQUIRED attribute is the file object's
   type (Section so that regular files can be distinguished
   from directories (also known as folders in some operating
   environments) and other types of objects.  REQUIRED attributes are
   discussed in Section 5.1.

   An example of the RECOMMENDED attributes is an acl (Section 6.2.1).
   This attribute defines an Access Control List (ACL) on a file object.
   An ACL provides file access control beyond the model used in NFSv3.
   The ACL definition allows for specification of specific sets of
   permissions for individual users and groups.  In addition, ACL
   inheritance allows propagation of access permissions and restriction
   down a directory tree as file system objects are created.
   RECOMMENDED attributes are discussed in Section 5.2.

   A named attribute is an opaque byte stream that is associated with a
   directory or file and referred to by a string name.  Named attributes
   are meant to be used by client applications as a method to associate
   application-specific data with a regular file or directory.  NFSv4.1
   modifies named attributes relative to NFSv4.0 by tightening the
   allowed operations in order to prevent the development of
   non-interoperable implementations.  Named attributes are discussed in
   Section 5.3.

Haynes & Noveck              Standards Track                   [Page 11]

RFC 7530                          NFSv4                       March 2015  Multi-Server Namespace

   A single-server namespace is the file system hierarchy that the
   server presents for remote access.  It is a proper subset of all the
   file systems available locally.  NFSv4 contains a number of features
   to allow implementation of namespaces that cross server boundaries
   and that allow and facilitate a non-disruptive transfer of support
   for individual file systems between servers.  They are all based upon
   attributes that allow one file system to specify alternative or new
   locations for that file system.  That is, just as a client might
   traverse across local file systems on a single server, it can now
   traverse to a remote file system on a different server.

   These attributes may be used together with the concept of absent file
   systems, which provide specifications for additional locations but no
   actual file system content.  This allows a number of important

   o  Location attributes may be used with absent file systems to
      implement referrals whereby one server may direct the client to a
      file system provided by another server.  This allows extensive
      multi-server namespaces to be constructed.

   o  Location attributes may be provided for present file systems to
      provide the locations of alternative file system instances or
      replicas to be used in the event that the current file system
      instance becomes unavailable.

   o  Location attributes may be provided when a previously present file
      system becomes absent.  This allows non-disruptive migration of
      file systems to alternative servers.

1.4.4.  OPEN and CLOSE

   The NFSv4 protocol introduces OPEN and CLOSE operations.  The OPEN
   operation provides a single point where file lookup, creation, and
   share semantics (see Section 9.9) can be combined.  The CLOSE
   operation also provides for the release of state accumulated by OPEN.

1.4.5.  File Locking

   With the NFSv4 protocol, the support for byte-range file locking is
   part of the NFS protocol.  The file locking support is structured so
   that an RPC callback mechanism is not required.  This is a departure
   from the previous versions of the NFS file locking protocol, Network
   Lock Manager (NLM) [RFC1813].  The state associated with file locks
   is maintained at the server under a lease-based model.  The server
   defines a single lease period for all state held by an NFS client.

Haynes & Noveck              Standards Track                   [Page 12]

RFC 7530                          NFSv4                       March 2015

   If the client does not renew its lease within the defined period, all
   state associated with the client's lease may be released by the
   server.  The client may renew its lease by use of the RENEW operation
   or implicitly by use of other operations (primarily READ).

1.4.6.  Client Caching and Delegation

   The file, attribute, and directory caching for the NFSv4 protocol is
   similar to previous versions.  Attributes and directory information
   are cached for a duration determined by the client.  At the end of a
   predefined timeout, the client will query the server to see if the
   related file system object has been updated.

   For file data, the client checks its cache validity when the file is
   opened.  A query is sent to the server to determine if the file has
   been changed.  Based on this information, the client determines if
   the data cache for the file should be kept or released.  Also, when
   the file is closed, any modified data is written to the server.

   If an application wants to serialize access to file data, file
   locking of the file data ranges in question should be used.

   The major addition to NFSv4 in the area of caching is the ability of
   the server to delegate certain responsibilities to the client.  When
   the server grants a delegation for a file to a client, the client is
   guaranteed certain semantics with respect to the sharing of that file
   with other clients.  At OPEN, the server may provide the client
   either a read (OPEN_DELEGATE_READ) or a write (OPEN_DELEGATE_WRITE)
   delegation for the file (see Section 10.4).  If the client is granted
   an OPEN_DELEGATE_READ delegation, it is assured that no other client
   has the ability to write to the file for the duration of the
   delegation.  If the client is granted an OPEN_DELEGATE_WRITE
   delegation, the client is assured that no other client has read or
   write access to the file.

   Delegations can be recalled by the server.  If another client
   requests access to the file in such a way that the access conflicts
   with the granted delegation, the server is able to notify the initial
   client and recall the delegation.  This requires that a callback path
   exist between the server and client.  If this callback path does not
   exist, then delegations cannot be granted.  The essence of a
   delegation is that it allows the client to locally service operations
   such as OPEN, CLOSE, LOCK, LOCKU, READ, or WRITE without immediate
   interaction with the server.

Haynes & Noveck              Standards Track                   [Page 13]

RFC 7530                          NFSv4                       March 2015

1.5.  General Definitions

   The following definitions are provided for the purpose of providing
   an appropriate context for the reader.

   Absent File System:  A file system is "absent" when a namespace
      component does not have a backing file system.

   Anonymous Stateid:  The Anonymous Stateid is a special locking object
      and is defined in Section

   Byte:  In this document, a byte is an octet, i.e., a datum exactly
      8 bits in length.

   Client:  The client is the entity that accesses the NFS server's
      resources.  The client may be an application that contains the
      logic to access the NFS server directly.  The client may also be
      the traditional operating system client that provides remote file
      system services for a set of applications.

      With reference to byte-range locking, the client is also the
      entity that maintains a set of locks on behalf of one or more
      applications.  This client is responsible for crash or failure
      recovery for those locks it manages.

      Note that multiple clients may share the same transport and
      connection, and multiple clients may exist on the same network

   Client ID:  The client ID is a 64-bit quantity used as a unique,
      shorthand reference to a client-supplied verifier and ID.  The
      server is responsible for supplying the client ID.

   File System:  The file system is the collection of objects on a
      server that share the same fsid attribute (see Section

   Lease:  A lease is an interval of time defined by the server for
      which the client is irrevocably granted a lock.  At the end of a
      lease period the lock may be revoked if the lease has not been
      extended.  The lock must be revoked if a conflicting lock has been
      granted after the lease interval.

      All leases granted by a server have the same fixed duration.  Note
      that the fixed interval duration was chosen to alleviate the
      expense a server would have in maintaining state about variable-
      length leases across server failures.

Haynes & Noveck              Standards Track                   [Page 14]

RFC 7530                          NFSv4                       March 2015

   Lock:  The term "lock" is used to refer to record (byte-range) locks
      as well as share reservations unless specifically stated

   Lock-Owner:  Each byte-range lock is associated with a specific
      lock-owner and an open-owner.  The lock-owner consists of a
      client ID and an opaque owner string.  The client presents this to
      the server to establish the ownership of the byte-range lock as

   Open-Owner:  Each open file is associated with a specific open-owner,
      which consists of a client ID and an opaque owner string.  The
      client presents this to the server to establish the ownership of
      the open as needed.

   READ Bypass Stateid:  The READ Bypass Stateid is a special locking
      object and is defined in Section

   Server:  The "server" is the entity responsible for coordinating
      client access to a set of file systems.

   Stable Storage:  NFSv4 servers must be able to recover without data
      loss from multiple power failures (including cascading power
      failures, that is, several power failures in quick succession),
      operating system failures, and hardware failure of components
      other than the storage medium itself (for example, disk,
      non-volatile RAM).

      Some examples of stable storage that are allowable for an NFS
      server include:

      (1)  Media commit of data.  That is, the modified data has been
           successfully written to the disk media -- for example, the
           disk platter.

      (2)  An immediate reply disk drive with battery-backed on-drive
           intermediate storage or uninterruptible power system (UPS).

      (3)  Server commit of data with battery-backed intermediate
           storage and recovery software.

      (4)  Cache commit with UPS and recovery software.

Haynes & Noveck              Standards Track                   [Page 15]

RFC 7530                          NFSv4                       March 2015

   Stateid:  A stateid is a 128-bit quantity returned by a server that
      uniquely identifies the open and locking states provided by the
      server for a specific open-owner or lock-owner/open-owner pair for
      a specific file and type of lock.

   Verifier:  A verifier is a 64-bit quantity generated by the client
      that the server can use to determine if the client has restarted
      and lost all previous lock state.

1.6.  Changes since RFC 3530

   The main changes from RFC 3530 [RFC3530] are:

   o  The XDR definition has been moved to a companion document

   o  The IETF intellectual property statements were updated to the
      latest version.

   o  There is a restructured and more complete explanation of multi-
      server namespace features.

   o  The handling of domain names was updated to reflect
      Internationalized Domain Names in Applications (IDNA) [RFC5891].

   o  The previously required LIPKEY and SPKM-3 security mechanisms have
      been removed.

   o  Some clarification was provided regarding a client re-establishing
      callback information to the new server if state has been migrated.

   o  A third edge case was added for courtesy locks and network

   o  The definition of stateid was strengthened.

1.7.  Changes between RFC 3010 and RFC 3530

   The definition of the NFSv4 protocol in [RFC3530] replaced and
   obsoleted the definition present in [RFC3010].  While portions of the
   two documents remained the same, there were substantive changes in
   others.  The changes made between [RFC3010] and [RFC3530] reflect
   implementation experience and further review of the protocol.

Haynes & Noveck              Standards Track                   [Page 16]

RFC 7530                          NFSv4                       March 2015

   The following list is not inclusive of all changes but presents some
   of the most notable changes or additions made:

   o  The state model has added an open_owner4 identifier.  This was
      done to accommodate POSIX-based clients and the model they use for
      file locking.  For POSIX clients, an open_owner4 would correspond
      to a file descriptor potentially shared amongst a set of processes
      and the lock_owner4 identifier would correspond to a process that
      is locking a file.

   o  Added clarifications and error conditions for the handling of the
      owner and group attributes.  Since these attributes are string
      based (as opposed to the numeric uid/gid of previous versions of
      NFS), translations may not be available and hence the changes

   o  Added clarifications for the ACL and mode attributes to address
      evaluation and partial support.

   o  For identifiers that are defined as XDR opaque, set limits on
      their size.

   o  Added the mounted_on_fileid attribute to allow POSIX clients to
      correctly construct local mounts.

   o  Modified the SETCLIENTID/SETCLIENTID_CONFIRM operations to deal
      correctly with confirmation details along with adding the ability
      to specify new client callback information.  Also added
      clarification of the callback information itself.

   o  Added a new operation RELEASE_LOCKOWNER to enable notifying the
      server that a lock_owner4 will no longer be used by the client.

   o  Added RENEW operation changes to identify the client correctly and
      allow for additional error returns.

   o  Verified error return possibilities for all operations.

   o  Removed use of the pathname4 data type from LOOKUP and OPEN in
      favor of having the client construct a sequence of LOOKUP
      operations to achieve the same effect.

Haynes & Noveck              Standards Track                   [Page 17]

RFC 7530                          NFSv4                       March 2015

2.  Protocol Data Types

   The syntax and semantics to describe the data types of the NFSv4
   protocol are defined in the XDR [RFC4506] and RPC [RFC5531]
   documents.  The next sections build upon the XDR data types to define
   types and structures specific to this protocol.  As a reminder, the
   size constants and authoritative definitions can be found in

2.1.  Basic Data Types

   Table 1 lists the base NFSv4 data types.

   | Data Type       | Definition                                      |
   | int32_t         | typedef int int32_t;                            |
   |                 |                                                 |
   | uint32_t        | typedef unsigned int uint32_t;                  |
   |                 |                                                 |
   | int64_t         | typedef hyper int64_t;                          |
   |                 |                                                 |
   | uint64_t        | typedef unsigned hyper uint64_t;                |
   |                 |                                                 |
   | attrlist4       | typedef opaque attrlist4<>;                     |
   |                 |                                                 |
   |                 | Used for file/directory attributes.             |
   |                 |                                                 |
   | bitmap4         | typedef uint32_t bitmap4<>;                     |
   |                 |                                                 |
   |                 | Used in attribute array encoding.               |
   |                 |                                                 |
   | changeid4       | typedef uint64_t changeid4;                     |
   |                 |                                                 |
   |                 | Used in the definition of change_info4.         |
   |                 |                                                 |
   | clientid4       | typedef uint64_t clientid4;                     |
   |                 |                                                 |
   |                 | Shorthand reference to client identification.   |
   |                 |                                                 |
   | count4          | typedef uint32_t count4;                        |
   |                 |                                                 |
   |                 | Various count parameters (READ, WRITE, COMMIT). |
   |                 |                                                 |
   | length4         | typedef uint64_t length4;                       |
   |                 |                                                 |
   |                 | Describes LOCK lengths.                         |
   |                 |                                                 |

Haynes & Noveck              Standards Track                   [Page 18]

RFC 7530                          NFSv4                       March 2015

   | mode4           | typedef uint32_t mode4;                         |
   |                 |                                                 |
   |                 | Mode attribute data type.                       |
   |                 |                                                 |
   | nfs_cookie4     | typedef uint64_t nfs_cookie4;                   |
   |                 |                                                 |
   |                 | Opaque cookie value for READDIR.                |
   |                 |                                                 |
   | nfs_fh4         | typedef opaque nfs_fh4<NFS4_FHSIZE>;            |
   |                 |                                                 |
   |                 | Filehandle definition.                          |
   |                 |                                                 |
   | nfs_ftype4      | enum nfs_ftype4;                                |
   |                 |                                                 |
   |                 | Various defined file types.                     |
   |                 |                                                 |
   | nfsstat4        | enum nfsstat4;                                  |
   |                 |                                                 |
   |                 | Return value for operations.                    |
   |                 |                                                 |
   | nfs_lease4      | typedef uint32_t nfs_lease4;                    |
   |                 |                                                 |
   |                 | Duration of a lease in seconds.                 |
   |                 |                                                 |
   | offset4         | typedef uint64_t offset4;                       |
   |                 |                                                 |
   |                 | Various offset designations (READ, WRITE, LOCK, |
   |                 | COMMIT).                                        |
   |                 |                                                 |
   | qop4            | typedef uint32_t qop4;                          |
   |                 |                                                 |
   |                 | Quality of protection designation in SECINFO.   |
   |                 |                                                 |
   | sec_oid4        | typedef opaque sec_oid4<>;                      |
   |                 |                                                 |
   |                 | Security Object Identifier.  The sec_oid4 data  |
   |                 | type is not really opaque.  Instead, it         |
   |                 | contains an ASN.1 OBJECT IDENTIFIER as used by  |
   |                 | GSS-API in the mech_type argument to            |
   |                 | GSS_Init_sec_context.  See [RFC2743] for        |
   |                 | details.                                        |
   |                 |                                                 |
   | seqid4          | typedef uint32_t seqid4;                        |
   |                 |                                                 |
   |                 | Sequence identifier used for file locking.      |
   |                 |                                                 |

Haynes & Noveck              Standards Track                   [Page 19]

RFC 7530                          NFSv4                       March 2015

   | utf8string      | typedef opaque utf8string<>;                    |
   |                 |                                                 |
   |                 | UTF-8 encoding for strings.                     |
   |                 |                                                 |
   | utf8str_cis     | typedef utf8string utf8str_cis;                 |
   |                 |                                                 |
   |                 | Case-insensitive UTF-8 string.                  |
   |                 |                                                 |
   | utf8str_cs      | typedef utf8string utf8str_cs;                  |
   |                 |                                                 |
   |                 | Case-sensitive UTF-8 string.                    |
   |                 |                                                 |
   | utf8str_mixed   | typedef utf8string utf8str_mixed;               |
   |                 |                                                 |
   |                 | UTF-8 strings with a case-sensitive prefix and  |
   |                 | a case-insensitive suffix.                      |
   |                 |                                                 |
   | component4      | typedef utf8str_cs component4;                  |
   |                 |                                                 |
   |                 | Represents pathname components.                 |
   |                 |                                                 |
   | linktext4       | typedef opaque linktext4<>;                     |
   |                 |                                                 |
   |                 | Symbolic link contents ("symbolic link" is      |
   |                 | defined in an Open Group [openg_symlink]        |
   |                 | standard).                                      |
   |                 |                                                 |
   | ascii_REQUIRED4 | typedef utf8string ascii_REQUIRED4;             |
   |                 |                                                 |
   |                 | String is sent as ASCII and thus is             |
   |                 | automatically UTF-8.                            |
   |                 |                                                 |
   | pathname4       | typedef component4 pathname4<>;                 |
   |                 |                                                 |
   |                 | Represents pathname for fs_locations.           |
   |                 |                                                 |
   | nfs_lockid4     | typedef uint64_t nfs_lockid4;                   |
   |                 |                                                 |
   | verifier4       | typedef opaque verifier4[NFS4_VERIFIER_SIZE];   |
   |                 |                                                 |
   |                 | Verifier used for various operations (COMMIT,   |
   |                 | CREATE, OPEN, READDIR, WRITE)                   |
   |                 | NFS4_VERIFIER_SIZE is defined as 8.             |

                      Table 1: Base NFSv4 Data Types

Haynes & Noveck              Standards Track                   [Page 20]

RFC 7530                          NFSv4                       March 2015

2.2.  Structured Data Types

2.2.1.  nfstime4

   struct nfstime4 {
           int64_t         seconds;
           uint32_t        nseconds;

   The nfstime4 structure gives the number of seconds and nanoseconds
   since midnight or 0 hour January 1, 1970 Coordinated Universal Time
   (UTC).  Values greater than zero for the seconds field denote dates
   after the 0 hour January 1, 1970.  Values less than zero for the
   seconds field denote dates before the 0 hour January 1, 1970.  In
   both cases, the nseconds field is to be added to the seconds field
   for the final time representation.  For example, if the time to be
   represented is one-half second before 0 hour January 1, 1970, the
   seconds field would have a value of negative one (-1) and the
   nseconds fields would have a value of one-half second (500000000).
   Values greater than 999,999,999 for nseconds are considered invalid.

   This data type is used to pass time and date information.  A server
   converts to and from its local representation of time when processing
   time values, preserving as much accuracy as possible.  If the
   precision of timestamps stored for a file system object is less than
   defined, loss of precision can occur.  An adjunct time maintenance
   protocol is recommended to reduce client and server time skew.

2.2.2.  time_how4

   enum time_how4 {
           SET_TO_SERVER_TIME4 = 0,
           SET_TO_CLIENT_TIME4 = 1

2.2.3.  settime4

   union settime4 switch (time_how4 set_it) {
            nfstime4       time;

   The above definitions are used as the attribute definitions to set
   time values.  If set_it is SET_TO_SERVER_TIME4, then the server uses
   its local representation of time for the time value.

Haynes & Noveck              Standards Track                   [Page 21]

RFC 7530                          NFSv4                       March 2015

2.2.4.  specdata4

   struct specdata4 {
           uint32_t specdata1; /* major device number */
           uint32_t specdata2; /* minor device number */

   This data type represents additional information for the device file
   types NF4CHR and NF4BLK.

2.2.5.  fsid4

   struct fsid4 {
           uint64_t        major;
           uint64_t        minor;

   This type is the file system identifier that is used as a REQUIRED

2.2.6.  fs_location4

   struct fs_location4 {
           utf8str_cis             server<>;
           pathname4               rootpath;

2.2.7.  fs_locations4

   struct fs_locations4 {
           pathname4       fs_root;
           fs_location4    locations<>;

   The fs_location4 and fs_locations4 data types are used for the
   fs_locations RECOMMENDED attribute, which is used for migration and
   replication support.

2.2.8.  fattr4

   struct fattr4 {
           bitmap4         attrmask;
           attrlist4       attr_vals;

   The fattr4 structure is used to represent file and directory

Haynes & Noveck              Standards Track                   [Page 22]

RFC 7530                          NFSv4                       March 2015

   The bitmap is a counted array of 32-bit integers used to contain bit
   values.  The position of the integer in the array that contains bit n
   can be computed from the expression (n / 32), and its bit within that
   integer is (n mod 32).

                       0            1
     |  count    | 31  ..  0 | 63  .. 32 |

2.2.9.  change_info4

   struct change_info4 {
           bool            atomic;
           changeid4       before;
           changeid4       after;

   This structure is used with the CREATE, LINK, REMOVE, and RENAME
   operations to let the client know the value of the change attribute
   for the directory in which the target file system object resides.

2.2.10.  clientaddr4

   struct clientaddr4 {
           /* see struct rpcb in RFC 1833 */
           string r_netid<>;    /* network id */
           string r_addr<>;     /* universal address */

   The clientaddr4 structure is used as part of the SETCLIENTID
   operation, either (1) to specify the address of the client that is
   using a client ID or (2) as part of the callback registration.  The
   r_netid and r_addr fields respectively contain a network id and
   universal address.  The network id and universal address concepts,
   together with formats for TCP over IPv4 and TCP over IPv6, are
   defined in [RFC5665], specifically Tables 2 and 3 and
   Sections and

2.2.11.  cb_client4

   struct cb_client4 {
           unsigned int    cb_program;
           clientaddr4     cb_location;

   This structure is used by the client to inform the server of its
   callback address; it includes the program number and client address.

Haynes & Noveck              Standards Track                   [Page 23]

RFC 7530                          NFSv4                       March 2015

2.2.12.  nfs_client_id4

   struct nfs_client_id4 {
           verifier4       verifier;
           opaque          id<NFS4_OPAQUE_LIMIT>;

   This structure is part of the arguments to the SETCLIENTID operation.

2.2.13.  open_owner4

   struct open_owner4 {
           clientid4       clientid;
           opaque          owner<NFS4_OPAQUE_LIMIT>;

   This structure is used to identify the owner of open state.

2.2.14.  lock_owner4

   struct lock_owner4 {
           clientid4       clientid;
           opaque          owner<NFS4_OPAQUE_LIMIT>;

   This structure is used to identify the owner of file locking state.

2.2.15.  open_to_lock_owner4

   struct open_to_lock_owner4 {
           seqid4          open_seqid;
           stateid4        open_stateid;
           seqid4          lock_seqid;
           lock_owner4     lock_owner;

   This structure is used for the first LOCK operation done for an
   open_owner4.  It provides both the open_stateid and lock_owner such
   that the transition is made from a valid open_stateid sequence to
   that of the new lock_stateid sequence.  Using this mechanism avoids
   the confirmation of the lock_owner/lock_seqid pair since it is tied
   to established state in the form of the open_stateid/open_seqid.

Haynes & Noveck              Standards Track                   [Page 24]

RFC 7530                          NFSv4                       March 2015

2.2.16.  stateid4

   struct stateid4 {
           uint32_t        seqid;
           opaque          other[NFS4_OTHER_SIZE];

   This structure is used for the various state-sharing mechanisms
   between the client and server.  For the client, this data structure
   is read-only.  The server is required to increment the seqid field
   monotonically at each transition of the stateid.  This is important
   since the client will inspect the seqid in OPEN stateids to determine
   the order of OPEN processing done by the server.

3.  RPC and Security Flavor

   The NFSv4 protocol is an RPC application that uses RPC version 2 and
   the XDR as defined in [RFC5531] and [RFC4506].  The RPCSEC_GSS
   security flavors as defined in version 1 ([RFC2203]) and version 2
   ([RFC5403]) MUST be implemented as the mechanism to deliver stronger
   security for the NFSv4 protocol.  However, deployment of RPCSEC_GSS
   is optional.

3.1.  Ports and Transports

   Historically, NFSv2 and NFSv3 servers have resided on port 2049.  The
   registered port 2049 [RFC3232] for the NFS protocol SHOULD be the
   default configuration.  Using the registered port for NFS services
   means the NFS client will not need to use the RPC binding protocols
   as described in [RFC1833]; this will allow NFS to transit firewalls.

   Where an NFSv4 implementation supports operation over the IP network
   protocol, the supported transport layer between NFS and IP MUST be an
   IETF standardized transport protocol that is specified to avoid
   network congestion; such transports include TCP and the Stream
   Control Transmission Protocol (SCTP).  To enhance the possibilities
   for interoperability, an NFSv4 implementation MUST support operation
   over the TCP transport protocol.

   If TCP is used as the transport, the client and server SHOULD use
   persistent connections.  This will prevent the weakening of TCP's
   congestion control via short-lived connections and will improve
   performance for the Wide Area Network (WAN) environment by
   eliminating the need for SYN handshakes.

   As noted in Section 19, the authentication model for NFSv4 has moved
   from machine-based to principal-based.  However, this modification of
   the authentication model does not imply a technical requirement to

Haynes & Noveck              Standards Track                   [Page 25]

RFC 7530                          NFSv4                       March 2015

   move the TCP connection management model from whole machine-based to
   one based on a per-user model.  In particular, NFS over TCP client
   implementations have traditionally multiplexed traffic for multiple
   users over a common TCP connection between an NFS client and server.
   This has been true, regardless of whether the NFS client is using
   AUTH_SYS, AUTH_DH, RPCSEC_GSS, or any other flavor.  Similarly, NFS
   over TCP server implementations have assumed such a model and thus
   scale the implementation of TCP connection management in proportion
   to the number of expected client machines.  It is intended that NFSv4
   will not modify this connection management model.  NFSv4 clients that
   violate this assumption can expect scaling issues on the server and
   hence reduced service.

3.1.1.  Client Retransmission Behavior

   When processing an NFSv4 request received over a reliable transport
   such as TCP, the NFSv4 server MUST NOT silently drop the request,
   except if the established transport connection has been broken.
   Given such a contract between NFSv4 clients and servers, clients MUST
retry a request unless one or both of the following are true:

   o  The transport connection has been broken

   o  The procedure being retried is the NULL procedure

   Since reliable transports, such as TCP, do not always synchronously
   inform a peer when the other peer has broken the connection (for
   example, when an NFS server reboots), the NFSv4 client may want to
   actively "probe" the connection to see if has been broken.  Use of
   the NULL procedure is one recommended way to do so.  So, when a
   client experiences a remote procedure call timeout (of some arbitrary
   implementation-specific amount), rather than retrying the remote
   procedure call, it could instead issue a NULL procedure call to the
   server.  If the server has died, the transport connection break will
   eventually be indicated to the NFSv4 client.  The client can then
   reconnect, and then retry the original request.  If the NULL
   procedure call gets a response, the connection has not broken.  The
   client can decide to wait longer for the original request's response,
   or it can break the transport connection and reconnect before
   re-sending the original request.

   For callbacks from the server to the client, the same rules apply,
   but the server doing the callback becomes the client, and the client
   receiving the callback becomes the server.

Haynes & Noveck              Standards Track                   [Page 26]

RFC 7530                          NFSv4                       March 2015

3.2.  Security Flavors

   Traditional RPC implementations have included AUTH_NONE, AUTH_SYS,
   AUTH_DH, and AUTH_KRB4 as security flavors.  With [RFC2203], an
   additional security flavor of RPCSEC_GSS has been introduced, which
   uses the functionality of GSS-API [RFC2743].  This allows for the use
   of various security mechanisms by the RPC layer without the
   additional implementation overhead of adding RPC security flavors.
   For NFSv4, the RPCSEC_GSS security flavor MUST be used to enable the
   mandatory-to-implement security mechanism.  Other flavors, such as
   AUTH_NONE, AUTH_SYS, and AUTH_DH, MAY be implemented as well.

3.2.1.  Security Mechanisms for NFSv4

   RPCSEC_GSS, via GSS-API, supports multiple mechanisms that provide
   security services.  For interoperability, NFSv4 clients and servers
   MUST support the Kerberos V5 security mechanism.

   The use of RPCSEC_GSS requires selection of mechanism, quality of
   protection (QOP), and service (authentication, integrity, privacy).
   For the mandated security mechanisms, NFSv4 specifies that a QOP of
   zero is used, leaving it up to the mechanism or the mechanism's
   configuration to map QOP zero to an appropriate level of protection.
   Each mandated mechanism specifies a minimum set of cryptographic
   algorithms for implementing integrity and privacy.  NFSv4 clients and
   servers MUST be implemented on operating environments that comply
   with the required cryptographic algorithms of each required
   mechanism.  Kerberos V5 as a Security Triple

   The Kerberos V5 GSS-API mechanism as described in [RFC4121] MUST be
   implemented with the RPCSEC_GSS services as specified in Table 2.
   Both client and server MUST support each of the pseudo-flavors.

     | Number | Name  | Mechanism's OID      | RPCSEC_GSS service    |
     | 390003 | krb5  | 1.2.840.113554.1.2.2 | rpc_gss_svc_none      |
     | 390004 | krb5i | 1.2.840.113554.1.2.2 | rpc_gss_svc_integrity |
     | 390005 | krb5p | 1.2.840.113554.1.2.2 | rpc_gss_svc_privacy   |

                 Table 2: Mapping Pseudo-Flavor to Service

   Note that the pseudo-flavor is presented here as a mapping aid to the
   implementer.  Because this NFS protocol includes a method to
   negotiate security and it understands the GSS-API mechanism, the

Haynes & Noveck              Standards Track                   [Page 27]

RFC 7530                          NFSv4                       March 2015

   pseudo-flavor is not needed.  The pseudo-flavor is needed for NFSv3
   since the security negotiation is done via the MOUNT protocol as
   described in [RFC2623].

   At the time this document was specified, the Advanced Encryption
   Standard (AES) with HMAC-SHA1 was a required algorithm set for
   Kerberos V5.  In contrast, when NFSv4.0 was first specified in
   [RFC3530], weaker algorithm sets were REQUIRED for Kerberos V5, and
   were REQUIRED in the NFSv4.0 specification, because the Kerberos V5
   specification at the time did not specify stronger algorithms.  The
   NFSv4 specification does not specify required algorithms for Kerberos
   V5, and instead, the implementer is expected to track the evolution
   of the Kerberos V5 standard if and when stronger algorithms are
   specified.  Security Considerations for Cryptographic Algorithms in
            Kerberos V5

   When deploying NFSv4, the strength of the security achieved depends
   on the existing Kerberos V5 infrastructure.  The algorithms of
   Kerberos V5 are not directly exposed to or selectable by the client
   or server, so there is some due diligence required by the user of
   NFSv4 to ensure that security is acceptable where needed.  Guidance
   is provided in [RFC6649] as to why weak algorithms should be disabled
   by default.

3.3.  Security Negotiation

   With the NFSv4 server potentially offering multiple security
   mechanisms, the client needs a method to determine or negotiate which
   mechanism is to be used for its communication with the server.  The
   NFS server can have multiple points within its file system namespace
   that are available for use by NFS clients.  In turn, the NFS server
   can be configured such that each of these entry points can have
   different or multiple security mechanisms in use.

   The security negotiation between client and server SHOULD be done
   with a secure channel to eliminate the possibility of a third party
   intercepting the negotiation sequence and forcing the client and
   server to choose a lower level of security than required or desired.
   See Section 19 for further discussion.

Haynes & Noveck              Standards Track                   [Page 28]

RFC 7530                          NFSv4                       March 2015

3.3.1.  SECINFO

   The SECINFO operation will allow the client to determine, on a
   per-filehandle basis, what security triple (see [RFC2743] and
   Section 16.31.4) is to be used for server access.  In general, the
   client will not have to use the SECINFO operation, except during
   initial communication with the server or when the client encounters a
   new security policy as the client navigates the namespace.  Either
   condition will force the client to negotiate a new security triple.

3.3.2.  Security Error

   Based on the assumption that each NFSv4 client and server MUST
   support a minimum set of security (i.e., Kerberos V5 under
   RPCSEC_GSS), the NFS client will start its communication with the
   server with one of the minimal security triples.  During
   communication with the server, the client can receive an NFS error of
   NFS4ERR_WRONGSEC.  This error allows the server to notify the client
   that the security triple currently being used is not appropriate for
   access to the server's file system resources.  The client is then
   responsible for determining what security triples are available at
   the server and choosing one that is appropriate for the client.  See
   Section 16.31 for further discussion of how the client will respond
   to the NFS4ERR_WRONGSEC error and use SECINFO.

3.3.3.  Callback RPC Authentication

   Except as noted elsewhere in this section, the callback RPC
   (described later) MUST mutually authenticate the NFS server to the
   principal that acquired the client ID (also described later), using
   the security flavor of the original SETCLIENTID operation used.

   For AUTH_NONE, there are no principals, so this is a non-issue.

   AUTH_SYS has no notions of mutual authentication or a server
   principal, so the callback from the server simply uses the AUTH_SYS
   credential that the user used when he set up the delegation.

   For AUTH_DH, one commonly used convention is that the server uses the
   credential corresponding to this AUTH_DH principal:


   where host and domain are variables corresponding to the name of the
   server host and directory services domain in which it lives, such as
   a Network Information System domain or a DNS domain.

Haynes & Noveck              Standards Track                   [Page 29]

RFC 7530                          NFSv4                       March 2015

   Regardless of what security mechanism under RPCSEC_GSS is being used,
   the NFS server MUST identify itself in GSS-API via a
   names are of the form:


   For NFS, the "service" element is:


   Implementations of security mechanisms will convert nfs@hostname to
   various different forms.  For Kerberos V5, the following form is


   For Kerberos V5, nfs/hostname would be a server principal in the
   Kerberos Key Distribution Center database.  This is the same
   principal the client acquired a GSS-API context for when it issued
   the SETCLIENTID operation; therefore, the realm name for the server
   principal must be the same for the callback as it was for the

4.  Filehandles

   The filehandle in the NFS protocol is a per-server unique identifier
   for a file system object.  The contents of the filehandle are opaque
   to the client.  Therefore, the server is responsible for translating
   the filehandle to an internal representation of the file system

4.1.  Obtaining the First Filehandle

   The operations of the NFS protocol are defined in terms of one or
   more filehandles.  Therefore, the client needs a filehandle to
   initiate communication with the server.  With the NFSv2 protocol
   [RFC1094] and the NFSv3 protocol [RFC1813], there exists an ancillary
   protocol to obtain this first filehandle.  The MOUNT protocol, RPC
   program number 100005, provides the mechanism of translating a
   string-based file system pathname to a filehandle that can then be
   used by the NFS protocols.

   The MOUNT protocol has deficiencies in the area of security and use
   via firewalls.  This is one reason that the use of the public
   filehandle was introduced in [RFC2054] and [RFC2055].  With the use
   of the public filehandle in combination with the LOOKUP operation in

Haynes & Noveck              Standards Track                   [Page 30]

RFC 7530                          NFSv4                       March 2015

   the NFSv2 and NFSv3 protocols, it has been demonstrated that the
   MOUNT protocol is unnecessary for viable interaction between the NFS
   client and server.

   Therefore, the NFSv4 protocol will not use an ancillary protocol for
   translation from string-based pathnames to a filehandle.  Two special
   filehandles will be used as starting points for the NFS client.

4.1.1.  Root Filehandle

   The first of the special filehandles is the root filehandle.  The
   root filehandle is the "conceptual" root of the file system namespace
   at the NFS server.  The client uses or starts with the root
   filehandle by employing the PUTROOTFH operation.  The PUTROOTFH
   operation instructs the server to set the current filehandle to the
   root of the server's file tree.  Once this PUTROOTFH operation is
   used, the client can then traverse the entirety of the server's file
   tree with the LOOKUP operation.  A complete discussion of the server
   namespace is in Section 7.

4.1.2.  Public Filehandle

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

4.2.  Filehandle Types

   In the NFSv2 and NFSv3 protocols, there was one type of filehandle
   with a single set of semantics, of which the primary one was that it
   was persistent across a server reboot.  As such, this type of
   filehandle is termed "persistent" in NFSv4.  The semantics of a
   persistent filehandle remain the same as before.  A new type of
   filehandle introduced in NFSv4 is the volatile filehandle, which
   attempts to accommodate certain server environments.

   The volatile filehandle type was introduced to address server
   functionality or implementation issues that make correct
   implementation of a persistent filehandle infeasible.  Some server
   environments do not provide a file system level invariant that can be
   used to construct a persistent filehandle.  The underlying server

Haynes & Noveck              Standards Track                   [Page 31]

RFC 7530                          NFSv4                       March 2015

   file system may not provide the invariant, or the server's file
   system programming interfaces may not provide access to the needed
   invariant.  Volatile filehandles may ease the implementation of
   server functionality, such as hierarchical storage management or file
   system reorganization or migration.  However, the volatile filehandle
   increases the implementation burden for the client.

   Since the client will need to handle persistent and volatile
   filehandles differently, a file attribute is defined that may be used
   by the client to determine the filehandle types being returned by the

4.2.1.  General Properties of a Filehandle

   The filehandle contains all the information the server needs to
   distinguish an individual file.  To the client, the filehandle is
   opaque.  The client stores filehandles for use in a later request and
   can compare two filehandles from the same server for equality by
   doing a byte-by-byte comparison.  However, the client MUST NOT
   otherwise interpret the contents of filehandles.  If two filehandles
   from the same server are equal, they MUST refer to the same file.
   However, it is not required that two different filehandles refer to
   different file system objects.  Servers SHOULD try to maintain a
   one-to-one correspondence between filehandles and file system objects
   but there may be situations in which the mapping is not one-to-one.
   Clients MUST use filehandle comparisons only to improve performance,
   not for correct behavior.  All clients need to be prepared for
   situations in which it cannot be determined whether two different
   filehandles denote the same object and in such cases need to avoid
   assuming that objects denoted are different, as this might cause
   incorrect behavior.  Further discussion of filehandle and attribute
   comparison in the context of data caching is presented in
   Section 10.3.4.

   As an example, in the case that two different pathnames when
   traversed at the server terminate at the same file system object, the
   server SHOULD return the same filehandle for each path.  This can
   occur if a hard link is used to create two filenames that refer to
   the same underlying file object and associated data.  For example, if
   paths /a/b/c and /a/d/c refer to the same file, the server SHOULD
   return the same filehandle for both pathname traversals.

4.2.2.  Persistent Filehandle

   A persistent filehandle is defined as having a fixed value for the
   lifetime of the file system object to which it refers.  Once the
   server creates the filehandle for a file system object, the server
   MUST accept the same filehandle for the object for the lifetime of

Haynes & Noveck              Standards Track                   [Page 32]

RFC 7530                          NFSv4                       March 2015

   the object.  If the server restarts or reboots, the NFS server must
   honor the same filehandle value as it did in the server's previous
   instantiation.  Similarly, if the file system is migrated, the new
   NFS server must honor the same filehandle as the old NFS server.

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

4.2.3.  Volatile Filehandle

   A volatile filehandle does not share the same longevity
   characteristics of a persistent filehandle.  The server may determine
   that a volatile filehandle is no longer valid at many different
   points in time.  If the server can definitively determine that a
   volatile filehandle refers to an object that has been removed, the
   server should return NFS4ERR_STALE to the client (as is the case for
   persistent filehandles).  In all other cases where the server
   determines that a volatile filehandle can no longer be used, it
   should return an error of NFS4ERR_FHEXPIRED.

   The REQUIRED attribute "fh_expire_type" is used by the client to
   determine what type of filehandle the server is providing for a
   particular file system.  This attribute is a bitmask with the
   following values:

   FH4_PERSISTENT:  The value of FH4_PERSISTENT is used to indicate a
      persistent filehandle, which is valid until the object is removed
      from the file system.  The server will not return
      NFS4ERR_FHEXPIRED for this filehandle.  FH4_PERSISTENT is defined
      as a value in which none of the bits specified below are set.

   FH4_VOLATILE_ANY:  The filehandle may expire at any time, except as
      specifically excluded (i.e., FH4_NOEXPIRE_WITH_OPEN).

   FH4_NOEXPIRE_WITH_OPEN:  May only be set when FH4_VOLATILE_ANY is
      set.  If this bit is set, then the meaning of FH4_VOLATILE_ANY
      is qualified to exclude any expiration of the filehandle when it
      is open.

Haynes & Noveck              Standards Track                   [Page 33]

RFC 7530                          NFSv4                       March 2015

   FH4_VOL_MIGRATION:  The filehandle will expire as a result of
      migration.  If FH4_VOLATILE_ANY is set, FH4_VOL_MIGRATION is

   FH4_VOL_RENAME:  The filehandle will expire during rename.  This
      includes a rename by the requesting client or a rename by any
      other client.  If FH4_VOLATILE_ANY is set, FH4_VOL_RENAME is

   Servers that provide volatile filehandles that may expire while open
   (i.e., if FH4_VOL_MIGRATION or FH4_VOL_RENAME is set or if
   FH4_VOLATILE_ANY is set and FH4_NOEXPIRE_WITH_OPEN is not set) should
   deny a RENAME or REMOVE that would affect an OPEN file of any of the
   components leading to the OPEN file.  In addition, the server SHOULD
   deny all RENAME or REMOVE requests during the grace period upon
   server restart.

   Note that the bits FH4_VOL_MIGRATION and FH4_VOL_RENAME allow the
   client to determine that expiration has occurred whenever a specific
   event occurs, without an explicit filehandle expiration error from
   the server.  FH4_VOLATILE_ANY does not provide this form of
   information.  In situations where the server will expire many, but
   not all, filehandles upon migration (e.g., all but those that are
   open), FH4_VOLATILE_ANY (in this case, with FH4_NOEXPIRE_WITH_OPEN)
   is a better choice since the client may not assume that all
   filehandles will expire when migration occurs, and it is likely that
   additional expirations will occur (as a result of file CLOSE) that
   are separated in time from the migration event itself.

4.2.4.  One Method of Constructing a Volatile Filehandle

   A volatile filehandle, while opaque to the client, could contain:

     [volatile bit = 1 | server boot time | slot | generation number]

   o  slot is an index in the server volatile filehandle table

   o  generation number is the generation number for the table

   When the client presents a volatile filehandle, the server makes the
   following checks, which assume that the check for the volatile bit
   has passed.  If the server boot time is less than the current server
   boot time, return NFS4ERR_FHEXPIRED.  If slot is out of range, return
   NFS4ERR_BADHANDLE.  If the generation number does not match, return

   When the server reboots, the table is gone (it is volatile).

Haynes & Noveck              Standards Track                   [Page 34]

RFC 7530                          NFSv4                       March 2015

   If the volatile bit is 0, then it is a persistent filehandle with a
   different structure following it.

4.3.  Client Recovery from Filehandle Expiration

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

   For volatile filehandles, most commonly the client will need to store
   the component names leading up to and including the file system
   object in question.  With these names, the client should be able to
   recover by finding a filehandle in the namespace that is still
   available or by starting at the root of the server's file system

   If the expired filehandle refers to an object that has been removed
   from the file system, obviously the client will not be able to
   recover from the expired filehandle.

   It is also possible that the expired filehandle refers to a file that
   has been renamed.  If the file was renamed by another client, again
   it is possible that the original client will not be able to recover.
   However, in the case that the client itself is renaming the file and
   the file is open, it is possible that the client may be able to
   recover.  The client can determine the new pathname based on the
   processing of the rename request.  The client can then regenerate the
   new filehandle based on the new pathname.  The client could also use
   the COMPOUND operation mechanism to construct a set of operations


   Note that the COMPOUND procedure does not provide atomicity.  This
   example only reduces the overhead of recovering from an expired

5.  Attributes

   To meet the requirements of extensibility and increased
   interoperability with non-UNIX platforms, attributes need to be
   handled in a flexible manner.  The NFSv3 fattr3 structure contains a
   fixed list of attributes that not all clients and servers are able to

Haynes & Noveck              Standards Track                   [Page 35]

RFC 7530                          NFSv4                       March 2015

   support or care about.  The fattr3 structure cannot be extended as
   new needs arise, and it provides no way to indicate non-support.
   With the NFSv4.0 protocol, the client is able to query what
   attributes the server supports and construct requests with only those
   supported attributes (or a subset thereof).

   To this end, attributes are divided into three groups: REQUIRED,
   RECOMMENDED, and named.  Both REQUIRED and RECOMMENDED attributes are
   supported in the NFSv4.0 protocol by a specific and well-defined
   encoding and are identified by number.  They are requested by setting
   a bit in the bit vector sent in the GETATTR request; the server
   response includes a bit vector to list what attributes were returned
   in the response.  New REQUIRED or RECOMMENDED attributes may be added
   to the NFSv4 protocol as part of a new minor version by publishing a
   Standards Track RFC that allocates a new attribute number value and
   defines the encoding for the attribute.  See Section 11 for further

   Named attributes are accessed by the OPENATTR operation, which
   accesses a hidden directory of attributes associated with a file
   system object.  OPENATTR takes a filehandle for the object and
   returns the filehandle for the attribute hierarchy.  The filehandle
   for the named attributes is a directory object accessible by LOOKUP
   or READDIR and contains files whose names represent the named
   attributes and whose data bytes are the value of the attribute.  For

        | LOOKUP   | "foo"     | ; look up file                  |
        | GETATTR  | attrbits  |                                 |
        | OPENATTR |           | ; access foo's named attributes |
        | LOOKUP   | "x11icon" | ; look up specific attribute    |
        | READ     | 0,4096    | ; read stream of bytes          |

   Named attributes are intended for data needed by applications rather
   than by an NFS client implementation.  NFS implementers are strongly
   encouraged to define their new attributes as RECOMMENDED attributes
   by bringing them to the IETF Standards Track process.

   The set of attributes that are classified as REQUIRED is deliberately
   small since servers need to do whatever it takes to support them.  A
   server should support as many of the RECOMMENDED attributes as
   possible; however, by their definition, the server is not required to
   support all of them.  Attributes are deemed REQUIRED if the data is
   both needed by a large number of clients and is not otherwise
   reasonably computable by the client when support is not provided on
   the server.

Haynes & Noveck              Standards Track                   [Page 36]

RFC 7530                          NFSv4                       March 2015

   Note that the hidden directory returned by OPENATTR is a convenience
   for protocol processing.  The client should not make any assumptions
   about the server's implementation of named attributes and whether or
   not the underlying file system at the server has a named attribute
   directory.  Therefore, operations such as SETATTR and GETATTR on the
   named attribute directory are undefined.

5.1.  REQUIRED Attributes

   These attributes MUST be supported by every NFSv4.0 client and server
   in order to ensure a minimum level of interoperability.  The server
   MUST store and return these attributes, and the client MUST be able
   to function with an attribute set limited to these attributes.  With
   just the REQUIRED attributes, some client functionality can be
   impaired or limited in some ways.  A client can ask for any of these
   attributes to be returned by setting a bit in the GETATTR request.
   For each such bit set, the server MUST return the corresponding
   attribute value.

5.2.  RECOMMENDED Attributes

   These attributes are understood well enough to warrant support in the
   NFSv4.0 protocol.  However, they may not be supported on all clients
   and servers.  A client MAY ask for any of these attributes to be
   returned by setting a bit in the GETATTR request but MUST handle the
   case where the server does not return them.  A client MAY ask for the
   set of attributes the server supports and SHOULD NOT request
   attributes the server does not support.  A server should be tolerant
   of requests for unsupported attributes and simply not return them,
   rather than considering the request an error.  It is expected that
   servers will support all attributes they comfortably can and only
   fail to support attributes that are difficult to support in their
   operating environments.  A server should provide attributes whenever
   they don't have to "tell lies" to the client.  For example, a file
   modification time either should be an accurate time or should not be
   supported by the server.  At times this will be difficult for
   clients, but a client is better positioned to decide whether and how
   to fabricate or construct an attribute or whether to do without the

5.3.  Named Attributes

   These attributes are not supported by direct encoding in the NFSv4
   protocol but are accessed by string names rather than numbers and
   correspond to an uninterpreted stream of bytes that are stored with
   the file system object.  The namespace for these attributes may be
   accessed by using the OPENATTR operation.  The OPENATTR operation
   returns a filehandle for a virtual "named attribute directory", and

Haynes & Noveck              Standards Track                   [Page 37]

RFC 7530                          NFSv4                       March 2015

   further perusal and modification of the namespace may be done using
   operations that work on more typical directories.  In particular,
   READDIR may be used to get a list of such named attributes, and
   LOOKUP and OPEN may select a particular attribute.  Creation of a new
   named attribute may be the result of an OPEN specifying file

   Once an OPEN is done, named attributes may be examined and changed by
   normal READ and WRITE operations using the filehandles and stateids
   returned by OPEN.

   Named attributes and the named attribute directory may have their own
   (non-named) attributes.  Each of these objects must have all of the
   REQUIRED attributes and may have additional RECOMMENDED attributes.
   However, the set of attributes for named attributes and the named
   attribute directory need not be, and typically will not be, as large
   as that for other objects in that file system.

   Named attributes might be the target of delegations.  However, since
   granting of delegations is at the server's discretion, a server need
   not support delegations on named attributes.

   It is RECOMMENDED that servers support arbitrary named attributes.
   A client should not depend on the ability to store any named
   attributes in the server's file system.  If a server does support
   named attributes, a client that is also able to handle them should be
   able to copy a file's data and metadata with complete transparency
   from one location to another; this would imply that names allowed for
   regular directory entries are valid for named attribute names
   as well.

   In NFSv4.0, the structure of named attribute directories is
   restricted in a number of ways, in order to prevent the development
   of non-interoperable implementations in which some servers support a
   fully general hierarchical directory structure for named attributes
   while others support a limited but adequate structure for named
   attributes.  In such an environment, clients or applications might
   come to depend on non-portable extensions.  The restrictions are:

   o  CREATE is not allowed in a named attribute directory.  Thus, such
      objects as symbolic links and special files are not allowed to be
      named attributes.  Further, directories may not be created in a
      named attribute directory, so no hierarchical structure of named
      attributes for a single object is allowed.

   o  If OPENATTR is done on a named attribute directory or on a named
      attribute, the server MUST return an error.

Haynes & Noveck              Standards Track                   [Page 38]

RFC 7530                          NFSv4                       March 2015

   o  Doing a RENAME of a named attribute to a different named attribute
      directory or to an ordinary (i.e., non-named-attribute) directory
      is not allowed.

   o  Creating hard links between named attribute directories or between
      named attribute directories and ordinary directories is not

   Names of attributes will not be controlled by this document or other
   IETF Standards Track documents.  See Section 20 for further

5.4.  Classification of Attributes

   Each of the attributes accessed using SETATTR and GETATTR (i.e.,
   REQUIRED and RECOMMENDED attributes) can be classified in one of
   three categories:

   1.  per-server attributes for which the value of the attribute will
       be the same for all file objects that share the same server.

   2.  per-file system attributes for which the value of the attribute
       will be the same for some or all file objects that share the same
       server and fsid attribute (Section  See below for
       details regarding when such sharing is in effect.

   3.  per-file system object attributes.

   The handling of per-file system attributes depends on the particular
   attribute and the setting of the homogeneous (Section
   attribute.  The following rules apply:

   1.  The values of the attributes supported_attrs, fsid, homogeneous,
       link_support, and symlink_support are always common to all
       objects within the given file system.

   2.  For other attributes, different values may be returned for
       different file system objects if the attribute homogeneous is
       supported within the file system in question and has the value

   The classification of attributes is as follows.  Note that the
   attributes time_access_set and time_modify_set are not listed in this
   section, because they are write-only attributes corresponding to
   time_access and time_modify and are used in a special instance of

Haynes & Noveck              Standards Track                   [Page 39]

RFC 7530                          NFSv4                       March 2015

   o  The per-server attribute is:


   o  The per-file system attributes are:

         supported_attrs, fh_expire_type, link_support, symlink_support,
         unique_handles, aclsupport, cansettime, case_insensitive,
         case_preserving, chown_restricted, files_avail, files_free,
         files_total, fs_locations, homogeneous, maxfilesize, maxname,
         maxread, maxwrite, no_trunc, space_avail, space_free,
         space_total, and time_delta

   o  The per-file system object attributes are:

         type, change, size, named_attr, fsid, rdattr_error, filehandle,
         acl, archive, fileid, hidden, maxlink, mimetype, mode,
         numlinks, owner, owner_group, rawdev, space_used, system,
         time_access, time_backup, time_create, time_metadata,
         time_modify, and mounted_on_fileid

   For quota_avail_hard, quota_avail_soft, and quota_used, see their
   definitions below for the appropriate classification.

5.5.  Set-Only and Get-Only Attributes

   Some REQUIRED and RECOMMENDED attributes are set-only; i.e., they can
   be set via SETATTR but not retrieved via GETATTR.  Similarly, some
   REQUIRED and RECOMMENDED attributes are get-only; i.e., they can be
   retrieved via GETATTR but not set via SETATTR.  If a client attempts
   to set a get-only attribute or get a set-only attribute, the server

5.6.  REQUIRED Attributes - List and Definition References

   The list of REQUIRED attributes appears in Table 3.  The meanings of
   the columns of the table are:

   o  Name: The name of the attribute.

   o  ID: The number assigned to the attribute.  In the event of
      conflicts between the assigned number and [RFC7531], the latter is
      authoritative, but in such an event, it should be resolved with
      errata to this document and/or [RFC7531].  See [IESG_ERRATA] for
      the errata process.

   o  Data Type: The XDR data type of the attribute.

Haynes & Noveck              Standards Track                   [Page 40]

RFC 7530                          NFSv4                       March 2015

   o  Acc: Access allowed to the attribute.  R means read-only (GETATTR
      may retrieve, SETATTR may not set).  W means write-only (SETATTR
      may set, GETATTR may not retrieve).  R W means read/write (GETATTR
      may retrieve, SETATTR may set).

   o  Defined in: The section of this specification that describes the

      | Name            | ID | Data Type  | Acc | Defined in        |
      | supported_attrs | 0  | bitmap4    | R   | Section   |
      | type            | 1  | nfs_ftype4 | R   | Section   |
      | fh_expire_type  | 2  | uint32_t   | R   | Section   |
      | change          | 3  | changeid4  | R   | Section   |
      | size            | 4  | uint64_t   | R W | Section   |
      | link_support    | 5  | bool       | R   | Section   |
      | symlink_support | 6  | bool       | R   | Section   |
      | named_attr      | 7  | bool       | R   | Section   |
      | fsid            | 8  | fsid4      | R   | Section   |
      | unique_handles  | 9  | bool       | R   | Section  |
      | lease_time      | 10 | nfs_lease4 | R   | Section  |
      | rdattr_error    | 11 | nfsstat4   | R   | Section  |
      | filehandle      | 19 | nfs_fh4    | R   | Section  |

                       Table 3: REQUIRED Attributes

5.7.  RECOMMENDED Attributes - List and Definition References

   The RECOMMENDED attributes are defined in Table 4.  The meanings of
   the column headers are the same as Table 3; see Section 5.6 for the

   | Name              | ID | Data Type       | Acc | Defined in       |
   | acl               | 12 | nfsace4<>       | R W | Section 6.2.1    |
   | aclsupport        | 13 | uint32_t        | R   | Section  |
   | archive           | 14 | bool            | R W | Section  |
   | cansettime        | 15 | bool            | R   | Section  |
   | case_insensitive  | 16 | bool            | R   | Section  |
   | case_preserving   | 17 | bool            | R   | Section  |
   | chown_restricted  | 18 | bool            | R   | Section  |
   | fileid            | 20 | uint64_t        | R   | Section  |
   | files_avail       | 21 | uint64_t        | R   | Section  |
   | files_free        | 22 | uint64_t        | R   | Section  |
   | files_total       | 23 | uint64_t        | R   | Section  |

Haynes & Noveck              Standards Track                   [Page 41]

RFC 7530                          NFSv4                       March 2015

   | fs_locations      | 24 | fs_locations4   | R   | Section |
   | hidden            | 25 | bool            | R W | Section |
   | homogeneous       | 26 | bool            | R   | Section |
   | maxfilesize       | 27 | uint64_t        | R   | Section |
   | maxlink           | 28 | uint32_t        | R   | Section |
   | maxname           | 29 | uint32_t        | R   | Section |
   | maxread           | 30 | uint64_t        | R   | Section |
   | maxwrite          | 31 | uint64_t        | R   | Section |
   | mimetype          | 32 | ascii_          | R W | Section |
   |                   |    |   REQUIRED4<>   |     |                  |
   | mode              | 33 | mode4           | R W | Section 6.2.2    |
   | mounted_on_fileid | 55 | uint64_t        | R   | Section |
   | no_trunc          | 34 | bool            | R   | Section |
   | numlinks          | 35 | uint32_t        | R   | Section |
   | owner             | 36 | utf8str_mixed   | R W | Section |
   | owner_group       | 37 | utf8str_mixed   | R W | Section |
   | quota_avail_hard  | 38 | uint64_t        | R   | Section |
   | quota_avail_soft  | 39 | uint64_t        | R   | Section |
   | quota_used        | 40 | uint64_t        | R   | Section |
   | rawdev            | 41 | specdata4       | R   | Section |
   | space_avail       | 42 | uint64_t        | R   | Section |
   | space_free        | 43 | uint64_t        | R   | Section |
   | space_total       | 44 | uint64_t        | R   | Section |
   | space_used        | 45 | uint64_t        | R   | Section |
   | system            | 46 | bool            | R W | Section |
   | time_access       | 47 | nfstime4        | R   | Section |
   | time_access_set   | 48 | settime4        | W   | Section |
   | time_backup       | 49 | nfstime4        | R W | Section |
   | time_create       | 50 | nfstime4        | R W | Section |
   | time_delta        | 51 | nfstime4        | R   | Section |
   | time_metadata     | 52 | nfstime4        | R   | Section |
   | time_modify       | 53 | nfstime4        | R   | Section |
   | time_modify_set   | 54 | settime4        | W   | Section |

                      Table 4: RECOMMENDED Attributes

5.8.  Attribute Definitions

5.8.1.  Definitions of REQUIRED Attributes  Attribute 0: supported_attrs

   The bit vector that would retrieve all REQUIRED and RECOMMENDED
   attributes that are supported for this object.  The scope of this
   attribute applies to all objects with a matching fsid.

Haynes & Noveck              Standards Track                   [Page 42]

RFC 7530                          NFSv4                       March 2015  Attribute 1: type

   Designates the type of an object in terms of one of a number of
   special constants:

   o  NF4REG designates a regular file.

   o  NF4DIR designates a directory.

   o  NF4BLK designates a block device special file.

   o  NF4CHR designates a character device special file.

   o  NF4LNK designates a symbolic link.

   o  NF4SOCK designates a named socket special file.

   o  NF4FIFO designates a fifo special file.

   o  NF4ATTRDIR designates a named attribute directory.

   o  NF4NAMEDATTR designates a named attribute.

   Within the explanatory text and operation descriptions, the following
   phrases will be used with the meanings given below:

   o  The phrase "is a directory" means that the object's type attribute
      is NF4DIR or NF4ATTRDIR.

   o  The phrase "is a special file" means that the object's type
      attribute is NF4BLK, NF4CHR, NF4SOCK, or NF4FIFO.

   o  The phrase "is a regular file" means that the object's type
      attribute is NF4REG or NF4NAMEDATTR.

   o  The phrase "is a symbolic link" means that the object's type
      attribute is NF4LNK.  Attribute 2: fh_expire_type

   The server uses this to specify filehandle expiration behavior to the
   client.  See Section 4 for additional description.

Haynes & Noveck              Standards Track                   [Page 43]

RFC 7530                          NFSv4                       March 2015  Attribute 3: change

   A value created by the server that the client can use to determine if
   file data, directory contents, or attributes of the object have been
   modified.  The server MAY return the object's time_metadata attribute
   for this attribute's value but only if the file system object cannot
   be updated more frequently than the resolution of time_metadata.  Attribute 4: size

   The size of the object in bytes.  Attribute 5: link_support

   TRUE, if the object's file system supports hard links.  Attribute 6: symlink_support

   TRUE, if the object's file system supports symbolic links.  Attribute 7: named_attr

   TRUE, if this object has named attributes.  In other words, this
   object has a non-empty named attribute directory.  Attribute 8: fsid

   Unique file system identifier for the file system holding this
   object.  The fsid attribute has major and minor components, each of
   which are of data type uint64_t.  Attribute 9: unique_handles

   TRUE, if two distinct filehandles are guaranteed to refer to two
   different file system objects.  Attribute 10: lease_time

   Duration of the lease at the server in seconds.  Attribute 11: rdattr_error

   Error returned from an attempt to retrieve attributes during a
   READDIR operation.  Attribute 19: filehandle

   The filehandle of this object (primarily for READDIR requests).

Haynes & Noveck              Standards Track                   [Page 44]

RFC 7530                          NFSv4                       March 2015

5.8.2.  Definitions of Uncategorized RECOMMENDED Attributes

   The definitions of most of the RECOMMENDED attributes follow.
   Collections that share a common category are defined in other
   sections.  Attribute 14: archive

   TRUE, if this file has been archived since the time of the last
   modification (deprecated in favor of time_backup).  Attribute 15: cansettime

   TRUE, if the server is able to change the times for a file system
   object as specified in a SETATTR operation.  Attribute 16: case_insensitive

   TRUE, if filename comparisons on this file system are case
   insensitive.  This refers only to comparisons, and not to the case in
   which filenames are stored.  Attribute 17: case_preserving

   TRUE, if the filename case on this file system is preserved.  This
   refers only to how filenames are stored, and not to how they are
   compared.  Filenames stored in mixed case might be compared using
   either case-insensitive or case-sensitive comparisons.  Attribute 18: chown_restricted

   If TRUE, the server will reject any request to change either the
   owner or the group associated with a file if the caller is not a
   privileged user (for example, "root" in UNIX operating environments
   or the "Take Ownership" privilege in Windows 2000).  Attribute 20: fileid

   A number uniquely identifying the file within the file system.  Attribute 21: files_avail

   File slots available to this user on the file system containing this
   object -- this should be the smallest relevant limit.

Haynes & Noveck              Standards Track                   [Page 45]

RFC 7530                          NFSv4                       March 2015  Attribute 22: files_free

   Free file slots on the file system containing this object -- this
   should be the smallest relevant limit.  Attribute 23: files_total

   Total file slots on the file system containing this object.  Attribute 24: fs_locations

   Locations where this file system may be found.  If the server returns
   NFS4ERR_MOVED as an error, this attribute MUST be supported.

   The server specifies the rootpath for a given server by returning a
   path consisting of zero path components.  Attribute 25: hidden

   TRUE, if the file is considered hidden with respect to the
   Windows API.  Attribute 26: homogeneous

   TRUE, if this object's file system is homogeneous, i.e., all objects
   in the file system (all objects on the server with the same fsid)
   have common values for all per-file system attributes.  Attribute 27: maxfilesize

   Maximum supported file size for the file system of this object.  Attribute 28: maxlink

   Maximum number of hard links for this object.  Attribute 29: maxname

   Maximum filename size supported for this object.  Attribute 30: maxread

   Maximum amount of data the READ operation will return for this

Haynes & Noveck              Standards Track                   [Page 46]

RFC 7530                          NFSv4                       March 2015  Attribute 31: maxwrite

   Maximum amount of data the WRITE operation will accept for this
   object.  This attribute SHOULD be supported if the file is writable.
   Lack of this attribute can lead to the client either wasting
   bandwidth or not receiving the best performance.  Attribute 32: mimetype

   MIME media type/subtype of this object.  Attribute 55: mounted_on_fileid

   Like fileid, but if the target filehandle is the root of a file
   system, this attribute represents the fileid of the underlying

   UNIX-based operating environments connect a file system into the
   namespace by connecting (mounting) the file system onto the existing
   file object (the mount point, usually a directory) of an existing
   file system.  When the mount point's parent directory is read via an
   API such as readdir() [readdir_api], the return results are directory
   entries, each with a component name and a fileid.  The fileid of the
   mount point's directory entry will be different from the fileid that
   the stat() [stat] system call returns.  The stat() system call is
   returning the fileid of the root of the mounted file system, whereas
   readdir() is returning the fileid that stat() would have returned
   before any file systems were mounted on the mount point.

   Unlike NFSv3, NFSv4.0 allows a client's LOOKUP request to cross other
   file systems.  The client detects the file system crossing whenever
   the filehandle argument of LOOKUP has an fsid attribute different
   from that of the filehandle returned by LOOKUP.  A UNIX-based client
   will consider this a "mount point crossing".  UNIX has a legacy
   scheme for allowing a process to determine its current working
   directory.  This relies on readdir() of a mount point's parent and
   stat() of the mount point returning fileids as previously described.
   The mounted_on_fileid attribute corresponds to the fileid that
   readdir() would have returned, as described previously.

   While the NFSv4.0 client could simply fabricate a fileid
   corresponding to what mounted_on_fileid provides (and if the server
   does not support mounted_on_fileid, the client has no choice), there
   is a risk that the client will generate a fileid that conflicts with
   one that is already assigned to another object in the file system.
   Instead, if the server can provide the mounted_on_fileid, the
   potential for client operational problems in this area is eliminated.

Haynes & Noveck              Standards Track                   [Page 47]

RFC 7530                          NFSv4                       March 2015

   If the server detects that there is nothing mounted on top of the
   target file object, then the value for mounted_on_fileid that it
   returns is the same as that of the fileid attribute.

   The mounted_on_fileid attribute is RECOMMENDED, so the server SHOULD
   provide it if possible, and for a UNIX-based server, this is
   straightforward.  Usually, mounted_on_fileid will be requested during
   a READDIR operation, in which case it is trivial (at least for
   UNIX-based servers) to return mounted_on_fileid since it is equal to
   the fileid of a directory entry returned by readdir().  If
   mounted_on_fileid is requested in a GETATTR operation, the server
   should obey an invariant that has it returning a value that is equal
   to the file object's entry in the object's parent directory, i.e.,
   what readdir() would have returned.  Some operating environments
   allow a series of two or more file systems to be mounted onto a
   single mount point.  In this case, for the server to obey the
   aforementioned invariant, it will need to find the base mount point,
   and not the intermediate mount points.  Attribute 34: no_trunc

   If this attribute is TRUE, then if the client uses a filename longer
   than name_max, an error will be returned instead of the name being
   truncated.  Attribute 35: numlinks

   Number of hard links to this object.  Attribute 36: owner

   The string name of the owner of this object.  Attribute 37: owner_group

   The string name of the group ownership of this object.  Attribute 38: quota_avail_hard

   The value in bytes that represents the amount of additional disk
   space beyond the current allocation that can be allocated to this
   file or directory before further allocations will be refused.  It is
   understood that this space may be consumed by allocations to other
   files or directories.

Haynes & Noveck              Standards Track                   [Page 48]

RFC 7530                          NFSv4                       March 2015  Attribute 39: quota_avail_soft

   The value in bytes that represents the amount of additional disk
   space that can be allocated to this file or directory before the user
   may reasonably be warned.  It is understood that this space may be
   consumed by allocations to other files or directories, though there
   may exist server-side rules as to which other files or directories.  Attribute 40: quota_used

   The value in bytes that represents the amount of disk space used by
   this file or directory and possibly a number of other similar files
   or directories, where the set of "similar" meets at least the
   criterion that allocating space to any file or directory in the set
   will reduce the "quota_avail_hard" of every other file or directory
   in the set.

   Note that there may be a number of distinct but overlapping sets of
   files or directories for which a quota_used value is maintained,
   e.g., "all files with a given owner", "all files with a given group
   owner", etc.  The server is at liberty to choose any of those sets
   when providing the content of the quota_used attribute but should do
   so in a repeatable way.  The rule may be configured per file system
   or may be "choose the set with the smallest quota".  Attribute 41: rawdev

   Raw device number of file of type NF4BLK or NF4CHR.  The device
   number is split into major and minor numbers.  If the file's type
   attribute is not NF4BLK or NF4CHR, this attribute SHOULD NOT be
   returned, and any value returned SHOULD NOT be considered useful.  Attribute 42: space_avail

   Disk space in bytes available to this user on the file system
   containing this object -- this should be the smallest relevant limit.  Attribute 43: space_free

   Free disk space in bytes on the file system containing this object --
   this should be the smallest relevant limit.  Attribute 44: space_total

   Total disk space in bytes on the file system containing this object.

Haynes & Noveck              Standards Track                   [Page 49]

RFC 7530                          NFSv4                       March 2015  Attribute 45: space_used

   Number of file system bytes allocated to this object.  Attribute 46: system

   TRUE, if this file is a "system" file with respect to the Windows
   operating environment.  Attribute 47: time_access

   Represents the time of last access to the object by a READ operation
   sent to the server.  The notion of what is an "access" depends on the
   server's operating environment and/or the server's file system
   semantics.  For example, for servers obeying Portable Operating
   System Interface (POSIX) semantics, time_access would be updated only
   by the READ and READDIR operations and not any of the operations that
   modify the content of the object [read_api], [readdir_api],
   [write_api].  Of course, setting the corresponding time_access_set
   attribute is another way to modify the time_access attribute.

   Whenever the file object resides on a writable file system, the
   server should make its best efforts to record time_access into stable
   storage.  However, to mitigate the performance effects of doing so,
   and most especially whenever the server is satisfying the read of the
   object's content from its cache, the server MAY cache access time
   updates and lazily write them to stable storage.  It is also
   acceptable to give administrators of the server the option to disable
   time_access updates.  Attribute 48: time_access_set

   Sets the time of last access to the object.  SETATTR use only.  Attribute 49: time_backup

   The time of last backup of the object.  Attribute 50: time_create

   The time of creation of the object.  This attribute does not have
   any relation to the traditional UNIX file attribute "ctime"
   ("change time").  Attribute 51: time_delta

   Smallest useful server time granularity.

Haynes & Noveck              Standards Track                   [Page 50]

RFC 7530                          NFSv4                       March 2015  Attribute 52: time_metadata

   The time of last metadata modification of the object.  Attribute 53: time_modify

   The time of last modification to the object.  Attribute 54: time_modify_set

   Sets the time of last modification to the object.  SETATTR use only.

5.9.  Interpreting owner and owner_group

   The RECOMMENDED attributes "owner" and "owner_group" (and also users
   and groups used as values of the who field within nfs4ace structures
   used in the acl attribute) are represented in the form of UTF-8
   strings.  This format avoids the use of a representation that is tied
   to a particular underlying implementation at the client or server.
   Note that Section 6.1 of [RFC2624] provides additional rationale.  It
   is expected that the client and server will have their own local
   representation of owners and groups that is used for local storage or
   presentation to the application via APIs that expect such a
   representation.  Therefore, the protocol requires that when these
   attributes are transferred between the client and server, the local
   representation is translated to a string of the form
   "identifier@dns_domain".  This allows clients and servers that do not
   use the same local representation to effectively interoperate since
   they both use a common syntax that can be interpreted by both.

   Similarly, security principals may be represented in different ways
   by different security mechanisms.  Servers normally translate these
   representations into a common format, generally that used by local
   storage, to serve as a means of identifying the users corresponding
   to these security principals.  When these local identifiers are
   translated to the form of the owner attribute, associated with files
   created by such principals, they identify, in a common format, the
   users associated with each corresponding set of security principals.

   The translation used to interpret owner and group strings is not
   specified as part of the protocol.  This allows various solutions to
   be employed.  For example, a local translation table may be consulted
   that maps a numeric identifier to the user@dns_domain syntax.  A name
   service may also be used to accomplish the translation.  A server may
   provide a more general service, not limited by any particular
   translation (which would only translate a limited set of possible
   strings) by storing the owner and owner_group attributes in local
   storage without any translation, or it may augment a translation

Haynes & Noveck              Standards Track                   [Page 51]

RFC 7530                          NFSv4                       March 2015

   method by storing the entire string for attributes for which no
   translation is available while using the local representation for
   those cases in which a translation is available.

   Servers that do not provide support for all possible values of user
   and group strings SHOULD return an error (NFS4ERR_BADOWNER) when a
   string is presented that has no translation, as the value to be set
   for a SETATTR of the owner or owner_group attributes or as part of
   the value of the acl attribute.  When a server does accept a user or
   group string as valid on a SETATTR, it is promising to return that
   same string (see below) when a corresponding GETATTR is done, as long
   as there has been no further change in the corresponding attribute
   before the GETATTR.  For some internationalization-related exceptions
   where this is not possible, see below.  Configuration changes
   (including changes from the mapping of the string to the local
   representation) and ill-constructed name translations (those that
   contain aliasing) may make that promise impossible to honor.  Servers
   should make appropriate efforts to avoid a situation in which these
   attributes have their values changed when no real change to either
   ownership or acls has occurred.

   The "dns_domain" portion of the owner string is meant to be a DNS
   domain name -- for example, "user@example.org".  Servers should
   accept as valid a set of users for at least one domain.  A server may
   treat other domains as having no valid translations.  A more general
   service is provided when a server is capable of accepting users for
   multiple domains, or for all domains, subject to security

   As an implementation guide, both clients and servers may provide a
   means to configure the "dns_domain" portion of the owner string.  For
   example, the DNS domain name of the host running the NFS server might
   be "lab.example.org", but the user names are defined in
   "example.org".  In the absence of such a configuration, or as a
   default, the current DNS domain name of the server should be the
   value used for the "dns_domain".

   As mentioned above, it is desirable that a server, when accepting a
   string of the form "user@domain" or "group@domain" in an attribute,
   return this same string when that corresponding attribute is fetched.
   Internationalization issues make this impossible under certain
   circumstances, and the client needs to take note of these.  See
   Section 12 for a detailed discussion of these issues.

   In the case where there is no translation available to the client or
   server, the attribute value will be constructed without the "@".
   Therefore, the absence of the "@" from the owner or owner_group
   attribute signifies that no translation was available at the sender

Haynes & Noveck              Standards Track                   [Page 52]

RFC 7530                          NFSv4                       March 2015

   and that the receiver of the attribute should not use that string as
   a basis for translation into its own internal format.  Even though
   the attribute value cannot be translated, it may still be useful.  In
   the case of a client, the attribute string may be used for local
   display of ownership.

   To provide a greater degree of compatibility with NFSv3, which
   identified users and groups by 32-bit unsigned user identifiers and
   group identifiers, owner and group strings that consist of ASCII-
   encoded decimal numeric values with no leading zeros can be given a
   special interpretation by clients and servers that choose to provide
   such support.  The receiver may treat such a user or group string as
   representing the same user as would be represented by an NFSv3 uid or
   gid having the corresponding numeric value.

   A server SHOULD reject such a numeric value if the security mechanism
   is using Kerberos.  That is, in such a scenario, the client will
   already need to form "user@domain" strings.  For any other security
   mechanism, the server SHOULD accept such numeric values.  As an
   implementation note, the server could make such an acceptance be
   configurable.  If the server does not support numeric values or if it
   is configured off, then it MUST return an NFS4ERR_BADOWNER error.  If
   the security mechanism is using Kerberos and the client attempts to
   use the special form, then the server SHOULD return an
   NFS4ERR_BADOWNER error when there is a valid translation for the user
   or owner designated in this way.  In that case, the client must use
   the appropriate user@domain string and not the special form for

   The client MUST always accept numeric values if the security
   mechanism is not RPCSEC_GSS.  A client can determine if a server
   supports numeric identifiers by first attempting to provide a numeric
   identifier.  If this attempt is rejected with an NFS4ERR_BADOWNER
   error, then the client should only use named identifiers of the form

   The owner string "nobody" may be used to designate an anonymous user,
   which will be associated with a file created by a security principal
   that cannot be mapped through normal means to the owner attribute.

5.10.  Character Case Attributes

   With respect to the case_insensitive and case_preserving attributes,
   case-insensitive comparisons of Unicode characters SHOULD use Unicode
   Default Case Folding as defined in Chapter 3 of the Unicode Standard
   [UNICODE] and MAY override that behavior for specific selected
   characters with the case folding defined in the SpecialCasing.txt
   [SPECIALCASING] file; see Section 3.13 of the Unicode Standard.

Haynes & Noveck              Standards Track                   [Page 53]

RFC 7530                          NFSv4                       March 2015

   The SpecialCasing.txt file replaces the Default Case Folding with
   locale- and context-dependent case folding for specific situations.
   An example of locale- and context-dependent case folding is that
   LATIN CAPITAL LETTER I ("I", U+0049) is default case folded to LATIN
   SMALL LETTER I ("i", U+0069).  However, several languages (e.g.,
   Turkish) treat an "I" character with a dot as a different letter than
   an "I" character without a dot; therefore, in such languages, unless
   an I is before a dot_above, the "I" (U+0049) character should be case
   folded to a different character, LATIN SMALL LETTER DOTLESS I

   The [UNICODE] and [SPECIALCASING] references in this RFC are for
   version 7.0.0 of the Unicode standard, as that was the latest version
   of Unicode when this RFC was published.  Implementations SHOULD
   always use the latest version of Unicode

6.  Access Control Attributes

   Access Control Lists (ACLs) are file attributes that specify fine-
   grained access control.  This section covers the "acl", "aclsupport",
   and "mode" file attributes, and their interactions.  Note that file
   attributes may apply to any file system object.

6.1.  Goals

   ACLs and modes represent two well-established models for specifying
   permissions.  This section specifies requirements that attempt to
   meet the following goals:

   o  If a server supports the mode attribute, it should provide
      reasonable semantics to clients that only set and retrieve the
      mode attribute.

   o  If a server supports ACL attributes, it should provide reasonable
      semantics to clients that only set and retrieve those attributes.

   o  On servers that support the mode attribute, if ACL attributes have
      never been set on an object, via inheritance or explicitly, the
      behavior should be traditional UNIX-like behavior.

   o  On servers that support the mode attribute, if the ACL attributes
      have been previously set on an object, either explicitly or via

      *  Setting only the mode attribute should effectively control the
         traditional UNIX-like permissions of read, write, and execute
         on owner, owner_group, and other.

Haynes & Noveck              Standards Track                   [Page 54]

RFC 7530                          NFSv4                       March 2015

      *  Setting only the mode attribute should provide reasonable
         security.  For example, setting a mode of 000 should be enough
         to ensure that future opens for read or write by any principal
         fail, regardless of a previously existing or inherited ACL.

   o  When a mode attribute is set on an object, the ACL attributes may
      need to be modified so as to not conflict with the new mode.  In
      such cases, it is desirable that the ACL keep as much information
      as possible.  This includes information about inheritance, AUDIT
      and ALARM access control entries (ACEs), and permissions granted
      and denied that do not conflict with the new mode.

6.2.  File Attributes Discussion

   Support for each of the ACL attributes is RECOMMENDED and not
   required, since file systems accessed using NFSv4 might not
   support ACLs.

6.2.1.  Attribute 12: acl

   The NFSv4.0 ACL attribute contains an array of ACEs that are
   associated with the file system object.  Although the client can read
   and write the acl attribute, the server is responsible for using the
   ACL to perform access control.  The client can use the OPEN or ACCESS
   operations to check access without modifying or reading data or

   The NFS ACE structure is defined as follows:

   typedef uint32_t        acetype4;

   typedef uint32_t        aceflag4;

   typedef uint32_t        acemask4;

   struct nfsace4 {
           acetype4                type;
           aceflag4                flag;
           acemask4                access_mask;
           utf8str_mixed           who;

   To determine if a request succeeds, the server processes each nfsace4
   entry in order.  Only ACEs that have a "who" that matches the
   requester are considered.  Each ACE is processed until all of the
   bits of the requester's access have been ALLOWED.  Once a bit (see
   below) has been ALLOWED by an ACCESS_ALLOWED_ACE, it is no longer
   considered in the processing of later ACEs.  If an ACCESS_DENIED_ACE

Haynes & Noveck              Standards Track                   [Page 55]

RFC 7530                          NFSv4                       March 2015

   is encountered where the requester's access still has unALLOWED bits
   in common with the "access_mask" of the ACE, the request is denied.
   When the ACL is fully processed, if there are bits in the requester's
   mask that have not been ALLOWED or DENIED, access is denied.

   Unlike the ALLOW and DENY ACE types, the ALARM and AUDIT ACE types do
   not affect a requester's access and instead are for triggering events
   as a result of a requester's access attempt.  Therefore, AUDIT and
   ALARM ACEs are processed only after processing ALLOW and DENY ACEs.

   The NFSv4.0 ACL model is quite rich.  Some server platforms may
   provide access control functionality that goes beyond the UNIX-style
   mode attribute but that is not as rich as the NFS ACL model.  So that
   users can take advantage of this more limited functionality, the
   server may support the acl attributes by mapping between its ACL
   model and the NFSv4.0 ACL model.  Servers must ensure that the ACL
   they actually store or enforce is at least as strict as the NFSv4 ACL
   that was set.  It is tempting to accomplish this by rejecting any ACL
   that falls outside the small set that can be represented accurately.
   However, such an approach can render ACLs unusable without special
   client-side knowledge of the server's mapping, which defeats the
   purpose of having a common NFSv4 ACL protocol.  Therefore, servers
   should accept every ACL that they can without compromising security.
   To help accomplish this, servers may make a special exception, in the
   case of unsupported permission bits, to the rule that bits not
   ALLOWED or DENIED by an ACL must be denied.  For example, a UNIX-
   style server might choose to silently allow read attribute
   permissions even though an ACL does not explicitly allow those
   permissions.  (An ACL that explicitly denies permission to read
   attributes should still result in a denial.)

   The situation is complicated by the fact that a server may have
   multiple modules that enforce ACLs.  For example, the enforcement for
   NFSv4.0 access may be different from, but not weaker than, the
   enforcement for local access, and both may be different from the
   enforcement for access through other protocols such as Server Message
   Block (SMB) [MS-SMB].  So it may be useful for a server to accept an
   ACL even if not all of its modules are able to support it.

   The guiding principle with regard to NFSv4 access is that the server
   must not accept ACLs that give an appearance of more restricted
   access to a file than what is actually enforced.

Haynes & Noveck              Standards Track                   [Page 56]

RFC 7530                          NFSv4                       March 2015  ACE Type

   The constants used for the type field (acetype4) are as follows:

   const ACE4_ACCESS_ALLOWED_ACE_TYPE      = 0x00000000;
   const ACE4_ACCESS_DENIED_ACE_TYPE       = 0x00000001;
   const ACE4_SYSTEM_AUDIT_ACE_TYPE        = 0x00000002;
   const ACE4_SYSTEM_ALARM_ACE_TYPE        = 0x00000003;

   All four bit types are permitted in the acl attribute.

   | Value                        | Abbreviation | Description         |
   | ACE4_ACCESS_ALLOWED_ACE_TYPE | ALLOW        | Explicitly grants   |
   |                              |              | the access defined  |
   |                              |              | in acemask4 to the  |
   |                              |              | file or directory.  |
   |                              |              |                     |
   | ACE4_ACCESS_DENIED_ACE_TYPE  | DENY         | Explicitly denies   |
   |                              |              | the access defined  |
   |                              |              | in acemask4 to the  |
   |                              |              | file or directory.  |
   |                              |              |                     |
   | ACE4_SYSTEM_AUDIT_ACE_TYPE   | AUDIT        | LOG (in a system-   |
   |                              |              | dependent way) any  |
   |                              |              | access attempt to a |
   |                              |              | file or directory   |
   |                              |              | that uses any of    |
   |                              |              | the access methods  |
   |                              |              | specified in        |
   |                              |              | acemask4.           |
   |                              |              |                     |
   | ACE4_SYSTEM_ALARM_ACE_TYPE   | ALARM        | Generate a system   |
   |                              |              | ALARM (system       |
   |                              |              | dependent) when any |
   |                              |              | access attempt is   |
   |                              |              | made to a file or   |
   |                              |              | directory for the   |
   |                              |              | access methods      |
   |                              |              | specified in        |
   |                              |              | acemask4.           |

    The "Abbreviation" column denotes how the types will be referred to
                   throughout the rest of this section.

Haynes & Noveck              Standards Track                   [Page 57]

RFC 7530                          NFSv4                       March 2015  Attribute 13: aclsupport

   A server need not support all of the above ACE types.  This attribute
   indicates which ACE types are supported for the current file system.
   The bitmask constants used to represent the above definitions within
   the aclsupport attribute are as follows:

   const ACL4_SUPPORT_ALLOW_ACL    = 0x00000001;
   const ACL4_SUPPORT_DENY_ACL     = 0x00000002;
   const ACL4_SUPPORT_AUDIT_ACL    = 0x00000004;
   const ACL4_SUPPORT_ALARM_ACL    = 0x00000008;

   Servers that support either the ALLOW or DENY ACE type SHOULD support
   both ALLOW and DENY ACE types.

   Clients should not attempt to set an ACE unless the server claims
   support for that ACE type.  If the server receives a request to set
   an ACE that it cannot store, it MUST reject the request with
   NFS4ERR_ATTRNOTSUPP.  If the server receives a request to set an ACE
   that it can store but cannot enforce, the server SHOULD reject the
   request with NFS4ERR_ATTRNOTSUPP.  ACE Access Mask

   The bitmask constants used for the access mask field are as follows:

   const ACE4_READ_DATA            = 0x00000001;
   const ACE4_LIST_DIRECTORY       = 0x00000001;
   const ACE4_WRITE_DATA           = 0x00000002;
   const ACE4_ADD_FILE             = 0x00000002;
   const ACE4_APPEND_DATA          = 0x00000004;
   const ACE4_ADD_SUBDIRECTORY     = 0x00000004;
   const ACE4_READ_NAMED_ATTRS     = 0x00000008;
   const ACE4_WRITE_NAMED_ATTRS    = 0x00000010;
   const ACE4_EXECUTE              = 0x00000020;
   const ACE4_DELETE_CHILD         = 0x00000040;
   const ACE4_READ_ATTRIBUTES      = 0x00000080;
   const ACE4_WRITE_ATTRIBUTES     = 0x00000100;

   const ACE4_DELETE               = 0x00010000;
   const ACE4_READ_ACL             = 0x00020000;
   const ACE4_WRITE_ACL            = 0x00040000;
   const ACE4_WRITE_OWNER          = 0x00080000;
   const ACE4_SYNCHRONIZE          = 0x00100000;

Haynes & Noveck              Standards Track                   [Page 58]

RFC 7530                          NFSv4                       March 2015

   Note that some masks have coincident values -- for example,
   ACE4_READ_DATA and ACE4_LIST_DIRECTORY.  The mask entries
   intended to be used with directory objects, while ACE4_READ_DATA,
   ACE4_WRITE_DATA, and ACE4_APPEND_DATA are intended to be used with
   non-directory objects.  Discussion of Mask Attributes


      Operation(s) affected:




         Permission to read the data of the file.

         Servers SHOULD allow a user the ability to read the data of the
         file when only the ACE4_EXECUTE access mask bit is set.


      Operation(s) affected:



         Permission to list the contents of a directory.


      Operation(s) affected:



         SETATTR of size


         Permission to modify a file's data.

Haynes & Noveck              Standards Track                   [Page 59]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:






         Permission to add a new file in a directory.  The CREATE
         operation is affected when nfs_ftype4 is NF4LNK, NF4BLK,
         NF4CHR, NF4SOCK, or NF4FIFO.  (NF4DIR is not listed because it
         is covered by ACE4_ADD_SUBDIRECTORY.)  OPEN is affected when
         used to create a regular file.  LINK and RENAME are always


      Operation(s) affected:



         SETATTR of size


         The ability to modify a file's data, but only starting at EOF.
         This allows for the notion of append-only files, by allowing
         ACE4_APPEND_DATA and denying ACE4_WRITE_DATA to the same user
         or group.  If a file has an ACL such as the one described above
         and a WRITE request is made for somewhere other than EOF, the
         server SHOULD return NFS4ERR_ACCESS.

Haynes & Noveck              Standards Track                   [Page 60]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:




         Permission to create a subdirectory in a directory.  The CREATE
         operation is affected when nfs_ftype4 is NF4DIR.  The RENAME
         operation is always affected.


      Operation(s) affected:



         Permission to read the named attributes of a file or to look up
         the named attributes directory.  OPENATTR is affected when it
         is not used to create a named attribute directory.  This is
         when 1) createdir is TRUE but a named attribute directory
         already exists or 2) createdir is FALSE.


      Operation(s) affected:



         Permission to write the named attributes of a file or to create
         a named attribute directory.  OPENATTR is affected when it is
         used to create a named attribute directory.  This is when
         createdir is TRUE and no named attribute directory exists.  The
         ability to check whether or not a named attribute directory
         exists depends on the ability to look it up; therefore, users
         also need the ACE4_READ_NAMED_ATTRS permission in order to
         create a named attribute directory.

Haynes & Noveck              Standards Track                   [Page 61]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:



         Permission to execute a file.

         Servers SHOULD allow a user the ability to read the data of the
         file when only the ACE4_EXECUTE access mask bit is set.  This
         is because there is no way to execute a file without reading
         the contents.  Though a server may treat ACE4_EXECUTE and
         ACE4_READ_DATA bits identically when deciding to permit a READ
         operation, it SHOULD still allow the two bits to be set
         independently in ACLs and MUST distinguish between them when
         replying to ACCESS operations.  In particular, servers SHOULD
silently turn on one of the two bits when the other is set,
         as that would make it impossible for the client to correctly
         enforce the distinction between read and execute permissions.

         As an example, following a SETATTR of the following ACL:


         A subsequent GETATTR of ACL for that file SHOULD return:


         Rather than:


Haynes & Noveck              Standards Track                   [Page 62]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:








         Permission to traverse/search a directory.


      Operation(s) affected:




         Permission to delete a file or directory within a directory.
         See Section for information on how ACE4_DELETE and
         ACE4_DELETE_CHILD interact.

Haynes & Noveck              Standards Track                   [Page 63]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:

         GETATTR of file system object attributes





         The ability to read basic attributes (non-ACLs) of a file.
         On a UNIX system, basic attributes can be thought of as the
         stat-level attributes.  Allowing this access mask bit would
         mean the entity can execute "ls -l" and stat.  If a READDIR
         operation requests attributes, this mask must be allowed for
         the READDIR to succeed.


      Operation(s) affected:

         SETATTR of time_access_set, time_backup, time_create,
         time_modify_set, mimetype, hidden, and system


         Permission to change the times associated with a file or
         directory to an arbitrary value.  Also, permission to change
         the mimetype, hidden and system attributes.  A user having
         ACE4_WRITE_DATA or ACE4_WRITE_ATTRIBUTES will be allowed to set
         the times associated with a file to the current server time.


      Operation(s) affected:



         Permission to delete the file or directory.  See
         Section for information on ACE4_DELETE and
         ACE4_DELETE_CHILD interact.

Haynes & Noveck              Standards Track                   [Page 64]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:

         GETATTR of acl




         Permission to read the ACL.


      Operation(s) affected:

         SETATTR of acl and mode


         Permission to write the acl and mode attributes.


      Operation(s) affected:

         SETATTR of owner and owner_group


         Permission to write the owner and owner_group attributes.  On
         UNIX systems, this is the ability to execute chown() and

Haynes & Noveck              Standards Track                   [Page 65]

RFC 7530                          NFSv4                       March 2015


      Operation(s) affected:



         Permission to use the file object as a synchronization
         primitive for interprocess communication.  This permission is
         not enforced or interpreted by the NFSv4.0 server on behalf of
         the client.

         Typically, the ACE4_SYNCHRONIZE permission is only meaningful
         on local file systems, i.e., file systems not accessed via
         NFSv4.0.  The reason that the permission bit exists is that
         some operating environments, such as Windows, use

         For example, if a client copies a file that has
         ACE4_SYNCHRONIZE set from a local file system to an NFSv4.0
         server, and then later copies the file from the NFSv4.0 server
         to a local file system, it is likely that if ACE4_SYNCHRONIZE
         was set in the original file, the client will want it set in
         the second copy.  The first copy will not have the permission
         set unless the NFSv4.0 server has the means to set the
         ACE4_SYNCHRONIZE bit.  The second copy will not have the
         permission set unless the NFSv4.0 server has the means to
         retrieve the ACE4_SYNCHRONIZE bit.

   Server implementations need not provide the granularity of control
   that is implied by this list of masks.  For example, POSIX-based
   systems might not distinguish ACE4_APPEND_DATA (the ability to append
   to a file) from ACE4_WRITE_DATA (the ability to modify existing
   contents); both masks would be tied to a single "write" permission.
   When such a server returns attributes to the client, it would show
   both ACE4_APPEND_DATA and ACE4_WRITE_DATA if and only if the write
   permission is enabled.

   If a server receives a SETATTR request that it cannot accurately
   implement, it should err in the direction of more restricted access,
   except in the previously discussed cases of execute and read.  For
   example, suppose a server cannot distinguish overwriting data from
   appending new data, as described in the previous paragraph.  If a
   client submits an ALLOW ACE where ACE4_APPEND_DATA is set but
   ACE4_WRITE_DATA is not (or vice versa), the server should either turn
   off ACE4_APPEND_DATA or reject the request with NFS4ERR_ATTRNOTSUPP.

Haynes & Noveck              Standards Track                   [Page 66]

RFC 7530                          NFSv4                       March 2015  ACE4_DELETE versus ACE4_DELETE_CHILD

   Two access mask bits govern the ability to delete a directory entry:
   ACE4_DELETE on the object itself (the "target") and ACE4_DELETE_CHILD
   on the containing directory (the "parent").

   Many systems also take the "sticky bit" (MODE4_SVTX) on a directory
   to allow unlink only to a user that owns either the target or the
   parent; on some such systems, the decision also depends on whether
   the target is writable.

   Servers SHOULD allow unlink if either ACE4_DELETE is permitted on the
   target or ACE4_DELETE_CHILD is permitted on the parent.  (Note that
   this is true even if the parent or target explicitly denies the other
   of these permissions.)

   If the ACLs in question neither explicitly ALLOW nor DENY either of
   the above, and if MODE4_SVTX is not set on the parent, then the
   server SHOULD allow the removal if and only if ACE4_ADD_FILE is
   permitted.  In the case where MODE4_SVTX is set, the server may also
   require the remover to own either the parent or the target, or may
   require the target to be writable.

   This allows servers to support something close to traditional
   UNIX-like semantics, with ACE4_ADD_FILE taking the place of the
   write bit.  ACE flag

   The bitmask constants used for the flag field are as follows:

   const ACE4_FILE_INHERIT_ACE             = 0x00000001;
   const ACE4_DIRECTORY_INHERIT_ACE        = 0x00000002;
   const ACE4_NO_PROPAGATE_INHERIT_ACE     = 0x00000004;
   const ACE4_INHERIT_ONLY_ACE             = 0x00000008;
   const ACE4_SUCCESSFUL_ACCESS_ACE_FLAG   = 0x00000010;
   const ACE4_FAILED_ACCESS_ACE_FLAG       = 0x00000020;
   const ACE4_IDENTIFIER_GROUP             = 0x00000040;

   A server need not support any of these flags.  If the server supports
   flags that are similar to, but not exactly the same as, these flags,
   the implementation may define a mapping between the protocol-defined
   flags and the implementation-defined flags.

   For example, suppose a client tries to set an ACE with
   server does not support any form of ACL inheritance, the server
   should reject the request with NFS4ERR_ATTRNOTSUPP.  If the server

Haynes & Noveck              Standards Track                   [Page 67]

RFC 7530                          NFSv4                       March 2015

   supports a single "inherit ACE" flag that applies to both files and
   directories, the server may reject the request (i.e., requiring the
   client to set both the file and directory inheritance flags).  The
   server may also accept the request and silently turn on the
   ACE4_DIRECTORY_INHERIT_ACE flag.  Discussion of Flag Bits

      Any non-directory file in any subdirectory will get this ACE

      Can be placed on a directory and indicates that this ACE should be
      added to each new directory created.
      If this flag is set in an ACE in an ACL attribute to be set on a
      non-directory file system object, the operation attempting to set

      Can be placed on a directory but does not apply to the directory;
      ALLOW and DENY ACEs with this bit set do not affect access to the
      directory, and AUDIT and ALARM ACEs with this bit set do not
      trigger log or alarm events.  Such ACEs only take effect once they
      are applied (with this bit cleared) to newly created files and
      directories as specified by the above two flags.
      If this flag is present on an ACE, but neither
      then an operation attempting to set such an attribute SHOULD fail

      Can be placed on a directory.  This flag tells the server that
      inheritance of this ACE should stop at newly created child


      ACE4_FAILED_ACCESS_ACE_FLAG (FAILED) flag bits may be set only on
      (ALARM) ACE types.  If, during the processing of the file's ACL,
      the server encounters an AUDIT or ALARM ACE that matches the
      principal attempting the OPEN, the server notes that fact and
      notes the presence, if any, of the SUCCESS and FAILED flags
      encountered in the AUDIT or ALARM ACE.  Once the server completes
      the ACL processing, it then notes if the operation succeeded or

Haynes & Noveck              Standards Track                   [Page 68]

RFC 7530                          NFSv4                       March 2015

      failed.  If the operation succeeded, and if the SUCCESS flag was
      set for a matching AUDIT or ALARM ACE, then the appropriate AUDIT
      or ALARM event occurs.  If the operation failed, and if the FAILED
      flag was set for the matching AUDIT or ALARM ACE, then the
      appropriate AUDIT or ALARM event occurs.  Either or both of the
      SUCCESS or FAILED can be set, but if neither is set, the AUDIT or
      ALARM ACE is not useful.

      The previously described processing applies to ACCESS operations
      even when they return NFS4_OK.  For the purposes of AUDIT and
      ALARM, we consider an ACCESS operation to be a "failure" if it
      fails to return a bit that was requested and supported.

      Indicates that the "who" refers to a GROUP as defined under UNIX
      or a GROUP ACCOUNT as defined under Windows.  Clients and servers
      MUST ignore the ACE4_IDENTIFIER_GROUP flag on ACEs with a who
      value equal to one of the special identifiers outlined in
      Section  ACE Who

   The who field of an ACE is an identifier that specifies the principal
   or principals to whom the ACE applies.  It may refer to a user or a
   group, with the flag bit ACE4_IDENTIFIER_GROUP specifying which.

   There are several special identifiers that need to be understood
   universally, rather than in the context of a particular DNS domain.
   Some of these identifiers cannot be understood when an NFS client
   accesses the server but have meaning when a local process accesses
   the file.  The ability to display and modify these permissions is
   permitted over NFS, even if none of the access methods on the server
   understand the identifiers.

Haynes & Noveck              Standards Track                   [Page 69]

RFC 7530                          NFSv4                       March 2015

   | Who           | Description                                       |
   | OWNER         | The owner of the file.                            |
   | GROUP         | The group associated with the file.               |
   | EVERYONE      | The world, including the owner and owning group.  |
   | INTERACTIVE   | Accessed from an interactive terminal.            |
   | NETWORK       | Accessed via the network.                         |
   | DIALUP        | Accessed as a dialup user to the server.          |
   | BATCH         | Accessed from a batch job.                        |
   | ANONYMOUS     | Accessed without any authentication.              |
   | AUTHENTICATED | Any authenticated user (opposite of ANONYMOUS).   |
   | SERVICE       | Access from a system service.                     |

                       Table 5: Special Identifiers

   To avoid conflict, these special identifiers are distinguished by an
   appended "@" and should appear in the form "xxxx@" (with no domain
   name after the "@") -- for example, ANONYMOUS@.

   The ACE4_IDENTIFIER_GROUP flag MUST be ignored on entries with these
   special identifiers.  When encoding entries with these special
   identifiers, the ACE4_IDENTIFIER_GROUP flag SHOULD be set to zero.  Discussion of EVERYONE@

   It is important to note that "EVERYONE@" is not equivalent to the
   UNIX "other" entity.  This is because, by definition, UNIX "other"
   does not include the owner or owning group of a file.  "EVERYONE@"
   means literally everyone, including the owner or owning group.

6.2.2.  Attribute 33: mode

   The NFSv4.0 mode attribute is based on the UNIX mode bits.  The
   following bits are defined:

   const MODE4_SUID = 0x800;  /* set user id on execution */
   const MODE4_SGID = 0x400;  /* set group id on execution */
   const MODE4_SVTX = 0x200;  /* save text even after use */
   const MODE4_RUSR = 0x100;  /* read permission: owner */
   const MODE4_WUSR = 0x080;  /* write permission: owner */
   const MODE4_XUSR = 0x040;  /* execute permission: owner */
   const MODE4_RGRP = 0x020;  /* read permission: group */
   const MODE4_WGRP = 0x010;  /* write permission: group */
   const MODE4_XGRP = 0x008;  /* execute permission: group */

Haynes & Noveck              Standards Track                   [Page 70]

RFC 7530                          NFSv4                       March 2015

   const MODE4_ROTH = 0x004;  /* read permission: other */
   const MODE4_WOTH = 0x002;  /* write permission: other */
   const MODE4_XOTH = 0x001;  /* execute permission: other */

   Bits MODE4_RUSR, MODE4_WUSR, and MODE4_XUSR apply to the principal
   identified in the owner attribute.  Bits MODE4_RGRP, MODE4_WGRP, and
   MODE4_XGRP apply to principals identified in the owner_group
   attribute but who are not identified in the owner attribute.  Bits
   MODE4_ROTH, MODE4_WOTH, and MODE4_XOTH apply to any principal that
   does not match that in the owner attribute and does not have a group
   matching that of the owner_group attribute.

   Bits within the mode other than those specified above are not defined
   by this protocol.  A server MUST NOT return bits other than those
   defined above in a GETATTR or READDIR operation, and it MUST return
   NFS4ERR_INVAL if bits other than those defined above are set in a

6.3.  Common Methods

   The requirements in this section will be referred to in future
   sections, especially Section 6.4.

6.3.1.  Interpreting an ACL  Server Considerations

   The server uses the algorithm described in Section 6.2.1 to determine
   whether an ACL allows access to an object.  However, the ACL may not
   be the sole determiner of access.  For example:

   o  In the case of a file system exported as read-only, the server may
      deny write permissions even though an object's ACL grants it.

   o  Server implementations MAY grant ACE4_WRITE_ACL and ACE4_READ_ACL
      permissions to prevent a situation from arising in which there is
      no valid way to ever modify the ACL.

   o  All servers will allow a user the ability to read the data of the
      file when only the execute permission is granted (i.e., if the ACL
      denies the user ACE4_READ_DATA access and allows the user
      ACE4_EXECUTE, the server will allow the user to read the data of
      the file).

Haynes & Noveck              Standards Track                   [Page 71]

RFC 7530                          NFSv4                       March 2015

   o  Many servers have the notion of owner-override, in which the owner
      of the object is allowed to override accesses that are denied by
      the ACL.  This may be helpful, for example, to allow users
      continued access to open files on which the permissions have

   o  Many servers have the notion of a "superuser" that has privileges
      beyond an ordinary user.  The superuser may be able to read or
      write data or metadata in ways that would not be permitted by
      the ACL.  Client Considerations

   Clients SHOULD NOT do their own access checks based on their
   interpretation of the ACL but rather use the OPEN and ACCESS
   operations to do access checks.  This allows the client to act on the
   results of having the server determine whether or not access should
   be granted based on its interpretation of the ACL.

   Clients must be aware of situations in which an object's ACL will
   define a certain access even though the server will not have adequate
   information to enforce it.  For example, the server has no way of
   determining whether a particular OPEN reflects a user's open for read
   access or is done as part of executing the file in question.  In such
   situations, the client needs to do its part in the enforcement of
   access as defined by the ACL.  To do this, the client will send the
   appropriate ACCESS operation (or use a cached previous determination)
   prior to servicing the request of the user or application in order to
   determine whether the user or application should be granted the
   access requested.  For examples in which the ACL may define accesses
   that the server does not enforce, see Section

6.3.2.  Computing a mode Attribute from an ACL

   The following method can be used to calculate the MODE4_R*, MODE4_W*,
   and MODE4_X* bits of a mode attribute, based upon an ACL.

   First, for each of the special identifiers OWNER@, GROUP@, and
   EVERYONE@, evaluate the ACL in order, considering only ALLOW and DENY
   ACEs for the identifier EVERYONE@ and for the identifier under
   consideration.  The result of the evaluation will be an NFSv4 ACL
   mask showing exactly which bits are permitted to that identifier.

Haynes & Noveck              Standards Track                   [Page 72]

RFC 7530                          NFSv4                       March 2015

   Then translate the calculated mask for OWNER@, GROUP@, and EVERYONE@
   into mode bits for the user, group, and other, respectively, as

   1.  Set the read bit (MODE4_RUSR, MODE4_RGRP, or MODE4_ROTH) if and
       only if ACE4_READ_DATA is set in the corresponding mask.

   2.  Set the write bit (MODE4_WUSR, MODE4_WGRP, or MODE4_WOTH) if and
       only if ACE4_WRITE_DATA and ACE4_APPEND_DATA are both set in the
       corresponding mask.

   3.  Set the execute bit (MODE4_XUSR, MODE4_XGRP, or MODE4_XOTH), if
       and only if ACE4_EXECUTE is set in the corresponding mask.  Discussion

   Some server implementations also add bits permitted to named users
   and groups to the group bits (MODE4_RGRP, MODE4_WGRP, and

   Implementations are discouraged from doing this, because it has been
   found to cause confusion for users who see members of a file's group
   denied access that the mode bits appear to allow.  (The presence of
   DENY ACEs may also lead to such behavior, but DENY ACEs are expected
   to be more rarely used.)

   The same user confusion seen when fetching the mode also results if
   setting the mode does not effectively control permissions for the
   owner, group, and other users; this motivates some of the
   requirements that follow.

6.4.  Requirements

   The server that supports both mode and ACL must take care to
   synchronize the MODE4_*USR, MODE4_*GRP, and MODE4_*OTH bits with the
   ACEs that have respective who fields of "OWNER@", "GROUP@", and
   "EVERYONE@" so that the client can see that semantically equivalent
   access permissions exist whether the client asks for just the ACL or
   any of the owner, owner_group, and mode attributes.

   Many requirements refer to Section 6.3.2, but note that the methods
   have behaviors specified with "SHOULD".  This is intentional, to
   avoid invalidating existing implementations that compute the mode
   according to the withdrawn POSIX ACL draft ([P1003.1e]), rather than
   by actual permissions on owner, group, and other.

Haynes & Noveck              Standards Track                   [Page 73]

RFC 7530                          NFSv4                       March 2015

6.4.1.  Setting the mode and/or ACL Attributes  Setting mode and Not ACL

   When any of the nine low-order mode bits are changed because the mode
   attribute was set, and no ACL attribute is explicitly set, the acl
   attribute must be modified in accordance with the updated value of
   those bits.  This must happen even if the value of the low-order bits
   is the same after the mode is set as before.

   Note that any AUDIT or ALARM ACEs are unaffected by changes to the

   In cases in which the permissions bits are subject to change, the acl
   attribute MUST be modified such that the mode computed via the method
   described in Section 6.3.2 yields the low-order nine bits (MODE4_R*,
   MODE4_W*, MODE4_X*) of the mode attribute as modified by the change
   attribute.  The ACL attributes SHOULD also be modified such that:

   1.  If MODE4_RGRP is not set, entities explicitly listed in the ACL
       other than OWNER@ and EVERYONE@ SHOULD NOT be granted

   2.  If MODE4_WGRP is not set, entities explicitly listed in the ACL
       other than OWNER@ and EVERYONE@ SHOULD NOT be granted

   3.  If MODE4_XGRP is not set, entities explicitly listed in the ACL
       other than OWNER@ and EVERYONE@ SHOULD NOT be granted

   Access mask bits other than those listed above, appearing in ALLOW
   ACEs, MAY also be disabled.

   Note that ACEs with the flag ACE4_INHERIT_ONLY_ACE set do not affect
   the permissions of the ACL itself, nor do ACEs of the types AUDIT and
   ALARM.  As such, it is desirable to leave these ACEs unmodified when
   modifying the ACL attributes.

   Also note that the requirement may be met by discarding the acl in
   favor of an ACL that represents the mode and only the mode.  This is
   permitted, but it is preferable for a server to preserve as much of
   the ACL as possible without violating the above requirements.
   Discarding the ACL makes it effectively impossible for a file created
   with a mode attribute to inherit an ACL (see Section 6.4.3).

Haynes & Noveck              Standards Track                   [Page 74]

RFC 7530                          NFSv4                       March 2015  Setting ACL and Not mode

   When setting the acl and not setting the mode attribute, the
   permission bits of the mode need to be derived from the ACL.  In this
   case, the ACL attribute SHOULD be set as given.  The nine low-order
   bits of the mode attribute (MODE4_R*, MODE4_W*, MODE4_X*) MUST be
   modified to match the result of the method described in
   Section 6.3.2.  The three high-order bits of the mode (MODE4_SUID,
   MODE4_SGID, MODE4_SVTX) SHOULD remain unchanged.  Setting Both ACL and mode

   When setting both the mode and the acl attribute in the same
   operation, the attributes MUST be applied in this order: mode, then
   ACL.  The mode-related attribute is set as given, then the ACL
   attribute is set as given, possibly changing the final mode, as
   described above in Section

6.4.2.  Retrieving the mode and/or ACL Attributes

   This section applies only to servers that support both the mode and
   ACL attributes.

   Some server implementations may have a concept of "objects without
   ACLs", meaning that all permissions are granted and denied according
   to the mode attribute, and that no ACL attribute is stored for that
   object.  If an ACL attribute is requested of such a server, the
   server SHOULD return an ACL that does not conflict with the mode;
   that is to say, the ACL returned SHOULD represent the nine low-order
   bits of the mode attribute (MODE4_R*, MODE4_W*, MODE4_X*) as
   described in Section 6.3.2.

   For other server implementations, the ACL attribute is always present
   for every object.  Such servers SHOULD store at least the three
   high-order bits of the mode attribute (MODE4_SUID, MODE4_SGID,
   MODE4_SVTX).  The server SHOULD return a mode attribute if one is
   requested, and the low-order nine bits of the mode (MODE4_R*,
   MODE4_W*, MODE4_X*) MUST match the result of applying the method in
   Section 6.3.2 to the ACL attribute.

6.4.3.  Creating New Objects

   If a server supports any ACL attributes, it may use the ACL
   attributes on the parent directory to compute an initial ACL
   attribute for a newly created object.  This will be referred to as
   the inherited ACL within this section.  The act of adding one or more

Haynes & Noveck              Standards Track                   [Page 75]

RFC 7530                          NFSv4                       March 2015

   ACEs to the inherited ACL that are based upon ACEs in the parent
   directory's ACL will be referred to as inheriting an ACE within this

   In the presence or absence of the mode and ACL attributes, the
   behavior of CREATE and OPEN SHOULD be:

   1.  If just the mode is given in the call:

       In this case, inheritance SHOULD take place, but the mode MUST be
       applied to the inherited ACL as described in Section,
       thereby modifying the ACL.

   2.  If just the ACL is given in the call:

       In this case, inheritance SHOULD NOT take place, and the ACL as
       defined in the CREATE or OPEN will be set without modification,
       and the mode modified as in Section

   3.  If both mode and ACL are given in the call:

       In this case, inheritance SHOULD NOT take place, and both
       attributes will be set as described in Section

   4.  If neither mode nor ACL is given in the call:

       In the case where an object is being created without any initial
       attributes at all, e.g., an OPEN operation with an opentype4 of
       OPEN4_CREATE and a createmode4 of EXCLUSIVE4, inheritance SHOULD
take place.  Instead, the server SHOULD set permissions to
       deny all access to the newly created object.  It is expected that
       the appropriate client will set the desired attributes in a
       subsequent SETATTR operation, and the server SHOULD allow that
       operation to succeed, regardless of what permissions the object
       is created with.  For example, an empty ACL denies all
       permissions, but the server should allow the owner's SETATTR to
       succeed even though WRITE_ACL is implicitly denied.

       In other cases, inheritance SHOULD take place, and no
       modifications to the ACL will happen.  The mode attribute, if
       supported, MUST be as computed via the method described in
       Section 6.3.2, with the MODE4_SUID, MODE4_SGID, and MODE4_SVTX
       bits clear.  If no inheritable ACEs exist on the parent
       directory, the rules for creating acl attributes are
       implementation defined.

Haynes & Noveck              Standards Track                   [Page 76]

RFC 7530                          NFSv4                       March 2015  The Inherited ACL

   If the object being created is not a directory, the inherited ACL
   SHOULD NOT inherit ACEs from the parent directory ACL unless the

   If the object being created is a directory, the inherited ACL should
   inherit all inheritable ACEs from the parent directory, i.e., those
   flag set.  If the inheritable ACE has ACE4_FILE_INHERIT_ACE set, but
   ACE4_DIRECTORY_INHERIT_ACE is clear, the inherited ACE on the newly
   created directory MUST have the ACE4_INHERIT_ONLY_ACE flag set to
   prevent the directory from being affected by ACEs meant for

   When a new directory is created, the server MAY split any inherited
   ACE that is both inheritable and effective (in other words, that has
   into two ACEs -- one with no inheritance flags, and one with
   ACE4_INHERIT_ONLY_ACE set.  This makes it simpler to modify the
   effective permissions on the directory without modifying the ACE that
   is to be inherited to the new directory's children.

7.  NFS Server Namespace

7.1.  Server Exports

   On a UNIX server, the namespace describes all the files reachable by
   pathnames under the root directory or "/".  On a Windows server, the
   namespace constitutes all the files on disks named by mapped disk
   letters.  NFS server administrators rarely make the entire server's
   file system namespace available to NFS clients.  More often, portions
   of the namespace are made available via an "export" feature.  In
   previous versions of the NFS protocol, the root filehandle for each
   export is obtained through the MOUNT protocol; the client sends a
   string that identifies an object in the exported namespace, and the
   server returns the root filehandle for it.  The MOUNT protocol
   supports an EXPORTS procedure that will enumerate the server's

7.2.  Browsing Exports

   The NFSv4 protocol provides a root filehandle that clients can use to
   obtain filehandles for these exports via a multi-component LOOKUP.  A
   common user experience is to use a graphical user interface (perhaps
   a file "Open" dialog window) to find a file via progressive browsing

Haynes & Noveck              Standards Track                   [Page 77]

RFC 7530                          NFSv4                       March 2015

   through a directory tree.  The client must be able to move from one
   export to another export via single-component, progressive LOOKUP

   This style of browsing is not well supported by the NFSv2 and NFSv3
   protocols.  The client expects all LOOKUP operations to remain within
   a single-server file system.  For example, the device attribute will
   not change.  This prevents a client from taking namespace paths that
   span exports.

   An automounter on the client can obtain a snapshot of the server's
   namespace using the EXPORTS procedure of the MOUNT protocol.  If it
   understands the server's pathname syntax, it can create an image of
   the server's namespace on the client.  The parts of the namespace
   that are not exported by the server are filled in with a "pseudo-file
   system" that allows the user to browse from one mounted file system
   to another.  There is a drawback to this representation of the
   server's namespace on the client: it is static.  If the server
   administrator adds a new export, the client will be unaware of it.

7.3.  Server Pseudo-File System

   NFSv4 servers avoid this namespace inconsistency by presenting all
   the exports within the framework of a single-server namespace.  An
   NFSv4 client uses LOOKUP and READDIR operations to browse seamlessly
   from one export to another.  Portions of the server namespace that
   are not exported are bridged via a "pseudo-file system" that provides
   a view of exported directories only.  A pseudo-file system has a
   unique fsid and behaves like a normal, read-only file system.

   Based on the construction of the server's namespace, it is possible
   that multiple pseudo-file systems may exist.  For example:

     /a         pseudo-file system
     /a/b       real file system
     /a/b/c     pseudo-file system
     /a/b/c/d   real file system

   Each of the pseudo-file systems are considered separate entities and
   therefore will have a unique fsid.

Haynes & Noveck              Standards Track                   [Page 78]

RFC 7530                          NFSv4                       March 2015

7.4.  Multiple Roots

   The DOS and Windows operating environments are sometimes described as
   having "multiple roots".  File systems are commonly represented as
   disk letters.  MacOS represents file systems as top-level names.
   NFSv4 servers for these platforms can construct a pseudo-file system
   above these root names so that disk letters or volume names are
   simply directory names in the pseudo-root.

7.5.  Filehandle Volatility

   The nature of the server's pseudo-file system is that it is a logical
   representation of file system(s) available from the server.
   Therefore, the pseudo-file system is most likely constructed
   dynamically when the server is first instantiated.  It is expected
   that the pseudo-file system may not have an on-disk counterpart from
   which persistent filehandles could be constructed.  Even though it is
   preferable that the server provide persistent filehandles for the
   pseudo-file system, the NFS client should expect that pseudo-file
   system filehandles are volatile.  This can be confirmed by checking
   the associated "fh_expire_type" attribute for those filehandles in
   question.  If the filehandles are volatile, the NFS client must be
   prepared to recover a filehandle value (e.g., with a multi-component
   LOOKUP) when receiving an error of NFS4ERR_FHEXPIRED.

7.6.  Exported Root

   If the server's root file system is exported, one might conclude that
   a pseudo-file system is not needed.  This would be wrong.  Assume the
   following file systems on a server:

     /       disk1  (exported)
     /a      disk2  (not exported)
     /a/b    disk3  (exported)

   Because disk2 is not exported, disk3 cannot be reached with simple
   LOOKUPs.  The server must bridge the gap with a pseudo-file system.

7.7.  Mount Point Crossing

   The server file system environment may be constructed in such a way
   that one file system contains a directory that is 'covered' or
   mounted upon by a second file system.  For example:

     /a/b            (file system 1)
     /a/b/c/d        (file system 2)

Haynes & Noveck              Standards Track                   [Page 79]

RFC 7530                          NFSv4                       March 2015

   The pseudo-file system for this server may be constructed to
   look like:

     /               (placeholder/not exported)
     /a/b            (file system 1)
     /a/b/c/d        (file system 2)

   It is the server's responsibility to present the pseudo-file system
   that is complete to the client.  If the client sends a LOOKUP request
   for the path "/a/b/c/d", the server's response is the filehandle of
   the file system "/a/b/c/d".  In previous versions of the NFS
   protocol, the server would respond with the filehandle of directory
   "/a/b/c/d" within the file system "/a/b".

   The NFS client will be able to determine if it crosses a server mount
   point by a change in the value of the "fsid" attribute.

7.8.  Security Policy and Namespace Presentation

   Because NFSv4 clients possess the ability to change the security
   mechanisms used, after determining what is allowed, by using SECINFO
   the server SHOULD NOT present a different view of the namespace based
   on the security mechanism being used by a client.  Instead, it should
   present a consistent view and return NFS4ERR_WRONGSEC if an attempt
   is made to access data with an inappropriate security mechanism.

   If security considerations make it necessary to hide the existence of
   a particular file system, as opposed to all of the data within it,
   the server can apply the security policy of a shared resource in the
   server's namespace to components of the resource's ancestors.  For

       /                       (placeholder/not exported)
       /a/b                    (file system 1)
       /a/b/MySecretProject    (file system 2)

   The /a/b/MySecretProject directory is a real file system and is the
   shared resource.  Suppose the security policy for /a/b/
   MySecretProject is Kerberos with integrity and it is desired to limit
   knowledge of the existence of this file system.  In this case, the
   server should apply the same security policy to /a/b.  This allows
   for knowledge of the existence of a file system to be secured when

   For the case of the use of multiple, disjoint security mechanisms in
   the server's resources, applying that sort of policy would result in
   the higher-level file system not being accessible using any security

Haynes & Noveck              Standards Track                   [Page 80]

RFC 7530                          NFSv4                       March 2015

   flavor.  Therefore, that sort of configuration is not compatible with
   hiding the existence (as opposed to the contents) from clients using
   multiple disjoint sets of security flavors.

   In other circumstances, a desirable policy is for the security of a
   particular object in the server's namespace to include the union of
   all security mechanisms of all direct descendants.  A common and
   convenient practice, unless strong security requirements dictate
   otherwise, is to make the entire pseudo-file system accessible by all
   of the valid security mechanisms.

   Where there is concern about the security of data on the network,
   clients should use strong security mechanisms to access the
   pseudo-file system in order to prevent man-in-the-middle attacks.

8.  Multi-Server Namespace

   NFSv4 supports attributes that allow a namespace to extend beyond the
   boundaries of a single server.  It is RECOMMENDED that clients and
   servers support construction of such multi-server namespaces.  Use of
   such multi-server namespaces is optional, however, and for many
   purposes, single-server namespaces are perfectly acceptable.  Use of
   multi-server namespaces can provide many advantages, however, by
   separating a file system's logical position in a namespace from the
   (possibly changing) logistical and administrative considerations that
   result in particular file systems being located on particular

8.1.  Location Attributes

   NFSv4 contains RECOMMENDED attributes that allow file systems on one
   server to be associated with one or more instances of that file
   system on other servers.  These attributes specify such file system
   instances by specifying a server address target (as either a DNS name
   representing one or more IP addresses, or a literal IP address),
   together with the path of that file system within the associated
   single-server namespace.

   The fs_locations RECOMMENDED attribute allows specification of the
   file system locations where the data corresponding to a given file
   system may be found.

8.2.  File System Presence or Absence

   A given location in an NFSv4 namespace (typically but not necessarily
   a multi-server namespace) can have a number of file system instance
   locations associated with it via the fs_locations attribute.  There
   may also be an actual current file system at that location,

Haynes & Noveck              Standards Track                   [Page 81]

RFC 7530                          NFSv4                       March 2015

   accessible via normal namespace operations (e.g., LOOKUP).  In this
   case, the file system is said to be "present" at that position in the
   namespace, and clients will typically use it, reserving use of
   additional locations specified via the location-related attributes to
   situations in which the principal location is no longer available.

   When there is no actual file system at the namespace location in
   question, the file system is said to be "absent".  An absent file
   system contains no files or directories other than the root.  Any
   reference to it, except to access a small set of attributes useful in
   determining alternative locations, will result in an error,
   NFS4ERR_MOVED.  Note that if the server ever returns the error
   NFS4ERR_MOVED, it MUST support the fs_locations attribute.

   While the error name suggests that we have a case of a file system
   that once was present, and has only become absent later, this is only
   one possibility.  A position in the namespace may be permanently
   absent with the set of file system(s) designated by the location
   attributes being the only realization.  The name NFS4ERR_MOVED
   reflects an earlier, more limited conception of its function, but
   this error will be returned whenever the referenced file system is
   absent, whether it has moved or simply never existed.

   Except in the case of GETATTR-type operations (to be discussed
   later), when the current filehandle at the start of an operation is
   within an absent file system, that operation is not performed and the
   error NFS4ERR_MOVED is returned, to indicate that the file system is
   absent on the current server.

   Because a GETFH cannot succeed if the current filehandle is within an
   absent file system, filehandles within an absent file system cannot
   be transferred to the client.  When a client does have filehandles
   within an absent file system, it is the result of obtaining them when
   the file system was present, and having the file system become absent

   It should be noted that because the check for the current filehandle
   being within an absent file system happens at the start of every
   operation, operations that change the current filehandle so that it
   is within an absent file system will not result in an error.  This
   allows such combinations as PUTFH-GETATTR and LOOKUP-GETATTR to be
   used to get attribute information, particularly location attribute
   information, as discussed below.

Haynes & Noveck              Standards Track                   [Page 82]

RFC 7530                          NFSv4                       March 2015

8.3.  Getting Attributes for an Absent File System

   When a file system is absent, most attributes are not available, but
   it is necessary to allow the client access to the small set of
   attributes that are available, and most particularly that which gives
   information about the correct current locations for this file system,

8.3.1.  GETATTR within an Absent File System

   As mentioned above, an exception is made for GETATTR in that
   attributes may be obtained for a filehandle within an absent file
   system.  This exception only applies if the attribute mask contains
   at least the fs_locations attribute bit, which indicates that the
   client is interested in a result regarding an absent file system.  If
   it is not requested, GETATTR will result in an NFS4ERR_MOVED error.

   When a GETATTR is done on an absent file system, the set of supported
   attributes is very limited.  Many attributes, including those that
   are normally REQUIRED, will not be available on an absent file
   system.  In addition to the fs_locations attribute, the following
   attributes SHOULD be available on absent file systems.  In the case
   of RECOMMENDED attributes, they should be available at least to the
   same degree that they are available on present file systems.

   fsid:  This attribute should be provided so that the client can
      determine file system boundaries, including, in particular, the
      boundary between present and absent file systems.  This value must
      be different from any other fsid on the current server and need
      have no particular relationship to fsids on any particular
      destination to which the client might be directed.

   mounted_on_fileid:  For objects at the top of an absent file system,
      this attribute needs to be available.  Since the fileid is within
      the present parent file system, there should be no need to
      reference the absent file system to provide this information.

   Other attributes SHOULD NOT be made available for absent file
   systems, even when it is possible to provide them.  The server should
   not assume that more information is always better and should avoid
   gratuitously providing additional information.

   When a GETATTR operation includes a bitmask for the attribute
   fs_locations, but where the bitmask includes attributes that are not
   supported, GETATTR will not return an error but will return the mask
   of the actual attributes supported with the results.

Haynes & Noveck              Standards Track                   [Page 83]

RFC 7530                          NFSv4                       March 2015

   Handling of VERIFY/NVERIFY is similar to GETATTR in that if the
   attribute mask does not include fs_locations the error NFS4ERR_MOVED
   will result.  It differs in that any appearance in the attribute mask
   of an attribute not supported for an absent file system (and note
   that this will include some normally REQUIRED attributes) will also
   cause an NFS4ERR_MOVED result.

8.3.2.  READDIR and Absent File Systems

   A READDIR performed when the current filehandle is within an absent
   file system will result in an NFS4ERR_MOVED error, since, unlike the
   case of GETATTR, no such exception is made for READDIR.

   Attributes for an absent file system may be fetched via a READDIR for
   a directory in a present file system, when that directory contains
   the root directories of one or more absent file systems.  In this
   case, the handling is as follows:

   o  If the attribute set requested includes fs_locations, then the
      fetching of attributes proceeds normally, and no NFS4ERR_MOVED
      indication is returned even when the rdattr_error attribute is

   o  If the attribute set requested does not include fs_locations, then
      if the rdattr_error attribute is requested, each directory entry
      for the root of an absent file system will report NFS4ERR_MOVED as
      the value of the rdattr_error attribute.

   o  If the attribute set requested does not include either of the
      attributes fs_locations or rdattr_error, then the occurrence of
      the root of an absent file system within the directory will result
      in the READDIR failing with an NFS4ERR_MOVED error.

   o  The unavailability of an attribute because of a file system's
      absence, even one that is ordinarily REQUIRED, does not result in
      any error indication.  The set of attributes returned for the root
      directory of the absent file system in that case is simply
      restricted to those actually available.

8.4.  Uses of Location Information

   The location-bearing attribute of fs_locations provides, together
   with the possibility of absent file systems, a number of important
   facilities in providing reliable, manageable, and scalable data

Haynes & Noveck              Standards Track                   [Page 84]

RFC 7530                          NFSv4                       March 2015

   When a file system is present, these attributes can provide
   alternative locations, to be used to access the same data, in the
   event of server failures, communications problems, or other
   difficulties that make continued access to the current file system
   impossible or otherwise impractical.  Under some circumstances,
   multiple alternative locations may be used simultaneously to provide
   higher-performance access to the file system in question.  Provision
   of such alternative locations is referred to as "replication",
   although there are cases in which replicated sets of data are not in
   fact present and the replicas are instead different paths to the same

   When a file system is present and subsequently becomes absent,
   clients can be given the opportunity to have continued access to
   their data, at an alternative location.  Transfer of the file system
   contents to the new location is referred to as "migration".  See
   Section 8.4.2 for details.

   Alternative locations may be physical replicas of the file system
   data or alternative communication paths to the same server or, in the
   case of various forms of server clustering, another server providing
   access to the same physical file system.  The client's
   responsibilities in dealing with this transition depend on the
   specific nature of the new access path as well as how and whether
   data was in fact migrated.  These issues will be discussed in detail

   Where a file system was not previously present, specification of file
   system location provides a means by which file systems located on one
   server can be associated with a namespace defined by another server,
   thus allowing a general multi-server namespace facility.  A
   designation of such a location, in place of an absent file system, is
   called a "referral".

   Because client support for location-related attributes is OPTIONAL, a
   server may (but is not required to) take action to hide migration and
   referral events from such clients, by acting as a proxy, for example.

8.4.1.  File System Replication

   The fs_locations attribute provides alternative locations, to be used
   to access data in place of, or in addition to, the current file
   system instance.  On first access to a file system, the client should
   obtain the value of the set of alternative locations by interrogating
   the fs_locations attribute.

Haynes & Noveck              Standards Track                   [Page 85]

RFC 7530                          NFSv4                       March 2015

   In the event that server failures, communications problems, or other
   difficulties make continued access to the current file system
   impossible or otherwise impractical, the client can use the
   alternative locations as a way to get continued access to its data.
   Multiple locations may be used simultaneously, to provide higher
   performance through the exploitation of multiple paths between client
   and target file system.

   Multiple server addresses, whether they are derived from a single
   entry with a DNS name representing a set of IP addresses or from
   multiple entries each with its own server address, may correspond to
   the same actual server.

8.4.2.  File System Migration

   When a file system is present and becomes absent, clients can be
   given the opportunity to have continued access to their data, at an
   alternative location, as specified by the fs_locations attribute.
   Typically, a client will be accessing the file system in question,
   get an NFS4ERR_MOVED error, and then use the fs_locations attribute
   to determine the new location of the data.

   Such migration can be helpful in providing load balancing or general
   resource reallocation.  The protocol does not specify how the file
   system will be moved between servers.  It is anticipated that a
   number of different server-to-server transfer mechanisms might be
   used, with the choice left to the server implementer.  The NFSv4
   protocol specifies the method used to communicate the migration event
   between client and server.

   When an alternative location is designated as the target for
   migration, it must designate the same data.  Where file systems are
   writable, a change made on the original file system must be visible
   on all migration targets.  Where a file system is not writable but
   represents a read-only copy (possibly periodically updated) of a
   writable file system, similar requirements apply to the propagation
   of updates.  Any change visible in the original file system must
   already be effected on all migration targets, to avoid any
   possibility that a client, in effecting a transition to the migration
   target, will see any reversion in file system state.

8.4.3.  Referrals

   Referrals provide a way of placing a file system in a location within
   the namespace essentially without respect to its physical location on
   a given server.  This allows a single server or a set of servers to
   present a multi-server namespace that encompasses file systems

Haynes & Noveck              Standards Track                   [Page 86]

RFC 7530                          NFSv4                       March 2015

   located on multiple servers.  Some likely uses of this include
   establishment of site-wide or organization-wide namespaces, or even
   knitting such together into a truly global namespace.

   Referrals occur when a client determines, upon first referencing a
   position in the current namespace, that it is part of a new file
   system and that the file system is absent.  When this occurs,
   typically by receiving the error NFS4ERR_MOVED, the actual location
   or locations of the file system can be determined by fetching the
   fs_locations attribute.

   The location-related attribute may designate a single file system
   location or multiple file system locations, to be selected based on
   the needs of the client.

   Use of multi-server namespaces is enabled by NFSv4 but is not
   required.  The use of multi-server namespaces and their scope will
   depend on the applications used and system administration

   Multi-server namespaces can be established by a single server
   providing a large set of referrals to all of the included file
   systems.  Alternatively, a single multi-server namespace may be
   administratively segmented with separate referral file systems (on
   separate servers) for each separately administered portion of the
   namespace.  The top-level referral file system or any segment may use
   replicated referral file systems for higher availability.

   Generally, multi-server namespaces are for the most part uniform, in
   that the same data made available to one client at a given location
   in the namespace is made available to all clients at that location.

8.5.  Location Entries and Server Identity

   As mentioned above, a single location entry may have a server address
   target in the form of a DNS name that may represent multiple IP
   addresses, while multiple location entries may have their own server
   address targets that reference the same server.

   When multiple addresses for the same server exist, the client may
   assume that for each file system in the namespace of a given server
   network address, there exist file systems at corresponding namespace
   locations for each of the other server network addresses.  It may do
   this even in the absence of explicit listing in fs_locations.  Such
   corresponding file system locations can be used as alternative
   locations, just as those explicitly specified via the fs_locations

Haynes & Noveck              Standards Track                   [Page 87]

RFC 7530                          NFSv4                       March 2015

   If a single location entry designates multiple server IP addresses,
   the client should choose a single one to use.  When two server
   addresses are designated by a single location entry and they
   correspond to different servers, this normally indicates some sort of
   misconfiguration, and so the client should avoid using such location
   entries when alternatives are available.  When they are not, clients
   should pick one of the IP addresses and use it, without using others
   that are not directed to the same server.

8.6.  Additional Client-Side Considerations

   When clients make use of servers that implement referrals,
   replication, and migration, care should be taken that a user who
   mounts a given file system that includes a referral or a relocated
   file system continues to see a coherent picture of that user-side
   file system despite the fact that it contains a number of server-side
   file systems that may be on different servers.

   One important issue is upward navigation from the root of a
   server-side file system to its parent (specified as ".." in UNIX), in
   the case in which it transitions to that file system as a result of
   referral, migration, or a transition as a result of replication.
   When the client is at such a point, and it needs to ascend to the
   parent, it must go back to the parent as seen within the multi-server
   namespace rather than sending a LOOKUPP operation to the server,
   which would result in the parent within that server's single-server
   namespace.  In order to do this, the client needs to remember the
   filehandles that represent such file system roots and use these
   instead of issuing a LOOKUPP operation to the current server.  This
   will allow the client to present to applications a consistent
   namespace, where upward navigation and downward navigation are

   Another issue concerns refresh of referral locations.  When referrals
   are used extensively, they may change as server configurations
   change.  It is expected that clients will cache information related
   to traversing referrals so that future client-side requests are
   resolved locally without server communication.  This is usually
   rooted in client-side name lookup caching.  Clients should
   periodically purge this data for referral points in order to detect
   changes in location information.

   A potential problem exists if a client were to allow an open-owner to
   have state on multiple file systems on a server, in that it is
   unclear how the sequence numbers associated with open-owners are to
   be dealt with, in the event of transparent state migration.  A client
   can avoid such a situation if it ensures that any use of an
   open-owner is confined to a single file system.

Haynes & Noveck              Standards Track                   [Page 88]

RFC 7530                          NFSv4                       March 2015

   A server MAY decline to migrate state associated with open-owners
   that span multiple file systems.  In cases in which the server
   chooses not to migrate such state, the server MUST return
   NFS4ERR_BAD_STATEID when the client uses those stateids on the new

   The server MUST return NFS4ERR_STALE_STATEID when the client uses
   those stateids on the old server, regardless of whether migration has
   occurred or not.

8.7.  Effecting File System Referrals

   Referrals are effected when an absent file system is encountered and
   one or more alternative locations are made available by the
   fs_locations attribute.  The client will typically get an
   NFS4ERR_MOVED error, fetch the appropriate location information, and
   proceed to access the file system on a different server, even though
   it retains its logical position within the original namespace.
   Referrals differ from migration events in that they happen only when
   the client has not previously referenced the file system in question
   (so there is nothing to transition).  Referrals can only come into
   effect when an absent file system is encountered at its root.

   The examples given in the sections below are somewhat artificial in
   that an actual client will not typically do a multi-component lookup
   but will have cached information regarding the upper levels of the
   name hierarchy.  However, these example are chosen to make the
   required behavior clear and easy to put within the scope of a small
   number of requests, without getting unduly into details of how
   specific clients might choose to cache things.

8.7.1.  Referral Example (LOOKUP)

   Let us suppose that the following COMPOUND is sent in an environment
   in which /this/is/the/path is absent from the target server.  This
   may be for a number of reasons.  It may be the case that the file
   system has moved, or it may be the case that the target server is
   functioning mainly, or solely, to refer clients to the servers on
   which various file systems are located.

Haynes & Noveck              Standards Track                   [Page 89]

RFC 7530                          NFSv4                       March 2015


   o  LOOKUP "this"

   o  LOOKUP "is"

   o  LOOKUP "the"

   o  LOOKUP "path"

   o  GETFH

   o  GETATTR(fsid, fileid, size, time_modify)

   Under the given circumstances, the following will be the result:

   o  PUTROOTFH --> NFS_OK.  The current fh is now the root of the

   o  LOOKUP "this" --> NFS_OK.  The current fh is for /this and is
      within the pseudo-fs.

   o  LOOKUP "is" --> NFS_OK.  The current fh is for /this/is and is
      within the pseudo-fs.

   o  LOOKUP "the" --> NFS_OK.  The current fh is for /this/is/the and
      is within the pseudo-fs.

   o  LOOKUP "path" --> NFS_OK.  The current fh is for /this/is/the/path
      and is within a new, absent file system, but ... the client will
      never see the value of that fh.

   o  GETFH --> NFS4ERR_MOVED.  Fails, because the current fh is in an
      absent file system at the start of the operation and the
      specification makes no exception for GETFH.

   o  GETATTR(fsid, fileid, size, time_modify).  Not executed, because
      the failure of the GETFH stops the processing of the COMPOUND.

   Given the failure of the GETFH, the client has the job of determining
   the root of the absent file system and where to find that file
   system, i.e., the server and path relative to that server's root fh.
   Note here that in this example, the client did not obtain filehandles
   and attribute information (e.g., fsid) for the intermediate
   directories, so that it would not be sure where the absent file
   system starts.  It could be the case, for example, that /this/is/the
   is the root of the moved file system and that the reason that the
   lookup of "path" succeeded is that the file system was not absent on

Haynes & Noveck              Standards Track                   [Page 90]

RFC 7530                          NFSv4                       March 2015

   that operation but was moved between the last LOOKUP and the GETFH
   (since COMPOUND is not atomic).  Even if we had the fsids for all of
   the intermediate directories, we could have no way of knowing that
   /this/is/the/path was the root of a new file system, since we don't
   yet have its fsid.

   In order to get the necessary information, let us re-send the chain
   of LOOKUPs with GETFHs and GETATTRs to at least get the fsids so we
   can be sure where the appropriate file system boundaries are.  The
   client could choose to get fs_locations at the same time, but in most
   cases the client will have a good guess as to where the file system
   boundaries are (because of where NFS4ERR_MOVED was, and was not,
   received), making the fetching of fs_locations unnecessary.


   -  The current fh is at the root of the pseudo-fs.

   OP02:  GETATTR(fsid) --> NFS_OK

   -  Just for completeness.  Normally, clients will know the fsid of
      the pseudo-fs as soon as they establish communication with a

   OP03:  LOOKUP "this" --> NFS_OK

   OP04:  GETATTR(fsid) --> NFS_OK

   -  Get the current fsid to see where the file system boundaries are.
      The fsid will be that for the pseudo-fs in this example, so no

   OP05:  GETFH --> NFS_OK

   -  The current fh is for /this and is within the pseudo-fs.

   OP06:  LOOKUP "is" --> NFS_OK

   -  The current fh is for /this/is and is within the pseudo-fs.

   OP07:  GETATTR(fsid) --> NFS_OK

   -  Get the current fsid to see where the file system boundaries are.
      The fsid will be that for the pseudo-fs in this example, so no

Haynes & Noveck              Standards Track                   [Page 91]

RFC 7530                          NFSv4                       March 2015

   OP08:  GETFH --> NFS_OK

   -  The current fh is for /this/is and is within the pseudo-fs.

   OP09:  LOOKUP "the" --> NFS_OK

   -  The current fh is for /this/is/the and is within the pseudo-fs.

   OP10:  GETATTR(fsid) --> NFS_OK

   -  Get the current fsid to see where the file system boundaries are.
      The fsid will be that for the pseudo-fs in this example, so no

   OP11:  GETFH --> NFS_OK

   -  The current fh is for /this/is/the and is within the pseudo-fs.

   OP12:  LOOKUP "path" --> NFS_OK

   -  The current fh is for /this/is/the/path and is within a new,
      absent file system, but ...

   -  The client will never see the value of that fh.

   OP13:  GETATTR(fsid, fs_locations) --> NFS_OK

   -  We are getting the fsid to know where the file system boundaries
      are.  In this operation, the fsid will be different than that of
      the parent directory (which in turn was retrieved in OP10).  Note
      that the fsid we are given will not necessarily be preserved at
      the new location.  That fsid might be different, and in fact the
      fsid we have for this file system might be a valid fsid of a
      different file system on that new server.

   -  In this particular case, we are pretty sure anyway that what has
      moved is /this/is/the/path rather than /this/is/the since we have
      the fsid of the latter and it is that of the pseudo-fs, which
      presumably cannot move.  However, in other examples, we might not
      have this kind of information to rely on (e.g., /this/is/the might
      be a non-pseudo-file system separate from /this/is/the/path), so
      we need to have other reliable source information on the boundary
      of the file system that is moved.  If, for example, the file
      system /this/is had moved, we would have a case of migration
      rather than referral, and once the boundaries of the migrated file
      system were clear we could fetch fs_locations.

Haynes & Noveck              Standards Track                   [Page 92]

RFC 7530                          NFSv4                       March 2015

   -  We are fetching fs_locations because the fact that we got an
      NFS4ERR_MOVED at this point means that this is most likely a
      referral and we need the destination.  Even if it is the case that
      /this/is/the is a file system that has migrated, we will still
      need the location information for that file system.


   -  Fails because current fh is in an absent file system at the start
      of the operation, and the specification makes no exception for
      GETFH.  Note that this means the server will never send the client
      a filehandle from within an absent file system.

   Given the above, the client knows where the root of the absent file
   system is (/this/is/the/path) by noting where the change of fsid
   occurred (between "the" and "path").  The fs_locations attribute also
   gives the client the actual location of the absent file system so
   that the referral can proceed.  The server gives the client the bare
   minimum of information about the absent file system so that there
   will be very little scope for problems of conflict between
   information sent by the referring server and information of the file
   system's home.  No filehandles and very few attributes are present on
   the referring server, and the client can treat those it receives as
   transient information with the function of enabling the referral.

8.7.2.  Referral Example (READDIR)

   Another context in which a client may encounter referrals is when it
   does a READDIR on a directory in which some of the subdirectories are
   the roots of absent file systems.

   Suppose such a directory is read as follows:


   o  LOOKUP "this"

   o  LOOKUP "is"

   o  LOOKUP "the"

   o  READDIR(fsid, size, time_modify, mounted_on_fileid)

Haynes & Noveck              Standards Track                   [Page 93]

RFC 7530                          NFSv4                       March 2015

   In this case, because rdattr_error is not requested, fs_locations is
   not requested, and some of the attributes cannot be provided, the
   result will be an NFS4ERR_MOVED error on the READDIR, with the
   detailed results as follows:

   o  PUTROOTFH --> NFS_OK.  The current fh is at the root of the

   o  LOOKUP "this" --> NFS_OK.  The current fh is for /this and is
      within the pseudo-fs.

   o  LOOKUP "is" --> NFS_OK.  The current fh is for /this/is and is
      within the pseudo-fs.

   o  LOOKUP "the" --> NFS_OK.  The current fh is for /this/is/the and
      is within the pseudo-fs.

   o  READDIR(fsid, size, time_modify, mounted_on_fileid) -->
      NFS4ERR_MOVED.  Note that the same error would have been returned
      if /this/is/the had migrated, but it is returned because the
      directory contains the root of an absent file system.

   So now suppose that we re-send with rdattr_error:


   o  LOOKUP "this"

   o  LOOKUP "is"

   o  LOOKUP "the"

   o  READDIR(rdattr_error, fsid, size, time_modify, mounted_on_fileid)

   The results will be:

   o  PUTROOTFH --> NFS_OK.  The current fh is at the root of the

   o  LOOKUP "this" --> NFS_OK.  The current fh is for /this and is
      within the pseudo-fs.

   o  LOOKUP "is" --> NFS_OK.  The current fh is for /this/is and is
      within the pseudo-fs.

   o  LOOKUP "the" --> NFS_OK.  The current fh is for /this/is/the and
      is within the pseudo-fs.

Haynes & Noveck              Standards Track                   [Page 94]

RFC 7530                          NFSv4                       March 2015

   o  READDIR(rdattr_error, fsid, size, time_modify, mounted_on_fileid)
      --> NFS_OK.  The attributes for the directory entry with the
      component named "path" will only contain rdattr_error with the
      value NFS4ERR_MOVED, together with an fsid value and a value for

   So suppose we do another READDIR to get fs_locations (although we
   could have used a GETATTR directly, as in Section 8.7.1):


   o  LOOKUP "this"

   o  LOOKUP "is"

   o  LOOKUP "the"

   o  READDIR(rdattr_error, fs_locations, mounted_on_fileid, fsid, size,

   The results would be:

   o  PUTROOTFH --> NFS_OK.  The current fh is at the root of the

   o  LOOKUP "this" --> NFS_OK.  The current fh is for /this and is
      within the pseudo-fs.

   o  LOOKUP "is" --> NFS_OK.  The current fh is for /this/is and is
      within the pseudo-fs.

   o  LOOKUP "the" --> NFS_OK.  The current fh is for /this/is/the and
      is within the pseudo-fs.

   o  READDIR(rdattr_error, fs_locations, mounted_on_fileid, fsid, size,
      time_modify) --> NFS_OK.  The attributes will be as shown below.

   The attributes for the directory entry with the component named
   "path" will only contain:

   o  rdattr_error (value: NFS_OK)

   o  fs_locations

   o  mounted_on_fileid (value: unique fileid within referring file

   o  fsid (value: unique value within referring server)

Haynes & Noveck              Standards Track                   [Page 95]

RFC 7530                          NFSv4                       March 2015

   The attributes for entry "path" will not contain size or time_modify,
   because these attributes are not available within an absent file

8.8.  The Attribute fs_locations

   The fs_locations attribute is defined by both fs_location4
   (Section 2.2.6) and fs_locations4 (Section 2.2.7).  It is used to
   represent the location of a file system by providing a server name
   and the path to the root of the file system within that server's
   namespace.  When a set of servers have corresponding file systems at
   the same path within their namespaces, an array of server names may
   be provided.  An entry in the server array is a UTF-8 string and
   represents one of a traditional DNS host name, IPv4 address, IPv6
   address, or a zero-length string.  A zero-length string SHOULD be
   used to indicate the current address being used for the RPC.  It is
   not a requirement that all servers that share the same rootpath be
   listed in one fs_location4 instance.  The array of server names is
   provided for convenience.  Servers that share the same rootpath may
   also be listed in separate fs_location4 entries in the fs_locations

   The fs_locations4 data type and fs_locations attribute contain an
   array of such locations.  Since the namespace of each server may be
   constructed differently, the fs_root field is provided.  The path
   represented by the fs_root represents the location of the file system
   in the current server's namespace, i.e., that of the server from
   which the fs_locations attribute was obtained.  The fs_root path is
   meant to aid the client by clearly referencing the root of the file
   system whose locations are being reported, no matter what object
   within the current file system the current filehandle designates.
   The fs_root is simply the pathname the client used to reach the
   object on the current server (i.e., the object to which the
   fs_locations attribute applies).

   When the fs_locations attribute is interrogated and there are no
   alternative file system locations, the server SHOULD return a
   zero-length array of fs_location4 structures, together with a
   valid fs_root.

   As an example, suppose there is a replicated file system located at
   two servers (servA and servB).  At servA, the file system is located
   at path /a/b/c.  At servB, the file system is located at path /x/y/z.
   If the client were to obtain the fs_locations value for the directory
   at /a/b/c/d, it might not necessarily know that the file system's
   root is located in servA's namespace at /a/b/c.  When the client
   switches to servB, it will need to determine that the directory it
   first referenced at servA is now represented by the path /x/y/z/d

Haynes & Noveck              Standards Track                   [Page 96]

RFC 7530                          NFSv4                       March 2015

   on servB.  To facilitate this, the fs_locations attribute provided by
   servA would have an fs_root value of /a/b/c and two entries in
   fs_locations.  One entry in fs_locations will be for itself (servA),
   and the other will be for servB with a path of /x/y/z.  With this
   information, the client is able to substitute /x/y/z for /a/b/c at
   the beginning of its access path and construct /x/y/z/d to use for
   the new server.

   Note that there is no requirement that the number of components in
   each rootpath be the same; there is no relation between the number of
   components in the rootpath or fs_root, and none of the components in
   each rootpath and fs_root have to be the same.  In the above example,
   we could have had a third element in the locations array, with server
   equal to "servC" and rootpath equal to "/I/II", and a fourth element
   in the locations array, with server equal to "servD" and rootpath
   equal to "/aleph/beth/gimel/daleth/he".

   The relationship between an fs_root and a rootpath is that the client
   replaces the pathname indicated in the fs_root for the current server
   for the substitute indicated in the rootpath for the new server.

   For an example of a referred or migrated file system, suppose there
   is a file system located at serv1.  At serv1, the file system is
   located at /az/buky/vedi/glagoli.  The client finds that the object
   at glagoli has migrated (or is a referral).  The client gets the
   fs_locations attribute, which contains an fs_root of /az/buky/vedi/
   glagoli, and one element in the locations array, with server equal to
   serv2, and rootpath equal to /izhitsa/fita.  The client replaces
   /az/buky/vedi/glagoli with /izhitsa/fita and uses the latter pathname
   on serv2.

   Thus, the server MUST return an fs_root that is equal to the path the
   client used to reach the object to which the fs_locations attribute
   applies.  Otherwise, the client cannot determine the new path to use
   on the new server.

Haynes & Noveck              Standards Track                   [Page 97]

RFC 7530                          NFSv4                       March 2015

9.  File Locking and Share Reservations

   Integrating locking into the NFS protocol necessarily causes it to be
   stateful.  With the inclusion of share reservations, the protocol
   becomes substantially more dependent on state than the traditional
   combination of NFS and NLM (Network Lock Manager) [xnfs].  There are
   three components to making this state manageable:

   o  clear division between client and server

   o  ability to reliably detect inconsistency in state between client
      and server

   o  simple and robust recovery mechanisms

   In this model, the server owns the state information.  The client
   requests changes in locks, and the server responds with the changes
   made.  Non-client-initiated changes in locking state are infrequent.
   The client receives prompt notification of such changes and can
   adjust its view of the locking state to reflect the server's changes.

   Individual pieces of state created by the server and passed to the
   client at its request are represented by 128-bit stateids.  These
   stateids may represent a particular open file, a set of byte-range
   locks held by a particular owner, or a recallable delegation of
   privileges to access a file in particular ways or at a particular

   In all cases, there is a transition from the most general information
   that represents a client as a whole to the eventual lightweight
   stateid used for most client and server locking interactions.  The
   details of this transition will vary with the type of object, but it
   always starts with a client ID.

   To support Win32 share reservations, it is necessary to atomically
   OPEN or CREATE files and apply the appropriate locks in the same
   operation.  Having a separate share/unshare operation would not allow
   correct implementation of the Win32 OpenFile API.  In order to
   correctly implement share semantics, the previous NFS protocol
   mechanisms used when a file is opened or created (LOOKUP, CREATE,
   ACCESS) need to be replaced.  The NFSv4 protocol has an OPEN
   operation that subsumes the NFSv3 methodology of LOOKUP, CREATE, and
   ACCESS.  However, because many operations require a filehandle, the
   traditional LOOKUP is preserved to map a filename to a filehandle
   without establishing state on the server.  The policy of granting
   access or modifying files is managed by the server based on the
   client's state.  These mechanisms can implement policy ranging from
   advisory only locking to full mandatory locking.

Haynes & Noveck              Standards Track                   [Page 98]

RFC 7530                          NFSv4                       March 2015

9.1.  Opens and Byte-Range Locks

   It is assumed that manipulating a byte-range lock is rare when
   compared to READ and WRITE operations.  It is also assumed that
   server restarts and network partitions are relatively rare.
   Therefore, it is important that the READ and WRITE operations have a
   lightweight mechanism to indicate if they possess a held lock.  A
   byte-range lock request contains the heavyweight information required
   to establish a lock and uniquely define the owner of the lock.

   The following sections describe the transition from the heavyweight
   information to the eventual stateid used for most client and server
   locking and lease interactions.

9.1.1.  Client ID

   For each LOCK request, the client must identify itself to the server.
   This is done in such a way as to allow for correct lock
   identification and crash recovery.  A sequence of a SETCLIENTID
   operation followed by a SETCLIENTID_CONFIRM operation is required to
   establish the identification onto the server.  Establishment of
   identification by a new incarnation of the client also has the effect
   of immediately breaking any leased state that a previous incarnation
   of the client might have had on the server, as opposed to forcing the
   new client incarnation to wait for the leases to expire.  Breaking
   the lease state amounts to the server removing all lock, share
   reservation, and, where the server is not supporting the
   CLAIM_DELEGATE_PREV claim type, all delegation state associated with
   the same client with the same identity.  For a discussion of
   delegation state recovery, see Section 10.2.1.

   Owners of opens and owners of byte-range locks are separate entities
   and remain separate even if the same opaque arrays are used to
   designate owners of each.  The protocol distinguishes between
   open-owners (represented by open_owner4 structures) and lock-owners
   (represented by lock_owner4 structures).

   Both sorts of owners consist of a clientid and an opaque owner
   string.  For each client, the set of distinct owner values used with
   that client constitutes the set of owners of that type, for the given

   Each open is associated with a specific open-owner, while each
   byte-range lock is associated with a lock-owner and an open-owner,
   the latter being the open-owner associated with the open file under
   which the LOCK operation was done.

Haynes & Noveck              Standards Track                   [Page 99]

RFC 7530                          NFSv4                       March 2015

   Client identification is encapsulated in the following structure:

   struct nfs_client_id4 {
           verifier4       verifier;
           opaque          id<NFS4_OPAQUE_LIMIT>;

   The first field, verifier, is a client incarnation verifier that is
   used to detect client reboots.  Only if the verifier is different
   from that which the server has previously recorded for the client (as
   identified by the second field of the structure, id) does the server
   start the process of canceling the client's leased state.

   The second field, id, is a variable-length string that uniquely
   defines the client.

   There are several considerations for how the client generates the id

   o  The string should be unique so that multiple clients do not
      present the same string.  The consequences of two clients
      presenting the same string range from one client getting an error
      to one client having its leased state abruptly and unexpectedly

   o  The string should be selected so the subsequent incarnations
      (e.g., reboots) of the same client cause the client to present the
      same string.  The implementer is cautioned against an approach
      that requires the string to be recorded in a local file because
      this precludes the use of the implementation in an environment
      where there is no local disk and all file access is from an NFSv4

   o  The string should be different for each server network address
      that the client accesses, rather than common to all server network
      addresses.  The reason is that it may not be possible for the
      client to tell if the same server is listening on multiple network
      addresses.  If the client issues SETCLIENTID with the same id
      string to each network address of such a server, the server will
      think it is the same client, and each successive SETCLIENTID will
      cause the server to begin the process of removing the client's
      previous leased state.

   o  The algorithm for generating the string should not assume that the
      client's network address won't change.  This includes changes
      between client incarnations and even changes while the client is
      still running in its current incarnation.  This means that if the
      client includes just the client's and server's network address in

Haynes & Noveck              Standards Track                  [Page 100]

RFC 7530                          NFSv4                       March 2015

      the id string, there is a real risk, after the client gives up the
      network address, that another client, using a similar algorithm
      for generating the id string, will generate a conflicting id

   Given the above considerations, an example of a well-generated id
   string is one that includes:

   o  The server's network address.

   o  The client's network address.

   o  For a user-level NFSv4 client, it should contain additional
      information to distinguish the client from other user-level
      clients running on the same host, such as a universally unique
      identifier (UUID).

   o  Additional information that tends to be unique, such as one or
      more of:

      *  The client machine's serial number (for privacy reasons, it is
         best to perform some one-way function on the serial number).

      *  A MAC address (for privacy reasons, it is best to perform some
         one-way function on the MAC address).

      *  The timestamp of when the NFSv4 software was first installed on
         the client (though this is subject to the previously mentioned
         caution about using information that is stored in a file,
         because the file might only be accessible over NFSv4).

      *  A true random number.  However, since this number ought to be
         the same between client incarnations, this shares the same
         problem as that of using the timestamp of the software

   As a security measure, the server MUST NOT cancel a client's leased
   state if the principal that established the state for a given id
   string is not the same as the principal issuing the SETCLIENTID.

   Note that SETCLIENTID (Section 16.33) and SETCLIENTID_CONFIRM
   (Section 16.34) have a secondary purpose of establishing the
   information the server needs to make callbacks to the client for the
   purpose of supporting delegations.  It is permitted to change this
   information via SETCLIENTID and SETCLIENTID_CONFIRM within the same
   incarnation of the client without removing the client's leased state.

Haynes & Noveck              Standards Track                  [Page 101]

RFC 7530                          NFSv4                       March 2015

   Once a SETCLIENTID and SETCLIENTID_CONFIRM sequence has successfully
   completed, the client uses the shorthand client identifier, of type
   clientid4, instead of the longer and less compact nfs_client_id4
   structure.  This shorthand client identifier (a client ID) is
   assigned by the server and should be chosen so that it will not
   conflict with a client ID previously assigned by the server.  This
   applies across server restarts or reboots.  When a client ID is
   presented to a server and that client ID is not recognized, as would
   happen after a server reboot, the server will reject the request with
   the error NFS4ERR_STALE_CLIENTID.  When this happens, the client must
   obtain a new client ID by use of the SETCLIENTID operation and then
   proceed to any other necessary recovery for the server reboot case
   (see Section 9.6.2).

   The client must also employ the SETCLIENTID operation when it
   receives an NFS4ERR_STALE_STATEID error using a stateid derived from
   its current client ID, since this also indicates a server reboot,
   which has invalidated the existing client ID (see Section 9.6.2 for

   See the detailed descriptions of SETCLIENTID (Section 16.33.4) and
   SETCLIENTID_CONFIRM (Section 16.34.4) for a complete specification of
   the operations.

9.1.2.  Server Release of Client ID

   If the server determines that the client holds no associated state
   for its client ID, the server may choose to release the client ID.
   The server may make this choice for an inactive client so that
   resources are not consumed by those intermittently active clients.
   If the client contacts the server after this release, the server must
   ensure that the client receives the appropriate error so that it will
   use the SETCLIENTID/SETCLIENTID_CONFIRM sequence to establish a new
   identity.  It should be clear that the server must be very hesitant
   to release a client ID since the resulting work on the client to
   recover from such an event will be the same burden as if the server
   had failed and restarted.  Typically, a server would not release a
   client ID unless there had been no activity from that client for many

   Note that if the id string in a SETCLIENTID request is properly
   constructed, and if the client takes care to use the same principal
   for each successive use of SETCLIENTID, then, barring an active
   denial-of-service attack, NFS4ERR_CLID_INUSE should never be

Haynes & Noveck              Standards Track                  [Page 102]

RFC 7530                          NFSv4                       March 2015

   However, client bugs, server bugs, or perhaps a deliberate change of
   the principal owner of the id string (such as the case of a client
   that changes security flavors, and under the new flavor there is no
   mapping to the previous owner) will in rare cases result in

   In that event, when the server gets a SETCLIENTID for a client ID
   that currently has no state, or it has state but the lease has
   expired, rather than returning NFS4ERR_CLID_INUSE, the server MUST
   allow the SETCLIENTID and confirm the new client ID if followed by
   the appropriate SETCLIENTID_CONFIRM.

9.1.3.  Use of Seqids

   In several contexts, 32-bit sequence values called "seqids" are used
   as part of managing locking state.  Such values are used:

   o  To provide an ordering of locking-related operations associated
      with a particular lock-owner or open-owner.  See Section 9.1.7 for
      a detailed explanation.

   o  To define an ordered set of instances of a set of locks sharing a
      particular set of ownership characteristics.  See Section
      for a detailed explanation.

   Successive seqid values for the same object are normally arrived at
   by incrementing the current value by one.  This pattern continues
   until the seqid is incremented past NFS4_UINT32_MAX, in which case
   one (rather than zero) is to be the next seqid value.

   When two seqid values are to be compared to determine which of the
   two is later, the possibility of wraparound needs to be considered.
   In many cases, the values are such that simple numeric comparisons
   can be used.  For example, if the seqid values to be compared are
   both less than one million, the higher value can be considered the
   later.  On the other hand, if one of the values is at or near
   NFS_UINT32_MAX and the other is less than one million, then
   implementations can reasonably decide that the lower value has had
   one more wraparound and is thus, while numerically lower, actually

   Implementations can compare seqids in the presence of potential
   wraparound by adopting the reasonable assumption that the chain of
   increments from one to the other is shorter than 2**31.  So, if the
   difference between the two seqids is less than 2**31, then the lower
   seqid is to be treated as earlier.  If, however, the difference

Haynes & Noveck              Standards Track                  [Page 103]

RFC 7530                          NFSv4                       March 2015

   between the two seqids is greater than or equal to 2**31, then it can
   be assumed that the lower seqid has encountered one more wraparound
   and can be treated as later.

9.1.4.  Stateid Definition

   When the server grants a lock of any type (including opens,
   byte-range locks, and delegations), it responds with a unique stateid
   that represents a set of locks (often a single lock) for the same
   file, of the same type, and sharing the same ownership
   characteristics.  Thus, opens of the same file by different
   open-owners each have an identifying stateid.  Similarly, each set of
   byte-range locks on a file owned by a specific lock-owner has its own
   identifying stateid.  Delegations also have associated stateids by
   which they may be referenced.  The stateid is used as a shorthand
   reference to a lock or set of locks, and given a stateid, the server
   can determine the associated state-owner or state-owners (in the case
   of an open-owner/lock-owner pair) and the associated filehandle.
   When stateids are used, the current filehandle must be the one
   associated with that stateid.

   All stateids associated with a given client ID are associated with a
   common lease that represents the claim of those stateids and the
   objects they represent to be maintained by the server.  See
   Section 9.5 for a discussion of the lease.

   Each stateid must be unique to the server.  Many operations take a
   stateid as an argument but not a clientid, so the server must be able
   to infer the client from the stateid.  Stateid Types

   With the exception of special stateids (see Section, each
   stateid represents locking objects of one of a set of types defined
   by the NFSv4 protocol.  Note that in all these cases, where we speak
   of a guarantee, it is understood there are situations such as a
   client restart, or lock revocation, that allow the guarantee to be

   o  Stateids may represent opens of files.

      Each stateid in this case represents the OPEN state for a given
      client ID/open-owner/filehandle triple.  Such stateids are subject
      to change (with consequent incrementing of the stateid's seqid) in
      response to OPENs that result in upgrade and OPEN_DOWNGRADE

Haynes & Noveck              Standards Track                  [Page 104]

RFC 7530                          NFSv4                       March 2015

   o  Stateids may represent sets of byte-range locks.

      All locks held on a particular file by a particular owner and all
      gotten under the aegis of a particular open file are associated
      with a single stateid, with the seqid being incremented whenever
      LOCK and LOCKU operations affect that set of locks.

   o  Stateids may represent file delegations, which are recallable
      guarantees by the server to the client that other clients will not
      reference, or will not modify, a particular file until the
      delegation is returned.

      A stateid represents a single delegation held by a client for a
      particular filehandle.  Stateid Structure

   Stateids are divided into two fields: a 96-bit "other" field
   identifying the specific set of locks and a 32-bit "seqid" sequence
   value.  Except in the case of special stateids (see Section,
   a particular value of the "other" field denotes a set of locks of the
   same type (for example, byte-range locks, opens, or delegations), for
   a specific file or directory, and sharing the same ownership
   characteristics.  The seqid designates a specific instance of such a
   set of locks, and is incremented to indicate changes in such a set of
   locks, by either the addition or deletion of locks from the set, a
   change in the byte-range they apply to, or an upgrade or downgrade in
   the type of one or more locks.

   When such a set of locks is first created, the server returns a
   stateid with a seqid value of one.  On subsequent operations that
   modify the set of locks, the server is required to advance the
   seqid field by one whenever it returns a stateid for the same
   state-owner/file/type combination and the operation is one that might
   make some change in the set of locks actually designated.  In this
   case, the server will return a stateid with an "other" field the same
   as previously used for that state-owner/file/type combination, with
   an incremented seqid field.

   Seqids will be compared, by both the client and the server.  The
   client uses such comparisons to determine the order of operations,
   while the server uses them to determine whether the
   NFS4ERR_OLD_STATEID error is to be returned.  In all cases, the
   possibility of seqid wraparound needs to be taken into account, as
   discussed in Section 9.1.3.

Haynes & Noveck              Standards Track                  [Page 105]

RFC 7530                          NFSv4                       March 2015  Special Stateids

   Stateid values whose "other" field is either all zeros or all ones
   are reserved.  They MUST NOT be assigned by the server but have
   special meanings defined by the protocol.  The particular meaning
   depends on whether the "other" field is all zeros or all ones and the
   specific value of the seqid field.

   The following combinations of "other" and seqid are defined in NFSv4:

   Anonymous Stateid:  When "other" and seqid are both zero, the stateid
      is treated as a special anonymous stateid, which can be used in
      READ, WRITE, and SETATTR requests to indicate the absence of any
      open state associated with the request.  When an anonymous stateid
      value is used, and an existing open denies the form of access
      requested, then access will be denied to the request.

   READ Bypass Stateid:  When "other" and seqid are both all ones, the
      stateid is a special READ bypass stateid.  When this value is used
      in WRITE or SETATTR, it is treated like the anonymous value.  When
      used in READ, the server MAY grant access, even if access would
      normally be denied to READ requests.

   If a stateid value is used that has all zeros or all ones in the
   "other" field but does not match one of the cases above, the server
   MUST return the error NFS4ERR_BAD_STATEID.

   Special stateids, unlike other stateids, are not associated with
   individual client IDs or filehandles and can be used with all valid
   client IDs and filehandles.  Stateid Lifetime and Validation

   Stateids must remain valid until either a client restart or a server
   restart, or until the client returns all of the locks associated with
   the stateid by means of an operation such as CLOSE or DELEGRETURN.
   If the locks are lost due to revocation, as long as the client ID is
   valid, the stateid remains a valid designation of that revoked state.
   Stateids associated with byte-range locks are an exception.  They
   remain valid even if a LOCKU frees all remaining locks, so long as
   the open file with which they are associated remains open.

   It should be noted that there are situations in which the client's
   locks become invalid, without the client requesting they be returned.
   These include lease expiration and a number of forms of lock
   revocation within the lease period.  It is important to note that in
   these situations, the stateid remains valid and the client can use it
   to determine the disposition of the associated lost locks.

Haynes & Noveck              Standards Track                  [Page 106]

RFC 7530                          NFSv4                       March 2015

   An "other" value must never be reused for a different purpose (i.e.,
   different filehandle, owner, or type of locks) within the context of
   a single client ID.  A server may retain the "other" value for the
   same purpose beyond the point where it may otherwise be freed, but if
   it does so, it must maintain seqid continuity with previous values.

   One mechanism that may be used to satisfy the requirement that the
   server recognize invalid and out-of-date stateids is for the server
   to divide the "other" field of the stateid into two fields:

   o  An index into a table of locking-state structures.

   o  A generation number that is incremented on each allocation of a
      table entry for a particular use.

   And then store the following in each table entry:

   o  The client ID with which the stateid is associated.

   o  The current generation number for the (at most one) valid stateid
      sharing this index value.

   o  The filehandle of the file on which the locks are taken.

   o  An indication of the type of stateid (open, byte-range lock, file

   o  The last seqid value returned corresponding to the current "other"

   o  An indication of the current status of the locks associated with
      this stateid -- in particular, whether these have been revoked
      and, if so, for what reason.

   With this information, an incoming stateid can be validated and the
   appropriate error returned when necessary.  Special and non-special
   stateids are handled separately.  (See Section for a
   discussion of special stateids.)

   When a stateid is being tested, and the "other" field is all zeros or
   all ones, a check that the "other" and seqid fields match a defined
   combination for a special stateid is done and the results determined
   as follows:

   o  If the "other" and seqid fields do not match a defined combination
      associated with a special stateid, the error NFS4ERR_BAD_STATEID
      is returned.

Haynes & Noveck              Standards Track                  [Page 107]

RFC 7530                          NFSv4                       March 2015

   o  If the combination is valid in general but is not appropriate to
      the context in which the stateid is used (e.g., an all-zero
      stateid is used when an open stateid is required in a LOCK
      operation), the error NFS4ERR_BAD_STATEID is also returned.

   o  Otherwise, the check is completed and the special stateid is
      accepted as valid.

   When a stateid is being tested, and the "other" field is neither all
   zeros nor all ones, the following procedure could be used to validate
   an incoming stateid and return an appropriate error, when necessary,
   assuming that the "other" field would be divided into a table index
   and an entry generation.  Note that the terms "earlier" and "later"
   used in connection with seqid comparison are to be understood as
   explained in Section 9.1.3.

   o  If the table index field is outside the range of the associated
      table, return NFS4ERR_BAD_STATEID.

   o  If the selected table entry is of a different generation than that
      specified in the incoming stateid, return NFS4ERR_BAD_STATEID.

   o  If the selected table entry does not match the current filehandle,
      return NFS4ERR_BAD_STATEID.

   o  If the stateid represents revoked state or state lost as a result
      of lease expiration, then return NFS4ERR_EXPIRED,
      NFS4ERR_BAD_STATEID, or NFS4ERR_ADMIN_REVOKED, as appropriate.

   o  If the stateid type is not valid for the context in which the
      stateid appears, return NFS4ERR_BAD_STATEID.  Note that a stateid
      may be valid in general but invalid for a particular operation,
      as, for example, when a stateid that doesn't represent byte-range
      locks is passed to the non-from_open case of LOCK or to LOCKU, or
      when a stateid that does not represent an open is passed to CLOSE
      or OPEN_DOWNGRADE.  In such cases, the server MUST return

   o  If the seqid field is not zero and it is later than the current
      sequence value corresponding to the current "other" field, return

   o  If the seqid field is earlier than the current sequence value
      corresponding to the current "other" field, return

Haynes & Noveck              Standards Track                  [Page 108]

RFC 7530                          NFSv4                       March 2015

   o  Otherwise, the stateid is valid, and the table entry should
      contain any additional information about the type of stateid and
      information associated with that particular type of stateid, such
      as the associated set of locks (e.g., open-owner and lock-owner
      information), as well as information on the specific locks
      themselves, such as open modes and byte ranges.  Stateid Use for I/O Operations

   Clients performing Input/Output (I/O) operations need to select an
   appropriate stateid based on the locks (including opens and
   delegations) held by the client and the various types of state-owners
   sending the I/O requests.  SETATTR operations that change the file
   size are treated like I/O operations in this regard.

   The following rules, applied in order of decreasing priority, govern
   the selection of the appropriate stateid.  In following these rules,
   the client will only consider locks of which it has actually received
   notification by an appropriate operation response or callback.

   o  If the client holds a delegation for the file in question, the
      delegation stateid SHOULD be used.

   o  Otherwise, if the entity corresponding to the lock-owner (e.g., a
      process) sending the I/O has a byte-range lock stateid for the
      associated open file, then the byte-range lock stateid for that
      lock-owner and open file SHOULD be used.

   o  If there is no byte-range lock stateid, then the OPEN stateid for
      the current open-owner, i.e., the OPEN stateid for the open file
      in question, SHOULD be used.

   o  Finally, if none of the above apply, then a special stateid SHOULD
      be used.

   Ignoring these rules may result in situations in which the server
   does not have information necessary to properly process the request.
   For example, when mandatory byte-range locks are in effect, if the
   stateid does not indicate the proper lock-owner, via a lock stateid,
   a request might be avoidably rejected.

   The server, however, should not try to enforce these ordering rules
   and should use whatever information is available to properly process
   I/O requests.  In particular, when a client has a delegation for a
   given file, it SHOULD take note of this fact in processing a request,
   even if it is sent with a special stateid.

Haynes & Noveck              Standards Track                  [Page 109]

RFC 7530                          NFSv4                       March 2015  Stateid Use for SETATTR Operations

   In the case of SETATTR operations, a stateid is present.  In cases
   other than those that set the file size, the client may send either a
   special stateid or, when a delegation is held for the file in
   question, a delegation stateid.  While the server SHOULD validate the
   stateid and may use the stateid to optimize the determination as to
   whether a delegation is held, it SHOULD note the presence of a
   delegation even when a special stateid is sent, and MUST accept a
   valid delegation stateid when sent.

9.1.5.  Lock-Owner

   When requesting a lock, the client must present to the server the
   client ID and an identifier for the owner of the requested lock.
   These two fields comprise the lock-owner and are defined as follows:

   o  A client ID returned by the server as part of the client's use of
      the SETCLIENTID operation.

   o  A variable-length opaque array used to uniquely define the owner
      of a lock managed by the client.

      This may be a thread id, process id, or other unique value.

   When the server grants the lock, it responds with a unique stateid.
   The stateid is used as a shorthand reference to the lock-owner, since
   the server will be maintaining the correspondence between them.

9.1.6.  Use of the Stateid and Locking

   All READ, WRITE, and SETATTR operations contain a stateid.  For the
   purposes of this section, SETATTR operations that change the size
   attribute of a file are treated as if they are writing the area
   between the old and new size (i.e., the range truncated or added to
   the file by means of the SETATTR), even where SETATTR is not
   explicitly mentioned in the text.  The stateid passed to one of these
   operations must be one that represents an OPEN (e.g., via the
   open-owner), a set of byte-range locks, or a delegation, or it may be
   a special stateid representing anonymous access or the READ bypass

   If the state-owner performs a READ or WRITE in a situation in which
   it has established a lock or share reservation on the server (any
   OPEN constitutes a share reservation), the stateid (previously
   returned by the server) must be used to indicate what locks,
   including both byte-range locks and share reservations, are held by
   the state-owner.  If no state is established by the client -- either

Haynes & Noveck              Standards Track                  [Page 110]

RFC 7530                          NFSv4                       March 2015

   byte-range lock or share reservation -- the anonymous stateid is
   used.  Regardless of whether an anonymous stateid or a stateid
   returned by the server is used, if there is a conflicting share
   reservation or mandatory byte-range lock held on the file, the server
   MUST refuse to service the READ or WRITE operation.

   Share reservations are established by OPEN operations and by their
   nature are mandatory in that when the OPEN denies READ or WRITE
   operations, that denial results in such operations being rejected
   with error NFS4ERR_LOCKED.  Byte-range locks may be implemented by
   the server as either mandatory or advisory, or the choice of
   mandatory or advisory behavior may be determined by the server on the
   basis of the file being accessed (for example, some UNIX-based
   servers support a "mandatory lock bit" on the mode attribute such
   that if set, byte-range locks are required on the file before I/O is
   possible).  When byte-range locks are advisory, they only prevent the
   granting of conflicting lock requests and have no effect on READs or
   WRITEs.  Mandatory byte-range locks, however, prevent conflicting I/O
   operations.  When they are attempted, they are rejected with
   NFS4ERR_LOCKED.  When the client gets NFS4ERR_LOCKED on a file it
   knows it has the proper share reservation for, it will need to issue
   a LOCK request on the region of the file that includes the region the
   I/O was to be performed on, with an appropriate locktype (i.e.,
   READ*_LT for a READ operation, WRITE*_LT for a WRITE operation).

   With NFSv3, there was no notion of a stateid, so there was no way to
   tell if the application process of the client sending the READ or
   WRITE operation had also acquired the appropriate byte-range lock on
   the file.  Thus, there was no way to implement mandatory locking.
   With the stateid construct, this barrier has been removed.

   Note that for UNIX environments that support mandatory file locking,
   the distinction between advisory and mandatory locking is subtle.  In
   fact, advisory and mandatory byte-range locks are exactly the same
   insofar as the APIs and requirements on implementation are concerned.
   If the mandatory lock attribute is set on the file, the server checks
   to see if the lock-owner has an appropriate shared (read) or
   exclusive (write) byte-range lock on the region it wishes to read or
   write to.  If there is no appropriate lock, the server checks if
   there is a conflicting lock (which can be done by attempting to
   acquire the conflicting lock on behalf of the lock-owner and, if
   successful, release the lock after the READ or WRITE is done), and if
   there is, the server returns NFS4ERR_LOCKED.

   For Windows environments, there are no advisory byte-range locks, so
   the server always checks for byte-range locks during I/O requests.

Haynes & Noveck              Standards Track                  [Page 111]

RFC 7530                          NFSv4                       March 2015

   Thus, the NFSv4 LOCK operation does not need to distinguish between
   advisory and mandatory byte-range locks.  It is the NFSv4 server's
   processing of the READ and WRITE operations that introduces the

   Every stateid other than the special stateid values noted in this
   section, whether returned by an OPEN-type operation (i.e., OPEN,
   OPEN_DOWNGRADE) or by a LOCK-type operation (i.e., LOCK or LOCKU),
   defines an access mode for the file (i.e., READ, WRITE, or
   READ-WRITE) as established by the original OPEN that began the
   stateid sequence, and as modified by subsequent OPENs and
   OPEN_DOWNGRADEs within that stateid sequence.  When a READ, WRITE, or
   SETATTR that specifies the size attribute is done, the operation is
   subject to checking against the access mode to verify that the
   operation is appropriate given the OPEN with which the operation is

   In the case of WRITE-type operations (i.e., WRITEs and SETATTRs that
   set size), the server must verify that the access mode allows writing
   and return an NFS4ERR_OPENMODE error if it does not.  In the case of
   READ, the server may perform the corresponding check on the access
   mode, or it may choose to allow READ on opens for WRITE only, to
   accommodate clients whose write implementation may unavoidably do
   reads (e.g., due to buffer cache constraints).  However, even if
   READs are allowed in these circumstances, the server MUST still check
   for locks that conflict with the READ (e.g., another open specifying
   denial of READs).  Note that a server that does enforce the access
   mode check on READs need not explicitly check for conflicting share
   reservations since the existence of OPEN for read access guarantees
   that no conflicting share reservation can exist.

   A READ bypass stateid MAY allow READ operations to bypass locking
   checks at the server.  However, WRITE operations with a READ bypass
   stateid MUST NOT bypass locking checks and are treated exactly the
   same as if an anonymous stateid were used.

   A lock may not be granted while a READ or WRITE operation using one
   of the special stateids is being performed and the range of the lock
   request conflicts with the range of the READ or WRITE operation.  For
   the purposes of this paragraph, a conflict occurs when a shared lock
   is requested and a WRITE operation is being performed, or an
   exclusive lock is requested and either a READ or a WRITE operation is
   being performed.  A SETATTR that sets size is treated similarly to a
   WRITE as discussed above.

Haynes & Noveck              Standards Track                  [Page 112]

RFC 7530                          NFSv4                       March 2015

9.1.7.  Sequencing of Lock Requests

   Locking is different than most NFS operations as it requires
   "at-most-one" semantics that are not provided by ONC RPC.  ONC RPC
   over a reliable transport is not sufficient because a sequence of
   locking requests may span multiple TCP connections.  In the face of
   retransmission or reordering, lock or unlock requests must have a
   well-defined and consistent behavior.  To accomplish this, each lock
   request contains a sequence number that is a consecutively increasing
   integer.  Different state-owners have different sequences.  The
   server maintains the last sequence number (L) received and the
   response that was returned.  The server SHOULD assign a seqid value
   of one for the first request issued for any given state-owner.
   Subsequent values are arrived at by incrementing the seqid value,
   subject to wraparound as described in Section 9.1.3.

   Note that for requests that contain a sequence number, for each
   state-owner, there should be no more than one outstanding request.

   When a request is received, its sequence number (r) is compared to
   that of the last one received (L).  Only if it has the correct next
   sequence, normally L + 1, is the request processed beyond the point
   of seqid checking.  Given a properly functioning client, the response
   to (r) must have been received before the last request (L) was sent.
   If a duplicate of last request (r == L) is received, the stored
   response is returned.  If the sequence value received is any other
   value, it is rejected with the return of error NFS4ERR_BAD_SEQID.
   Sequence history is reinitialized whenever the SETCLIENTID/
   SETCLIENTID_CONFIRM sequence changes the client verifier.

   It is critical that the server maintain the last response sent to the
   client to provide a more reliable cache of duplicate non-idempotent
   requests than that of the traditional cache described in [Chet].  The
   traditional duplicate request cache uses a least recently used
   algorithm for removing unneeded requests.  However, the last lock
   request and response on a given state-owner must be cached as long as
   the lock state exists on the server.

   The client MUST advance the sequence number for the CLOSE, LOCK,
   LOCKU, OPEN, OPEN_CONFIRM, and OPEN_DOWNGRADE operations.  This is
   true even in the event that the previous operation that used the
   sequence number received an error.  The only exception to this rule
   is if the previous operation received one of the following errors:

Haynes & Noveck              Standards Track                  [Page 113]

RFC 7530                          NFSv4                       March 2015

9.1.8.  Recovery from Replayed Requests

   As described above, the sequence number is per state-owner.  As long
   as the server maintains the last sequence number received and follows
   the methods described above, there are no risks of a Byzantine router
   re-sending old requests.  The server need only maintain the
   (state-owner, sequence number) state as long as there are open files
   or closed files with locks outstanding.

   LOCK, LOCKU, OPEN, OPEN_DOWNGRADE, and CLOSE each contain a sequence
   number, and therefore the risk of the replay of these operations
   resulting in undesired effects is non-existent while the server
   maintains the state-owner state.

9.1.9.  Interactions of Multiple Sequence Values

   Some operations may have multiple sources of data for request
   sequence checking and retransmission determination.  Some operations
   have multiple sequence values associated with multiple types of
   state-owners.  In addition, such operations may also have a stateid
   with its own seqid value, that will be checked for validity.

   As noted above, there may be multiple sequence values to check.  The
   following rules should be followed by the server in processing these
   multiple sequence values within a single operation.

   o  When a sequence value associated with a state-owner is unavailable
      for checking because the state-owner is unknown to the server, it
      takes no part in the comparison.

   o  When any of the state-owner sequence values are invalid,
      NFS4ERR_BAD_SEQID is returned.  When a stateid sequence is
      checked, NFS4ERR_BAD_STATEID or NFS4ERR_OLD_STATEID is returned as
      appropriate, but NFS4ERR_BAD_SEQID has priority.

   o  When any one of the sequence values matches a previous request,
      for a state-owner, it is treated as a retransmission and not
      re-executed.  When the type of the operation does not match that
      originally used, NFS4ERR_BAD_SEQID is returned.  When the server
      can determine that the request differs from the original, it may
      return NFS4ERR_BAD_SEQID.

   o  When multiple sequence values match previous operations but the
      operations are not the same, NFS4ERR_BAD_SEQID is returned.

Haynes & Noveck              Standards Track                  [Page 114]

RFC 7530                          NFSv4                       March 2015

   o  When there are no sequence values available for comparison and the
      operation is an OPEN, the server indicates to the client that an
      OPEN_CONFIRM is required, unless it can conclusively determine
      that confirmation is not required (e.g., by knowing that no
      open-owner state has ever been released for the current clientid).

9.1.10.  Releasing State-Owner State

   When a particular state-owner no longer holds open or file locking
   state at the server, the server may choose to release the sequence
   number state associated with the state-owner.  The server may make
   this choice based on lease expiration, the reclamation of server
   memory, or other implementation-specific details.  Note that when
   this is done, a retransmitted request, normally identified by a
   matching state-owner sequence, may not be correctly recognized, so
   that the client will not receive the original response that it would
   have if the state-owner state was not released.

   If the server were able to be sure that a given state-owner would
   never again be used by a client, such an issue could not arise.  Even
   when the state-owner state is released and the client subsequently
   uses that state-owner, retransmitted requests will be detected as
   invalid and the request not executed, although the client may have a
   recovery path that is more complicated than simply getting the
   original response back transparently.

   In any event, the server is able to safely release state-owner state
   (in the sense that retransmitted requests will not be erroneously
   acted upon) when the state-owner is not currently being utilized by
   the client (i.e., there are no open files associated with an
   open-owner and no lock stateids associated with a lock-owner).  The
   server may choose to hold the state-owner state in order to simplify
   the recovery path, in the case in which retransmissions of currently
   active requests are received.  However, the period for which it
   chooses to hold this state is implementation specific.

   In the case that a LOCK, LOCKU, OPEN_DOWNGRADE, or CLOSE is
   retransmitted after the server has previously released the
   state-owner state, the server will find that the state-owner has no
   files open and an error will be returned to the client.  If the
   state-owner does have a file open, the stateid will not match and
   again an error is returned to the client.

Haynes & Noveck              Standards Track                  [Page 115]

RFC 7530                          NFSv4                       March 2015

9.1.11.  Use of Open Confirmation

   In the case that an OPEN is retransmitted and the open-owner is being
   used for the first time or the open-owner state has been previously
   released by the server, the use of the OPEN_CONFIRM operation will
   prevent incorrect behavior.  When the server observes the use of the
   open-owner for the first time, it will direct the client to perform
   the OPEN_CONFIRM for the corresponding OPEN.  This sequence
   establishes the use of an open-owner and associated sequence number.
   Since the OPEN_CONFIRM sequence connects a new open-owner on the
   server with an existing open-owner on a client, the sequence number
   may have any valid (i.e., non-zero) value.  The OPEN_CONFIRM step
   assures the server that the value received is the correct one.  (See
   Section 16.18 for further details.)

   There are a number of situations in which the requirement to confirm
   an OPEN would pose difficulties for the client and server, in that
   they would be prevented from acting in a timely fashion on
   information received, because that information would be provisional,
   subject to deletion upon non-confirmation.  Fortunately, these are
   situations in which the server can avoid the need for confirmation
   when responding to open requests.  The two constraints are:

   o  The server must not bestow a delegation for any open that would
      require confirmation.

   o  The server MUST NOT require confirmation on a reclaim-type open
      (i.e., one specifying claim type CLAIM_PREVIOUS or

   These constraints are related in that reclaim-type opens are the only
   ones in which the server may be required to send a delegation.  For
   CLAIM_NULL, sending the delegation is optional, while for
   CLAIM_DELEGATE_CUR, no delegation is sent.

   Delegations being sent with an open requiring confirmation are
   troublesome because recovering from non-confirmation adds undue
   complexity to the protocol, while requiring confirmation on reclaim-
   type opens poses difficulties in that the inability to resolve the
   status of the reclaim until lease expiration may make it difficult to
   have timely determination of the set of locks being reclaimed (since
   the grace period may expire).

   Requiring open confirmation on reclaim-type opens is avoidable
   because of the nature of the environments in which such opens are
   done.  For CLAIM_PREVIOUS opens, this is immediately after server
   reboot, so there should be no time for open-owners to be created,
   found to be unused, and recycled.  For CLAIM_DELEGATE_PREV opens,

Haynes & Noveck              Standards Track                  [Page 116]

RFC 7530                          NFSv4                       March 2015

   we are dealing with either a client reboot situation or a network
   partition resulting in deletion of lease state (and returning
   NFS4ERR_EXPIRED).  A server that supports delegations can be sure
   that no open-owners for that client have been recycled since client
   initialization or deletion of lease state and thus can be confident
   that confirmation will not be required.

9.2.  Lock Ranges

   The protocol allows a lock-owner to request a lock with a byte range
   and then either upgrade or unlock a sub-range of the initial lock.
   It is expected that this will be an uncommon type of request.  In any
   case, servers or server file systems may not be able to support
   sub-range lock semantics.  In the event that a server receives a
   locking request that represents a sub-range of current locking state
   for the lock-owner, the server is allowed to return the error
   NFS4ERR_LOCK_RANGE to signify that it does not support sub-range lock
   operations.  Therefore, the client should be prepared to receive this
   error and, if appropriate, report the error to the requesting

   The client is discouraged from combining multiple independent locking
   ranges that happen to be adjacent into a single request, since the
   server may not support sub-range requests, and for reasons related to
   the recovery of file locking state in the event of server failure.
   As discussed in Section 9.6.2 below, the server may employ certain
   optimizations during recovery that work effectively only when the
   client's behavior during lock recovery is similar to the client's
   locking behavior prior to server failure.

9.3.  Upgrading and Downgrading Locks

   If a client has a write lock on a record, it can request an atomic
   downgrade of the lock to a read lock via the LOCK request, by setting
   the type to READ_LT.  If the server supports atomic downgrade, the
   request will succeed.  If not, it will return NFS4ERR_LOCK_NOTSUPP.
   The client should be prepared to receive this error and, if
   appropriate, report the error to the requesting application.

   If a client has a read lock on a record, it can request an atomic
   upgrade of the lock to a write lock via the LOCK request by setting
   the type to WRITE_LT or WRITEW_LT.  If the server does not support
   atomic upgrade, it will return NFS4ERR_LOCK_NOTSUPP.  If the upgrade
   can be achieved without an existing conflict, the request will
   succeed.  Otherwise, the server will return either NFS4ERR_DENIED or
   NFS4ERR_DEADLOCK.  The error NFS4ERR_DEADLOCK is returned if the
   client issued the LOCK request with the type set to WRITEW_LT and the

Haynes & Noveck              Standards Track                  [Page 117]

RFC 7530                          NFSv4                       March 2015

   server has detected a deadlock.  The client should be prepared to
   receive such errors and, if appropriate, report them to the
   requesting application.

9.4.  Blocking Locks

   Some clients require the support of blocking locks.  The NFSv4
   protocol must not rely on a callback mechanism and therefore is
   unable to notify a client when a previously denied lock has been
   granted.  Clients have no choice but to continually poll for the
   lock.  This presents a fairness problem.  Two new lock types are
   added, READW and WRITEW, and are used to indicate to the server that
   the client is requesting a blocking lock.  The server should maintain
   an ordered list of pending blocking locks.  When the conflicting lock
   is released, the server may wait the lease period for the first
   waiting client to re-request the lock.  After the lease period
   expires, the next waiting client request is allowed the lock.
   Clients are required to poll at an interval sufficiently small that
   it is likely to acquire the lock in a timely manner.  The server is
   not required to maintain a list of pending blocked locks, as it is
   not used to provide correct operation but only to increase fairness.
   Because of the unordered nature of crash recovery, storing of lock
   state to stable storage would be required to guarantee ordered
   granting of blocking locks.

   Servers may also note the lock types and delay returning denial of
   the request to allow extra time for a conflicting lock to be
   released, allowing a successful return.  In this way, clients can
   avoid the burden of needlessly frequent polling for blocking locks.
   The server should take care with the length of delay in the event
   that the client retransmits the request.

   If a server receives a blocking lock request, denies it, and then
   later receives a non-blocking request for the same lock, which is
   also denied, then it should remove the lock in question from its list
   of pending blocking locks.  Clients should use such a non-blocking
   request to indicate to the server that this is the last time they
   intend to poll for the lock, as may happen when the process
   requesting the lock is interrupted.  This is a courtesy to the
   server, to prevent it from unnecessarily waiting a lease period
   before granting other lock requests.  However, clients are not
   required to perform this courtesy, and servers must not depend on
   them doing so.  Also, clients must be prepared for the possibility
   that this final locking request will be accepted.

Haynes & Noveck              Standards Track                  [Page 118]

RFC 7530                          NFSv4                       March 2015

9.5.  Lease Renewal

   The purpose of a lease is to allow a server to remove stale locks
   that are held by a client that has crashed or is otherwise
   unreachable.  It is not a mechanism for cache consistency, and lease
   renewals may not be denied if the lease interval has not expired.

   The client can implicitly provide a positive indication that it is
   still active and that the associated state held at the server, for
   the client, is still valid.  Any operation made with a valid clientid
   OPEN_DOWNGRADE, READ, SETATTR, or WRITE) informs the server to renew
   all of the leases for that client (i.e., all those sharing a given
   client ID).  In the latter case, the stateid must not be one of the
   special stateids (anonymous stateid or READ bypass stateid).

   Note that if the client had restarted or rebooted, the client would
   not be making these requests without issuing the SETCLIENTID/
   SETCLIENTID_CONFIRM sequence.  The use of the SETCLIENTID/
   SETCLIENTID_CONFIRM sequence (one that changes the client verifier)
   notifies the server to drop the locking state associated with the
   client.  SETCLIENTID/SETCLIENTID_CONFIRM never renews a lease.

   If the server has rebooted, the stateids (NFS4ERR_STALE_STATEID
   error) or the client ID (NFS4ERR_STALE_CLIENTID error) will not be
   valid, hence preventing spurious renewals.

   This approach allows for low-overhead lease renewal, which scales
   well.  In the typical case, no extra RPCs are required for lease
   renewal, and in the worst case, one RPC is required every lease
   period (i.e., a RENEW operation).  The number of locks held by the
   client is not a factor since all state for the client is involved
   with the lease renewal action.

   Since all operations that create a new lease also renew existing
   leases, the server must maintain a common lease expiration time for
   all valid leases for a given client.  This lease time can then be
   easily updated upon implicit lease renewal actions.

Haynes & Noveck              Standards Track                  [Page 119]

RFC 7530                          NFSv4                       March 2015

9.6.  Crash Recovery

   The important requirement in crash recovery is that both the client
   and the server know when the other has failed.  Additionally, it is
   required that a client sees a consistent view of data across server
   restarts or reboots.  All READ and WRITE operations that may have
   been queued within the client or network buffers must wait until the
   client has successfully recovered the locks protecting the READ and
   WRITE operations.

9.6.1.  Client Failure and Recovery

   In the event that a client fails, the server may recover the client's
   locks when the associated leases have expired.  Conflicting locks
   from another client may only be granted after this lease expiration.
   If the client is able to restart or reinitialize within the lease
   period, the client may be forced to wait the remainder of the lease
   period before obtaining new locks.

   To minimize client delay upon restart, open and lock requests are
   associated with an instance of the client by a client-supplied
   verifier.  This verifier is part of the initial SETCLIENTID call made
   by the client.  The server returns a client ID as a result of the
   SETCLIENTID operation.  The client then confirms the use of the
   client ID with SETCLIENTID_CONFIRM.  The client ID in combination
   with an opaque owner field is then used by the client to identify the
   open-owner for OPEN.  This chain of associations is then used to
   identify all locks for a particular client.

   Since the verifier will be changed by the client upon each
   initialization, the server can compare a new verifier to the verifier
   associated with currently held locks and determine that they do not
   match.  This signifies the client's new instantiation and subsequent
   loss of locking state.  As a result, the server is free to release
   all locks held that are associated with the old client ID that was
   derived from the old verifier.

   Note that the verifier must have the same uniqueness properties of
   the verifier for the COMMIT operation.

9.6.2.  Server Failure and Recovery

   If the server loses locking state (usually as a result of a restart
   or reboot), it must allow clients time to discover this fact and
   re-establish the lost locking state.  The client must be able to
   re-establish the locking state without having the server deny valid
   requests because the server has granted conflicting access to another
   client.  Likewise, if there is the possibility that clients have

Haynes & Noveck              Standards Track                  [Page 120]

RFC 7530                          NFSv4                       March 2015

   not yet re-established their locking state for a file, the server
   must disallow READ and WRITE operations for that file.  The duration
   of this recovery period is equal to the duration of the lease period.

   A client can determine that server failure (and thus loss of locking
   state) has occurred, when it receives one of two errors.  The
   NFS4ERR_STALE_STATEID error indicates a stateid invalidated by a
   reboot or restart.  The NFS4ERR_STALE_CLIENTID error indicates a
   client ID invalidated by reboot or restart.  When either of these is
   received, the client must establish a new client ID (see
   Section 9.1.1) and re-establish the locking state as discussed below.

   The period of special handling of locking and READs and WRITEs, equal
   in duration to the lease period, is referred to as the "grace
   period".  During the grace period, clients recover locks and the
   associated state by reclaim-type locking requests (i.e., LOCK
   requests with reclaim set to TRUE and OPEN operations with a claim
   type of either CLAIM_PREVIOUS or CLAIM_DELEGATE_PREV).  During the
   grace period, the server must reject READ and WRITE operations and
   non-reclaim locking requests (i.e., other LOCK and OPEN operations)
   with an error of NFS4ERR_GRACE.

   If the server can reliably determine that granting a non-reclaim
   request will not conflict with reclamation of locks by other clients,
   the NFS4ERR_GRACE error does not have to be returned and the
   non-reclaim client request can be serviced.  For the server to be
   able to service READ and WRITE operations during the grace period, it
   must again be able to guarantee that no possible conflict could arise
   between an impending reclaim locking request and the READ or WRITE
   operation.  If the server is unable to offer that guarantee, the
   NFS4ERR_GRACE error must be returned to the client.

   For a server to provide simple, valid handling during the grace
   period, the easiest method is to simply reject all non-reclaim
   locking requests and READ and WRITE operations by returning the
   NFS4ERR_GRACE error.  However, a server may keep information about
   granted locks in stable storage.  With this information, the server
   could determine if a regular lock or READ or WRITE operation can be
   safely processed.

   For example, if a count of locks on a given file is available in
   stable storage, the server can track reclaimed locks for the file,
   and when all reclaims have been processed, non-reclaim locking
   requests may be processed.  This way, the server can ensure that
   non-reclaim locking requests will not conflict with potential reclaim
   requests.  With respect to I/O requests, if the server is able to

Haynes & Noveck              Standards Track                  [Page 121]

RFC 7530                          NFSv4                       March 2015

   determine that there are no outstanding reclaim requests for a file
   by information from stable storage or another similar mechanism, the
   processing of I/O requests could proceed normally for the file.

   To reiterate, for a server that allows non-reclaim lock and I/O
   requests to be processed during the grace period, it MUST determine
   that no lock subsequently reclaimed will be rejected and that no lock
   subsequently reclaimed would have prevented any I/O operation
   processed during the grace period.

   Clients should be prepared for the return of NFS4ERR_GRACE errors for
   non-reclaim lock and I/O requests.  In this case, the client should
   employ a retry mechanism for the request.  A delay (on the order of
   several seconds) between retries should be used to avoid overwhelming
   the server.  Further discussion of the general issue is included in
   [Floyd].  The client must account for the server that is able to
   perform I/O and non-reclaim locking requests within the grace period
   as well as those that cannot do so.

   A reclaim-type locking request outside the server's grace period can
   only succeed if the server can guarantee that no conflicting lock or
   I/O request has been granted since reboot or restart.

   A server may, upon restart, establish a new value for the lease
   period.  Therefore, clients should, once a new client ID is
   established, refetch the lease_time attribute and use it as the basis
   for lease renewal for the lease associated with that server.
   However, the server must establish, for this restart event, a grace
   period at least as long as the lease period for the previous server
   instantiation.  This allows the client state obtained during the
   previous server instance to be reliably re-established.

9.6.3.  Network Partitions and Recovery

   If the duration of a network partition is greater than the lease
   period provided by the server, the server will have not received a
   lease renewal from the client.  If this occurs, the server may cancel
   the lease and free all locks held for the client.  As a result, all
   stateids held by the client will become invalid or stale.  Once the
   client is able to reach the server after such a network partition,
   all I/O submitted by the client with the now invalid stateids will
   fail with the server returning the error NFS4ERR_EXPIRED.  Once this
   error is received, the client will suitably notify the application
   that held the lock.

Haynes & Noveck              Standards Track                  [Page 122]

RFC 7530                          NFSv4                       March 2015  Courtesy Locks

   As a courtesy to the client or as an optimization, the server may
   continue to hold locks, including delegations, on behalf of a client
   for which recent communication has extended beyond the lease period,
   delaying the cancellation of the lease.  If the server receives a
   lock or I/O request that conflicts with one of these courtesy locks
   or if it runs out of resources, the server MAY cause lease
   cancellation to occur at that time and henceforth return
   NFS4ERR_EXPIRED when any of the stateids associated with the freed
   locks is used.  If lease cancellation has not occurred and the server
   receives a lock or I/O request that conflicts with one of the
   courtesy locks, the requirements are as follows:

   o  In the case of a courtesy lock that is not a delegation, it MUST
      free the courtesy lock and grant the new request.

   o  In the case of a lock or an I/O request that conflicts with a
      delegation that is being held as a courtesy lock, the server MAY
      delay resolution of the request but MUST NOT reject the request
      and MUST free the delegation and grant the new request eventually.

   o  In the case of a request for a delegation that conflicts with a
      delegation that is being held as a courtesy lock, the server MAY
      grant the new request or not as it chooses, but if it grants the
      conflicting request, the delegation held as a courtesy lock MUST
      be freed.

   If the server does not reboot or cancel the lease before the network
   partition is healed, when the original client tries to access a
   courtesy lock that was freed, the server SHOULD send back an
   NFS4ERR_BAD_STATEID to the client.  If the client tries to access a
   courtesy lock that was not freed, then the server SHOULD mark all of
   the courtesy locks as implicitly being renewed.  Lease Cancellation

   As a result of lease expiration, leases may be canceled, either
   immediately upon expiration or subsequently, depending on the
   occurrence of a conflicting lock or extension of the period of
   partition beyond what the server will tolerate.

   When a lease is canceled, all locking state associated with it is
   freed, and the use of any of the associated stateids will result in
   NFS4ERR_EXPIRED being returned.  Similarly, the use of the associated
   clientid will result in NFS4ERR_EXPIRED being returned.

Haynes & Noveck              Standards Track                  [Page 123]

RFC 7530                          NFSv4                       March 2015

   The client should recover from this situation by using SETCLIENTID
   followed by SETCLIENTID_CONFIRM, in order to establish a new
   clientid.  Once a lock is obtained using this clientid, a lease will
   be established.  Client's Reaction to a Freed Lock

   There is no way for a client to predetermine how a given server is
   going to behave during a network partition.  When the partition
   heals, the client still has either all of its locks, some of its
   locks, or none of them.  The client will be able to examine the
   various error return values to determine its response.


      All locks have been freed as a result of a lease cancellation that
      occurred during the partition.  The client should use a
      SETCLIENTID to recover.


      The current lock has been revoked before, during, or after the
      partition.  The client SHOULD handle this error as it normally


      The current lock has been revoked/released during the partition,
      and the server did not reboot.  Other locks MAY still be renewed.
      The client need not do a SETCLIENTID and instead SHOULD probe via
      a RENEW call.


      The current lock has been revoked during the partition, and the
      server rebooted.  The server might have no information on the
      other locks.  They may still be renewable.


      The client's locks have been revoked during the partition, and the
      server rebooted.  None of the client's locks will be renewable.


      The server has not rebooted.  The client SHOULD handle this error
      as it normally would.

Haynes & Noveck              Standards Track                  [Page 124]

RFC 7530                          NFSv4                       March 2015  Edge Conditions

   When a network partition is combined with a server reboot, then both
   the server and client have responsibilities to ensure that the client
   does not reclaim a lock that it should no longer be able to access.
   Briefly, those are:

   o  Client's responsibility: A client MUST NOT attempt to reclaim any
      locks that it did not hold at the end of its most recent
      successfully established client lease.

   o  Server's responsibility: A server MUST NOT allow a client to
      reclaim a lock unless it knows that it could not have since
      granted a conflicting lock.  However, in deciding whether a
      conflicting lock could have been granted, it is permitted to
      assume that its clients are responsible, as above.

   A server may consider a client's lease "successfully established"
   once it has received an OPEN operation from that client.

   The above are directed to CLAIM_PREVIOUS reclaims and not to
   CLAIM_DELEGATE_PREV reclaims, which generally do not involve a server
   reboot.  However, when a server persistently stores delegation
   information to support CLAIM_DELEGATE_PREV across a period in which
   both client and server are down at the same time, similar strictures

   The next sections give examples showing what can go wrong if these
   responsibilities are neglected and also provide examples of server
   implementation strategies that could meet a server's
   responsibilities.  First Server Edge Condition

   The first edge condition has the following scenario:

   1.  Client A acquires a lock.

   2.  Client A and the server experience mutual network partition, such
       that client A is unable to renew its lease.

   3.  Client A's lease expires, so the server releases the lock.

   4.  Client B acquires a lock that would have conflicted with that of
       client A.

   5.  Client B releases the lock.

Haynes & Noveck              Standards Track                  [Page 125]

RFC 7530                          NFSv4                       March 2015

   6.  The server reboots.

   7.  The network partition between client A and the server heals.

   8.  Client A issues a RENEW operation and gets back an

   9.  Client A reclaims its lock within the server's grace period.

   Thus, at the final step, the server has erroneously granted
   client A's lock reclaim.  If client B modified the object the lock
   was protecting, client A will experience object corruption.  Second Server Edge Condition

   The second known edge condition follows:

   1.   Client A acquires a lock.

   2.   The server reboots.

   3.   Client A and the server experience mutual network partition,
        such that client A is unable to reclaim its lock within the
        grace period.

   4.   The server's reclaim grace period ends.  Client A has no locks
        recorded on the server.

   5.   Client B acquires a lock that would have conflicted with that of
        client A.

   6.   Client B releases the lock.

   7.   The server reboots a second time.

   8.   The network partition between client A and the server heals.

   9.   Client A issues a RENEW operation and gets back an

   10.  Client A reclaims its lock within the server's grace period.

   As with the first edge condition, the final step of the scenario of
   the second edge condition has the server erroneously granting
   client A's lock reclaim.

Haynes & Noveck              Standards Track                  [Page 126]

RFC 7530                          NFSv4                       March 2015  Handling Server Edge Conditions

   In both of the above examples, the client attempts reclaim of a lock
   that it held at the end of its most recent successfully established
   lease; thus, it has fulfilled its responsibility.

   The server, however, has failed, by granting a reclaim, despite
   having granted a conflicting lock since the reclaimed lock was last

   Solving these edge conditions requires that the server either (1)
   assume after it reboots that an edge condition occurs, and thus
   return NFS4ERR_NO_GRACE for all reclaim attempts, or (2) record some
   information in stable storage.  The amount of information the server
   records in stable storage is in inverse proportion to how harsh the
   server wants to be whenever the edge conditions occur.  The server
   that is completely tolerant of all edge conditions will record in
   stable storage every lock that is acquired, removing the lock record
   from stable storage only when the lock is unlocked by the client and
   the lock's owner advances the sequence number such that the lock
   release is not the last stateful event for the owner's sequence.  For
   the two aforementioned edge conditions, the harshest a server can be,
   and still support a grace period for reclaims, requires that the
   server record in stable storage some minimal information.  For
   example, a server implementation could, for each client, save in
   stable storage a record containing:

   o  the client's id string.

   o  a boolean that indicates if the client's lease expired or if there
      was administrative intervention (see Section 9.8) to revoke a
      byte-range lock, share reservation, or delegation.

   o  a timestamp that is updated the first time after a server boot or
      reboot the client acquires byte-range locking, share reservation,
      or delegation state on the server.  The timestamp need not be
      updated on subsequent lock requests until the server reboots.

   The server implementation would also record in stable storage the
   timestamps from the two most recent server reboots.

   Assuming the above record keeping, for the first edge condition,
   after the server reboots, the record that client A's lease expired
   means that another client could have acquired a conflicting record
   lock, share reservation, or delegation.  Hence, the server must
   reject a reclaim from client A with the error NFS4ERR_NO_GRACE or

Haynes & Noveck              Standards Track                  [Page 127]

RFC 7530                          NFSv4                       March 2015

   For the second edge condition, after the server reboots for a second
   time, the record that the client had an unexpired record lock, share
   reservation, or delegation established before the server's previous
   incarnation means that the server must reject a reclaim from client A
   with the error NFS4ERR_NO_GRACE or NFS4ERR_RECLAIM_BAD.

   Regardless of the level and approach to record keeping, the server
   MUST implement one of the following strategies (which apply to
   reclaims of share reservations, byte-range locks, and delegations):

   1.  Reject all reclaims with NFS4ERR_NO_GRACE.  This is extremely
       harsh but is necessary if the server does not want to record lock
       state in stable storage.

   2.  Record sufficient state in stable storage to meet its
       responsibilities.  In doubt, the server should err on the side of
       being harsh.

       In the event that, after a server reboot, the server determines
       that there is unrecoverable damage or corruption to stable
       storage, then for all clients and/or locks affected, the server
       MUST return NFS4ERR_NO_GRACE.  Client Edge Condition

   A third edge condition affects the client and not the server.  If the
   server reboots in the middle of the client reclaiming some locks and
   then a network partition is established, the client might be in the
   situation of having reclaimed some, but not all, locks.  In that
   case, a conservative client would assume that the non-reclaimed locks
   were revoked.

   The third known edge condition follows:

   1.   Client A acquires a lock 1.

   2.   Client A acquires a lock 2.

   3.   The server reboots.

   4.   Client A issues a RENEW operation and gets back an

   5.   Client A reclaims its lock 1 within the server's grace period.

   6.   Client A and the server experience mutual network partition,
        such that client A is unable to reclaim its remaining locks
        within the grace period.

Haynes & Noveck              Standards Track                  [Page 128]

RFC 7530                          NFSv4                       March 2015

   7.   The server's reclaim grace period ends.

   8.   Client B acquires a lock that would have conflicted with
        client A's lock 2.

   9.   Client B releases the lock.

   10.  The server reboots a second time.

   11.  The network partition between client A and the server heals.

   12.  Client A issues a RENEW operation and gets back an

   13.  Client A reclaims both lock 1 and lock 2 within the server's
        grace period.

   At the last step, the client reclaims lock 2 as if it had held that
   lock continuously, when in fact a conflicting lock was granted to
   client B.

   This occurs because the client failed its responsibility, by
   attempting to reclaim lock 2 even though it had not held that lock at
   the end of the lease that was established by the SETCLIENTID after
   the first server reboot.  (The client did hold lock 2 on a previous
   lease, but it is only the most recent lease that matters.)

   A server could avoid this situation by rejecting the reclaim of
   lock 2.  However, to do so accurately, it would have to ensure that
   additional information about individual locks held survives a reboot.
   Server implementations are not required to do that, so the client
   must not assume that the server will.

   Instead, a client MUST reclaim only those locks that it successfully
   acquired from the previous server instance, omitting any that it
   failed to reclaim before a new reboot.  Thus, in the last step above,
   client A should reclaim only lock 1.  Client's Handling of Reclaim Errors

   A mandate for the client's handling of the NFS4ERR_NO_GRACE and
   NFS4ERR_RECLAIM_BAD errors is outside the scope of this
   specification, since the strategies for such handling are very
   dependent on the client's operating environment.  However, one
   potential approach is described below.

Haynes & Noveck              Standards Track                  [Page 129]

RFC 7530                          NFSv4                       March 2015

   When the client's reclaim fails, it could examine the change
   attribute of the objects the client is trying to reclaim state for,
   and use that to determine whether to re-establish the state via
   normal OPEN or LOCK requests.  This is acceptable, provided the
   client's operating environment allows it.  In other words, the client
   implementer is advised to document the behavior for his users.  The
   client could also inform the application that its byte-range lock or
   share reservations (whether they were delegated or not) have been
   lost, such as via a UNIX signal, a GUI pop-up window, etc.  See
   Section 10.5 for a discussion of what the client should do for
   dealing with unreclaimed delegations on client state.

   For further discussion of revocation of locks, see Section 9.8.

9.7.  Recovery from a Lock Request Timeout or Abort

   In the event a lock request times out, a client may decide to not
   retry the request.  The client may also abort the request when the
   process for which it was issued is terminated (e.g., in UNIX due to a
   signal).  It is possible, though, that the server received the
   request and acted upon it.  This would change the state on the server
   without the client being aware of the change.  It is paramount that
   the client resynchronize state with the server before it attempts any
   other operation that takes a seqid and/or a stateid with the same
   state-owner.  This is straightforward to do without a special
   resynchronize operation.

   Since the server maintains the last lock request and response
   received on the state-owner, for each state-owner, the client should
   cache the last lock request it sent such that the lock request did
   not receive a response.  From this, the next time the client does a
   lock operation for the state-owner, it can send the cached request,
   if there is one, and if the request was one that established state
   (e.g., a LOCK or OPEN operation), the server will return the cached
   result or, if it never saw the request, perform it.  The client can
   follow up with a request to remove the state (e.g., a LOCKU or CLOSE
   operation).  With this approach, the sequencing and stateid
   information on the client and server for the given state-owner will
   resynchronize, and in turn the lock state will resynchronize.

9.8.  Server Revocation of Locks

   At any point, the server can revoke locks held by a client and the
   client must be prepared for this event.  When the client detects that
   its locks have been or may have been revoked, the client is
   responsible for validating the state information between itself and
   the server.  Validating locking state for the client means that it
   must verify or reclaim state for each lock currently held.

Haynes & Noveck              Standards Track                  [Page 130]

RFC 7530                          NFSv4                       March 2015

   The first instance of lock revocation is upon server reboot or
   re-initialization.  In this instance, the client will receive an
   client will proceed with normal crash recovery as described in the
   previous section.

   The second lock revocation event is the inability to renew the lease
   before expiration.  While this is considered a rare or unusual event,
   the client must be prepared to recover.  Both the server and client
   will be able to detect the failure to renew the lease and are capable
   of recovering without data corruption.  For the server, it tracks the
   last renewal event serviced for the client and knows when the lease
   will expire.  Similarly, the client must track operations that will
   renew the lease period.  Using the time that each such request was
   sent and the time that the corresponding reply was received, the
   client should bound the time that the corresponding renewal could
   have occurred on the server and thus determine if it is possible that
   a lease period expiration could have occurred.

   The third lock revocation event can occur as a result of
   administrative intervention within the lease period.  While this is
   considered a rare event, it is possible that the server's
   administrator has decided to release or revoke a particular lock held
   by the client.  As a result of revocation, the client will receive an
   error of NFS4ERR_ADMIN_REVOKED.  In this instance, the client may
   assume that only the state-owner's locks have been lost.  The client
   notifies the lock holder appropriately.  The client cannot assume
   that the lease period has been renewed as a result of a failed

   When the client determines the lease period may have expired, the
   client must mark all locks held for the associated lease as
   "unvalidated".  This means the client has been unable to re-establish
   or confirm the appropriate lock state with the server.  As described
   in Section 9.6, there are scenarios in which the server may grant
   conflicting locks after the lease period has expired for a client.
   When it is possible that the lease period has expired, the client
   must validate each lock currently held to ensure that a conflicting
   lock has not been granted.  The client may accomplish this task by
   issuing an I/O request; if there is no relevant I/O pending, a
   zero-length read specifying the stateid associated with the lock in
   question can be synthesized to trigger the renewal.  If the response
   to the request is success, the client has validated all of the locks
   governed by that stateid and re-established the appropriate state
   between itself and the server.

Haynes & Noveck              Standards Track                  [Page 131]

RFC 7530                          NFSv4                       March 2015

   If the I/O request is not successful, then one or more of the locks
   associated with the stateid were revoked by the server, and the
   client must notify the owner.

9.9.  Share Reservations

   A share reservation is a mechanism to control access to a file.  It
   is a separate and independent mechanism from byte-range locking.
   When a client opens a file, it issues an OPEN operation to the server
   specifying the type of access required (READ, WRITE, or BOTH) and the
   type of access to deny others (OPEN4_SHARE_DENY_NONE,
   OPEN4_SHARE_DENY_BOTH).  If the OPEN fails, the client will fail the
   application's open request.

   Pseudo-code definition of the semantics:

     if (request.access == 0)
             return (NFS4ERR_INVAL)
     else if ((request.access & file_state.deny) ||
         (request.deny & file_state.access))
             return (NFS4ERR_DENIED)

   This checking of share reservations on OPEN is done with no exception
   for an existing OPEN for the same open-owner.

   The constants used for the OPEN and OPEN_DOWNGRADE operations for the
   access and deny fields are as follows:

   const OPEN4_SHARE_ACCESS_READ   = 0x00000001;
   const OPEN4_SHARE_ACCESS_WRITE  = 0x00000002;
   const OPEN4_SHARE_ACCESS_BOTH   = 0x00000003;

   const OPEN4_SHARE_DENY_NONE     = 0x00000000;
   const OPEN4_SHARE_DENY_READ     = 0x00000001;
   const OPEN4_SHARE_DENY_WRITE    = 0x00000002;
   const OPEN4_SHARE_DENY_BOTH     = 0x00000003;

9.10.  OPEN/CLOSE Operations

   To provide correct share semantics, a client MUST use the OPEN
   operation to obtain the initial filehandle and indicate the desired
   access and what access, if any, to deny.  Even if the client intends
   to use one of the special stateids (anonymous stateid or READ bypass
   stateid), it must still obtain the filehandle for the regular file
   with the OPEN operation so the appropriate share semantics can be

Haynes & Noveck              Standards Track                  [Page 132]

RFC 7530                          NFSv4                       March 2015

   applied.  Clients that do not have a deny mode built into their
   programming interfaces for opening a file should request a deny mode

   The OPEN operation with the CREATE flag also subsumes the CREATE
   operation for regular files as used in previous versions of the NFS
   protocol.  This allows a create with a share to be done atomically.

   The CLOSE operation removes all share reservations held by the
   open-owner on that file.  If byte-range locks are held, the client
   SHOULD release all locks before issuing a CLOSE.  The server MAY free
   all outstanding locks on CLOSE, but some servers may not support the
   CLOSE of a file that still has byte-range locks held.  The server
   MUST return failure, NFS4ERR_LOCKS_HELD, if any locks would exist
   after the CLOSE.

   The LOOKUP operation will return a filehandle without establishing
   any lock state on the server.  Without a valid stateid, the server
   will assume that the client has the least access.  For example, if
   one client opened a file with OPEN4_SHARE_DENY_BOTH and another
   client accesses the file via a filehandle obtained through LOOKUP,
   the second client could only read the file using the special READ
   bypass stateid.  The second client could not WRITE the file at all
   because it would not have a valid stateid from OPEN and the special
   anonymous stateid would not be allowed access.

9.10.1.  Close and Retention of State Information

   Since a CLOSE operation requests deallocation of a stateid, dealing
   with retransmission of the CLOSE may pose special difficulties, since
   the state information, which normally would be used to determine the
   state of the open file being designated, might be deallocated,
   resulting in an NFS4ERR_BAD_STATEID error.

   Servers may deal with this problem in a number of ways.  To provide
   the greatest degree of assurance that the protocol is being used
   properly, a server should, rather than deallocate the stateid, mark
   it as close-pending, and retain the stateid with this status, until
   later deallocation.  In this way, a retransmitted CLOSE can be
   recognized since the stateid points to state information with this
   distinctive status, so that it can be handled without error.

Haynes & Noveck              Standards Track                  [Page 133]

RFC 7530                          NFSv4                       March 2015

   When adopting this strategy, a server should retain the state
   information until the earliest of:

   o  Another validly sequenced request for the same open-owner, that is
      not a retransmission.

   o  The time that an open-owner is freed by the server due to period
      with no activity.

   o  All locks for the client are freed as a result of a SETCLIENTID.

   Servers may avoid this complexity, at the cost of less complete
   protocol error checking, by simply responding NFS4_OK in the event of
   a CLOSE for a deallocated stateid, on the assumption that this case
   must be caused by a retransmitted close.  When adopting this
   approach, it is desirable to at least log an error when returning a
   no-error indication in this situation.  If the server maintains a
   reply-cache mechanism, it can verify that the CLOSE is indeed a
   retransmission and avoid error logging in most cases.

9.11.  Open Upgrade and Downgrade

   When an OPEN is done for a file and the open-owner for which the open
   is being done already has the file open, the result is to upgrade the
   open file status maintained on the server to include the access and
   deny bits specified by the new OPEN as well as those for the existing
   OPEN.  The result is that there is one open file, as far as the
   protocol is concerned, and it includes the union of the access and
   deny bits for all of the OPEN requests completed.  Only a single
   CLOSE will be done to reset the effects of both OPENs.  Note that the
   client, when issuing the OPEN, may not know that the same file is in
   fact being opened.  The above only applies if both OPENs result in
   the OPENed object being designated by the same filehandle.

   When the server chooses to export multiple filehandles corresponding
   to the same file object and returns different filehandles on two
   different OPENs of the same file object, the server MUST NOT "OR"
   together the access and deny bits and coalesce the two open files.
   Instead, the server must maintain separate OPENs with separate
   stateids and will require separate CLOSEs to free them.

   When multiple open files on the client are merged into a single open
   file object on the server, the close of one of the open files (on the
   client) may necessitate change of the access and deny status of the
   open file on the server.  This is because the union of the access and
   deny bits for the remaining opens may be smaller (i.e., a proper
   subset) than previously.  The OPEN_DOWNGRADE operation is used to
   make the necessary change, and the client should use it to update the

Haynes & Noveck              Standards Track                  [Page 134]

RFC 7530                          NFSv4                       March 2015

   server so that share reservation requests by other clients are
   handled properly.  The stateid returned has the same "other" field as
   that passed to the server.  The seqid value in the returned stateid
   MUST be incremented (Section 9.1.4), even in situations in which
   there has been no change to the access and deny bits for the file.

9.12.  Short and Long Leases

   When determining the time period for the server lease, the usual
   lease trade-offs apply.  Short leases are good for fast server
   recovery at a cost of increased RENEW or READ (with zero length)
   requests.  Longer leases are certainly kinder and gentler to servers
   trying to handle very large numbers of clients.  The number of RENEW
   requests drops in proportion to the lease time.  The disadvantages of
   long leases are slower recovery after server failure (the server must
   wait for the leases to expire and the grace period to elapse before
   granting new lock requests) and increased file contention (if the
   client fails to transmit an unlock request, then the server must wait
   for lease expiration before granting new locks).

   Long leases are usable if the server is able to store lease state in
   non-volatile memory.  Upon recovery, the server can reconstruct the
   lease state from its non-volatile memory and continue operation with
   its clients, and therefore long leases would not be an issue.

9.13.  Clocks, Propagation Delay, and Calculating Lease Expiration

   To avoid the need for synchronized clocks, lease times are granted by
   the server as a time delta.  However, there is a requirement that the
   client and server clocks do not drift excessively over the duration
   of the lock.  There is also the issue of propagation delay across the
   network -- which could easily be several hundred milliseconds -- as
   well as the possibility that requests will be lost and need to be

   To take propagation delay into account, the client should subtract it
   from lease times (e.g., if the client estimates the one-way
   propagation delay as 200 msec, then it can assume that the lease is
   already 200 msec old when it gets it).  In addition, it will take
   another 200 msec to get a response back to the server.  So the client
   must send a lock renewal or write data back to the server 400 msec
   before the lease would expire.

   The server's lease period configuration should take into account the
   network distance of the clients that will be accessing the server's
   resources.  It is expected that the lease period will take into
   account the network propagation delays and other network delay

Haynes & Noveck              Standards Track                  [Page 135]

RFC 7530                          NFSv4                       March 2015

   factors for the client population.  Since the protocol does not allow
   for an automatic method to determine an appropriate lease period, the
   server's administrator may have to tune the lease period.

9.14.  Migration, Replication, and State

   When responsibility for handling a given file system is transferred
   to a new server (migration) or the client chooses to use an
   alternative server (e.g., in response to server unresponsiveness) in
   the context of file system replication, the appropriate handling of
   state shared between the client and server (i.e., locks, leases,
   stateids, and client IDs) is as described below.  The handling
   differs between migration and replication.  For a related discussion
   of file server state and recovery of same, see the subsections of
   Section 9.6.

   In cases in which one server is expected to accept opaque values from
   the client that originated from another server, the servers SHOULD
   encode the opaque values in big-endian byte order.  If this is done,
   the new server will be able to parse values like stateids, directory
   cookies, filehandles, etc. even if their native byte order is
   different from that of other servers cooperating in the replication
   and migration of the file system.

9.14.1.  Migration and State

   In the case of migration, the servers involved in the migration of a
   file system SHOULD transfer all server state from the original server
   to the new server.  This must be done in a way that is transparent to
   the client.  This state transfer will ease the client's transition
   when a file system migration occurs.  If the servers are successful
   in transferring all state, the client will continue to use stateids
   assigned by the original server.  Therefore, the new server must
   recognize these stateids as valid.  This holds true for the client ID
   as well.  Since responsibility for an entire file system is
   transferred with a migration event, there is no possibility that
   conflicts will arise on the new server as a result of the transfer of

   As part of the transfer of information between servers, leases would
   be transferred as well.  The leases being transferred to the new
   server will typically have a different expiration time from those for
   the same client, previously on the old server.  To maintain the
   property that all leases on a given server for a given client expire
   at the same time, the server should advance the expiration time to
   the later of the leases being transferred or the leases already
   present.  This allows the client to maintain lease renewal of both
   classes without special effort.

Haynes & Noveck              Standards Track                  [Page 136]

RFC 7530                          NFSv4                       March 2015

   The servers may choose not to transfer the state information upon
   migration.  However, this choice is discouraged.  In this case, when
   the client presents state information from the original server (e.g.,
   in a RENEW operation or a READ operation of zero length), the client
   must be prepared to receive either NFS4ERR_STALE_CLIENTID or
   NFS4ERR_STALE_STATEID from the new server.  The client should then
   recover its state information as it normally would in response to a
   server failure.  The new server must take care to allow for the
   recovery of state information as it would in the event of server

   A client SHOULD re-establish new callback information with the new
   server as soon as possible, according to sequences described in
   Sections 16.33 and 16.34.  This ensures that server operations are
   not blocked by the inability to recall delegations.

9.14.2.  Replication and State

   Since client switch-over in the case of replication is not under
   server control, the handling of state is different.  In this case,
   leases, stateids, and client IDs do not have validity across a
   transition from one server to another.  The client must re-establish
   its locks on the new server.  This can be compared to the
   re-establishment of locks by means of reclaim-type requests after a
   server reboot.  The difference is that the server has no provision to
   distinguish requests reclaiming locks from those obtaining new locks
   or to defer the latter.  Thus, a client re-establishing a lock on the
   new server (by means of a LOCK or OPEN request), may have the
   requests denied due to a conflicting lock.  Since replication is
   intended for read-only use of file systems, such denial of locks
   should not pose large difficulties in practice.  When an attempt to
   re-establish a lock on a new server is denied, the client should
   treat the situation as if its original lock had been revoked.

9.14.3.  Notification of Migrated Lease

   In the case of lease renewal, the client may not be submitting
   requests for a file system that has been migrated to another server.
   This can occur because of the implicit lease renewal mechanism.  The
   client renews leases for all file systems when submitting a request
   to any one file system at the server.

   In order for the client to schedule renewal of leases that may have
   been relocated to the new server, the client must find out about
   lease relocation before those leases expire.  To accomplish this, all
   operations that implicitly renew leases for a client (such as OPEN,
   CLOSE, READ, WRITE, RENEW, LOCK, and others) will return the error
   NFS4ERR_LEASE_MOVED if responsibility for any of the leases to be

Haynes & Noveck              Standards Track                  [Page 137]

RFC 7530                          NFSv4                       March 2015

   renewed has been transferred to a new server.  This condition will
   continue until the client receives an NFS4ERR_MOVED error and the
   server receives the subsequent GETATTR(fs_locations) for an access to
   each file system for which a lease has been moved to a new server.
   By convention, the compound including the GETATTR(fs_locations)
   SHOULD append a RENEW operation to permit the server to identify the
   client doing the access.

   Upon receiving the NFS4ERR_LEASE_MOVED error, a client that supports
   file system migration MUST probe all file systems from that server on
   which it holds open state.  Once the client has successfully probed
   all those file systems that are migrated, the server MUST resume
   normal handling of stateful requests from that client.

   In order to support legacy clients that do not handle the
   NFS4ERR_LEASE_MOVED error correctly, the server SHOULD time out after
   a wait of at least two lease periods, at which time it will resume
   normal handling of stateful requests from all clients.  If a client
   attempts to access the migrated files, the server MUST reply with

   When the client receives an NFS4ERR_MOVED error, the client can
   follow the normal process to obtain the new server information
   (through the fs_locations attribute) and perform renewal of those
   leases on the new server.  If the server has not had state
   transferred to it transparently, the client will receive either
   as described above.  The client can then recover state information as
   it does in the event of server failure.

9.14.4.  Migration and the lease_time Attribute

   In order that the client may appropriately manage its leases in the
   case of migration, the destination server must establish proper
   values for the lease_time attribute.

   When state is transferred transparently, that state should include
   the correct value of the lease_time attribute.  The lease_time
   attribute on the destination server must never be less than that on
   the source since this would result in premature expiration of leases
   granted by the source server.  Upon migration, in which state is
   transferred transparently, the client is under no obligation to
   refetch the lease_time attribute and may continue to use the value
   previously fetched (on the source server).

   If state has not been transferred transparently (i.e., the client
   sees a real or simulated server reboot), the client should fetch the
   value of lease_time on the new (i.e., destination) server and use it

Haynes & Noveck              Standards Track                  [Page 138]

RFC 7530                          NFSv4                       March 2015

   for subsequent locking requests.  However, the server must respect a
   grace period at least as long as the lease_time on the source server,
   in order to ensure that clients have ample time to reclaim their
   locks before potentially conflicting non-reclaimed locks are granted.
   The means by which the new server obtains the value of lease_time on
   the old server is left to the server implementations.  It is not
   specified by the NFSv4 protocol.

10.  Client-Side Caching

   Client-side caching of data, file attributes, and filenames is
   essential to providing good performance with the NFS protocol.
   Providing distributed cache coherence is a difficult problem, and
   previous versions of the NFS protocol have not attempted it.
   Instead, several NFS client implementation techniques have been used
   to reduce the problems that a lack of coherence poses for users.
   These techniques have not been clearly defined by earlier protocol
   specifications, and it is often unclear what is valid or invalid
   client behavior.

   The NFSv4 protocol uses many techniques similar to those that have
   been used in previous protocol versions.  The NFSv4 protocol does not
   provide distributed cache coherence.  However, it defines a more
   limited set of caching guarantees to allow locks and share
   reservations to be used without destructive interference from
   client-side caching.

   In addition, the NFSv4 protocol introduces a delegation mechanism
   that allows many decisions normally made by the server to be made
   locally by clients.  This mechanism provides efficient support of the
   common cases where sharing is infrequent or where sharing is

10.1.  Performance Challenges for Client-Side Caching

   Caching techniques used in previous versions of the NFS protocol have
   been successful in providing good performance.  However, several
   scalability challenges can arise when those techniques are used with
   very large numbers of clients.  This is particularly true when
   clients are geographically distributed, which classically increases
   the latency for cache revalidation requests.

   The previous versions of the NFS protocol repeat their file data
   cache validation requests at the time the file is opened.  This
   behavior can have serious performance drawbacks.  A common case is
   one in which a file is only accessed by a single client.  Therefore,
   sharing is infrequent.

Haynes & Noveck              Standards Track                  [Page 139]

RFC 7530                          NFSv4                       March 2015

   In this case, repeated reference to the server to find that no
   conflicts exist is expensive.  A better option with regards to
   performance is to allow a client that repeatedly opens a file to do
   so without reference to the server.  This is done until potentially
   conflicting operations from another client actually occur.

   A similar situation arises in connection with file locking.  Sending
   file lock and unlock requests to the server as well as the READ and
   WRITE requests necessary to make data caching consistent with the
   locking semantics (see Section 10.3.2) can severely limit
   performance.  When locking is used to provide protection against
   infrequent conflicts, a large penalty is incurred.  This penalty may
   discourage the use of file locking by applications.

   The NFSv4 protocol provides more aggressive caching strategies with
   the following design goals:

   o  Compatibility with a large range of server semantics.

   o  Providing the same caching benefits as previous versions of the
      NFS protocol when unable to provide the more aggressive model.

   o  Organizing requirements for aggressive caching so that a large
      portion of the benefit can be obtained even when not all of the
      requirements can be met.

   The appropriate requirements for the server are discussed in later
   sections, in which specific forms of caching are covered (see
   Section 10.4).

10.2.  Delegation and Callbacks

   Recallable delegation of server responsibilities for a file to a
   client improves performance by avoiding repeated requests to the
   server in the absence of inter-client conflict.  With the use of a
   "callback" RPC from server to client, a server recalls delegated
   responsibilities when another client engages in the sharing of a
   delegated file.

   A delegation is passed from the server to the client, specifying the
   object of the delegation and the type of delegation.  There are
   different types of delegations, but each type contains a stateid to
   be used to represent the delegation when performing operations that
   depend on the delegation.  This stateid is similar to those
   associated with locks and share reservations but differs in that the
   stateid for a delegation is associated with a client ID and may be

Haynes & Noveck              Standards Track                  [Page 140]

RFC 7530                          NFSv4                       March 2015

   used on behalf of all the open-owners for the given client.  A
   delegation is made to the client as a whole and not to any specific
   process or thread of control within it.

   Because callback RPCs may not work in all environments (due to
   firewalls, for example), correct protocol operation does not depend
   on them.  Preliminary testing of callback functionality by means of a
   CB_NULL procedure determines whether callbacks can be supported.  The
   CB_NULL procedure checks the continuity of the callback path.  A
   server makes a preliminary assessment of callback availability to a
   given client and avoids delegating responsibilities until it has
   determined that callbacks are supported.  Because the granting of a
   delegation is always conditional upon the absence of conflicting
   access, clients must not assume that a delegation will be granted,
   and they must always be prepared for OPENs to be processed without
   any delegations being granted.

   Once granted, a delegation behaves in most ways like a lock.  There
   is an associated lease that is subject to renewal, together with all
   of the other leases held by that client.

   Unlike locks, an operation by a second client to a delegated file
   will cause the server to recall a delegation through a callback.

   On recall, the client holding the delegation must flush modified
   state (such as modified data) to the server and return the
   delegation.  The conflicting request will not be acted on until the
   recall is complete.  The recall is considered complete when the
   client returns the delegation or the server times out its wait for
   the delegation to be returned and revokes the delegation as a result
   of the timeout.  In the interim, the server will either delay
   responding to conflicting requests or respond to them with
   NFS4ERR_DELAY.  Following the resolution of the recall, the server
   has the information necessary to grant or deny the second client's

   At the time the client receives a delegation recall, it may have
   substantial state that needs to be flushed to the server.  Therefore,
   the server should allow sufficient time for the delegation to be
   returned since it may involve numerous RPCs to the server.  If the
   server is able to determine that the client is diligently flushing
   state to the server as a result of the recall, the server MAY extend
   the usual time allowed for a recall.  However, the time allowed for
   recall completion should not be unbounded.

Haynes & Noveck              Standards Track                  [Page 141]

RFC 7530                          NFSv4                       March 2015

   An example of this is when responsibility to mediate opens on a given
   file is delegated to a client (see Section 10.4).  The server will
   not know what opens are in effect on the client.  Without this
   knowledge, the server will be unable to determine if the access and
   deny state for the file allows any particular open until the
   delegation for the file has been returned.

   A client failure or a network partition can result in failure to
   respond to a recall callback.  In this case, the server will revoke
   the delegation; this in turn will render useless any modified state
   still on the client.

   Clients need to be aware that server implementers may enforce
   practical limitations on the number of delegations issued.  Further,
   as there is no way to determine which delegations to revoke, the
   server is allowed to revoke any.  If the server is implemented to
   revoke another delegation held by that client, then the client may
   be able to determine that a limit has been reached because each new
   delegation request results in a revoke.  The client could then
   determine which delegations it may not need and preemptively
   release them.

10.2.1.  Delegation Recovery

   There are three situations that delegation recovery must deal with:

   o  Client reboot or restart

   o  Server reboot or restart (see Section

   o  Network partition (full or callback-only)

   In the event that the client reboots or restarts, the confirmation of
   a SETCLIENTID done with an nfs_client_id4 with a new verifier4 value
   will result in the release of byte-range locks and share
   reservations.  Delegations, however, may be treated a bit

   There will be situations in which delegations will need to be
   re-established after a client reboots or restarts.  The reason for
   this is the client may have file data stored locally and this data
   was associated with the previously held delegations.  The client will
   need to re-establish the appropriate file state on the server.

   To allow for this type of client recovery, the server MAY allow
   delegations to be retained after other sorts of locks are released.
   This implies that requests from other clients that conflict with
   these delegations will need to wait.  Because the normal recall

Haynes & Noveck              Standards Track                  [Page 142]

RFC 7530                          NFSv4                       March 2015

   process may require significant time for the client to flush changed
   state to the server, other clients need to be prepared for delays
   that occur because of a conflicting delegation.  In order to give
   clients a chance to get through the reboot process -- during which
   leases will not be renewed -- the server MAY extend the period for
   delegation recovery beyond the typical lease expiration period.  For
   open delegations, such delegations that are not released are
   reclaimed using OPEN with a claim type of CLAIM_DELEGATE_PREV.  (See
   Sections 10.5 and 16.16 for discussions of open delegation and the
   details of OPEN, respectively.)

   A server MAY support a claim type of CLAIM_DELEGATE_PREV, but if it
   does, it MUST NOT remove delegations upon SETCLIENTID_CONFIRM and
   instead MUST make them available for client reclaim using
   CLAIM_DELEGATE_PREV.  The server MUST NOT remove the delegations
   until either the client does a DELEGPURGE or one lease period has
   elapsed from the time -- whichever is later -- of the

   Note that the requirement stated above is not meant to imply that,
   when the server is no longer obliged, as required above, to retain
   delegation information, it should necessarily dispose of it.  Some
   specific cases are:

   o  When the period is terminated by the occurrence of DELEGPURGE,
      deletion of unreclaimed delegations is appropriate and desirable.

   o  When the period is terminated by a lease period elapsing without a
      successful CLAIM_DELEGATE_PREV reclaim, and that situation appears
      to be the result of a network partition (i.e., lease expiration
      has occurred), a server's lease expiration approach, possibly
      including the use of courtesy locks, would normally provide for
      the retention of unreclaimed delegations.  Even in the event that
      lease cancellation occurs, such delegation should be reclaimed
      using CLAIM_DELEGATE_PREV as part of network partition recovery.

   o  When the period of non-communicating is followed by a client
      reboot, unreclaimed delegations should also be reclaimable by use
      of CLAIM_DELEGATE_PREV as part of client reboot recovery.

   o  When the period is terminated by a lease period elapsing without a
      successful CLAIM_DELEGATE_PREV reclaim, and lease renewal is
      occurring, the server may well conclude that unreclaimed
      delegations have been abandoned and consider the situation as one
      in which an implied DELEGPURGE should be assumed.

Haynes & Noveck              Standards Track                  [Page 143]

RFC 7530                          NFSv4                       March 2015

   A server that supports a claim type of CLAIM_DELEGATE_PREV MUST
   support the DELEGPURGE operation, and similarly, a server that
   supports DELEGPURGE MUST support CLAIM_DELEGATE_PREV.  A server that
   does not support CLAIM_DELEGATE_PREV MUST return NFS4ERR_NOTSUPP if
   the client attempts to use that feature or performs a DELEGPURGE

   Support for a claim type of CLAIM_DELEGATE_PREV is often referred to
   as providing for "client-persistent delegations" in that they allow
   the use of persistent storage on the client to store data written by
   the client, even across a client restart.  It should be noted that,
   with the optional exception noted below, this feature requires
   persistent storage to be used on the client and does not add to
   persistent storage requirements on the server.

   One good way to think about client-persistent delegations is that for
   the most part, they function like "courtesy locks", with special
   semantic adjustments to allow them to be retained across a client
   restart, which cause all other sorts of locks to be freed.  Such
   locks are generally not retained across a server restart.  The one
   exception is the case of simultaneous failure of the client and
   server and is discussed below.

   When the server indicates support of CLAIM_DELEGATE_PREV (implicitly)
   by returning NFS_OK to DELEGPURGE, a client with a write delegation
   can use write-back caching for data to be written to the server,
   deferring the write-back until such time as the delegation is
   recalled, possibly after intervening client restarts.  Similarly,
   when the server indicates support of CLAIM_DELEGATE_PREV, a client
   with a read delegation and an open-for-write subordinate to that
   delegation may be sure of the integrity of its persistently cached
   copy of the file after a client restart without specific verification
   of the change attribute.

   When the server reboots or restarts, delegations are reclaimed (using
   the OPEN operation with CLAIM_PREVIOUS) in a similar fashion to
   byte-range locks and share reservations.  However, there is a slight
   semantic difference.  In the normal case, if the server decides that
   a delegation should not be granted, it performs the requested action
   (e.g., OPEN) without granting any delegation.  For reclaim, the
   server grants the delegation, but a special designation is applied so
   that the client treats the delegation as having been granted but
   recalled by the server.  Because of this, the client has the duty to

Haynes & Noveck              Standards Track                  [Page 144]

RFC 7530                          NFSv4                       March 2015

   write all modified state to the server and then return the
   delegation.  This process of handling delegation reclaim reconciles
   three principles of the NFSv4 protocol:

   o  Upon reclaim, a client claiming resources assigned to it by an
      earlier server instance must be granted those resources.

   o  The server has unquestionable authority to determine whether
      delegations are to be granted and, once granted, whether they are
      to be continued.

   o  The use of callbacks is not to be depended upon until the client
      has proven its ability to receive them.

   When a client has more than a single open associated with a
   delegation, state for those additional opens can be established using
   OPEN operations of type CLAIM_DELEGATE_CUR.  When these are used to
   establish opens associated with reclaimed delegations, the server
   MUST allow them when made within the grace period.

   Situations in which there is a series of client and server restarts
   where there is no restart of both at the same time are dealt with via
   a combination of CLAIM_DELEGATE_PREV and CLAIM_PREVIOUS reclaim
   cycles.  Persistent storage is needed only on the client.  For each
   server failure, a CLAIM_PREVIOUS reclaim cycle is done, while for
   each client restart, a CLAIM_DELEGATE_PREV reclaim cycle is done.

   To deal with the possibility of simultaneous failure of client and
   server (e.g., a data center power outage), the server MAY
   persistently store delegation information so that it can respond to a
   CLAIM_DELEGATE_PREV reclaim request that it receives from a
   restarting client.  This is the one case in which persistent
   delegation state can be retained across a server restart.  A server
   is not required to store this information, but if it does do so, it
   should do so for write delegations and for read delegations, during
   the pendency of which (across multiple client and/or server
   instances), some open-for-write was done as part of delegation.  When
   the space to persistently record such information is limited, the
   server should recall delegations in this class in preference to
   keeping them active without persistent storage recording.

   When a network partition occurs, delegations are subject to freeing
   by the server when the lease renewal period expires.  This is similar
   to the behavior for locks and share reservations, and as for locks
   and share reservations, it may be modified by support for "courtesy
   locks" in which locks are not freed in the absence of a conflicting
   lock request.  Whereas for locks and share reservations the freeing
   of locks will occur immediately upon the appearance of a conflicting

Haynes & Noveck              Standards Track                  [Page 145]

RFC 7530                          NFSv4                       March 2015

   request, for delegations, the server MAY institute a period during
   which conflicting requests are held off.  Eventually, the occurrence
   of a conflicting request from another client will cause revocation of
   the delegation.

   A loss of the callback path (e.g., by a later network configuration
   change) will have a similar effect in that it can also result in
   revocation of a delegation.  A recall request will fail, and
   revocation of the delegation will result.

   A client normally finds out about revocation of a delegation when it
   uses a stateid associated with a delegation and receives one of the
   (NFS4ERR_EXPIRED indicates that all lock state associated with the
   client has been lost).  It also may find out about delegation
   revocation after a client reboot when it attempts to reclaim a
   delegation and receives NFS4ERR_EXPIRED.  Note that in the case of a
   revoked OPEN_DELEGATE_WRITE delegation, there are issues because data
   may have been modified by the client whose delegation is revoked and,
   separately, by other clients.  See Section 10.5.1 for a discussion of
   such issues.  Note also that when delegations are revoked,
   information about the revoked delegation will be written by the
   server to stable storage (as described in Section 9.6).  This is done
   to deal with the case in which a server reboots after revoking a
   delegation but before the client holding the revoked delegation is
   notified about the revocation.

   Note that when there is a loss of a delegation, due to a network
   partition in which all locks associated with the lease are lost, the
   client will also receive the error NFS4ERR_EXPIRED.  This case can be
   distinguished from other situations in which delegations are revoked
   by seeing that the associated clientid becomes invalid so that
   NFS4ERR_STALE_CLIENTID is returned when it is used.

   When NFS4ERR_EXPIRED is returned, the server MAY retain information
   about the delegations held by the client, deleting those that are
   invalidated by a conflicting request.  Retaining such information
   will allow the client to recover all non-invalidated delegations
   using the claim type CLAIM_DELEGATE_PREV, once the
   SETCLIENTID_CONFIRM is done to recover.  Attempted recovery of a
   delegation that the client has no record of, typically because they
   were invalidated by conflicting requests, will result in the error
   NFS4ERR_BAD_RECLAIM.  Once a reclaim is attempted for all delegations
   that the client held, it SHOULD do a DELEGPURGE to allow any
   remaining server delegation information to be freed.

Haynes & Noveck              Standards Track                  [Page 146]

RFC 7530                          NFSv4                       March 2015

10.3.  Data Caching

   When applications share access to a set of files, they need to be
   implemented so as to take account of the possibility of conflicting
   access by another application.  This is true whether the applications
   in question execute on different clients or reside on the same

   Share reservations and byte-range locks are the facilities the NFSv4
   protocol provides to allow applications to coordinate access by
   providing mutual exclusion facilities.  The NFSv4 protocol's data
   caching must be implemented such that it does not invalidate the
   assumptions that those using these facilities depend upon.

10.3.1.  Data Caching and OPENs

   In order to avoid invalidating the sharing assumptions that
   applications rely on, NFSv4 clients should not provide cached data to
   applications or modify it on behalf of an application when it would
   not be valid to obtain or modify that same data via a READ or WRITE

   Furthermore, in the absence of open delegation (see Section 10.4),
   two additional rules apply.  Note that these rules are obeyed in
   practice by many NFSv2 and NFSv3 clients.

   o  First, cached data present on a client must be revalidated after
      doing an OPEN.  Revalidating means that the client fetches the
      change attribute from the server, compares it with the cached
      change attribute, and, if different, declares the cached data (as
      well as the cached attributes) as invalid.  This is to ensure that
      the data for the OPENed file is still correctly reflected in the
      client's cache.  This validation must be done at least when the
      client's OPEN operation includes DENY=WRITE or BOTH, thus
      terminating a period in which other clients may have had the
      opportunity to open the file with WRITE access.  Clients may
      choose to do the revalidation more often (such as at OPENs
      specifying DENY=NONE) to parallel the NFSv3 protocol's practice
      for the benefit of users assuming this degree of cache

      Since the change attribute is updated for data and metadata
      modifications, some client implementers may be tempted to use the
      time_modify attribute and not the change attribute to validate
      cached data, so that metadata changes do not spuriously invalidate
      clean data.  The implementer is cautioned against this approach.
      The change attribute is guaranteed to change for each update to
      the file, whereas time_modify is guaranteed to change only at the

Haynes & Noveck              Standards Track                  [Page 147]

RFC 7530                          NFSv4                       March 2015

      granularity of the time_delta attribute.  Use by the client's data
      cache validation logic of time_modify and not the change attribute
      runs the risk of the client incorrectly marking stale data as

   o  Second, modified data must be flushed to the server before closing
      a file OPENed for write.  This is complementary to the first rule.
      If the data is not flushed at CLOSE, the revalidation done after
      the client OPENs a file is unable to achieve its purpose.  The
      other aspect to flushing the data before close is that the data
      must be committed to stable storage, at the server, before the
      CLOSE operation is requested by the client.  In the case of a
      server reboot or restart and a CLOSEd file, it may not be possible
      to retransmit the data to be written to the file -- hence, this

10.3.2.  Data Caching and File Locking

   For those applications that choose to use file locking instead of
   share reservations to exclude inconsistent file access, there is an
   analogous set of constraints that apply to client-side data caching.
   These rules are effective only if the file locking is used in a way
   that matches in an equivalent way the actual READ and WRITE
   operations executed.  This is as opposed to file locking that is
   based on pure convention.  For example, it is possible to manipulate
   a two-megabyte file by dividing the file into two one-megabyte
   regions and protecting access to the two regions by file locks on
   bytes zero and one.  A lock for write on byte zero of the file would
   represent the right to do READ and WRITE operations on the first
   region.  A lock for write on byte one of the file would represent the
   right to do READ and WRITE operations on the second region.  As long
   as all applications manipulating the file obey this convention, they
   will work on a local file system.  However, they may not work with
   the NFSv4 protocol unless clients refrain from data caching.

   The rules for data caching in the file locking environment are:

   o  First, when a client obtains a file lock for a particular region,
      the data cache corresponding to that region (if any cached data
      exists) must be revalidated.  If the change attribute indicates
      that the file may have been updated since the cached data was
      obtained, the client must flush or invalidate the cached data for
      the newly locked region.  A client might choose to invalidate all
      of the non-modified cached data that it has for the file, but the
      only requirement for correct operation is to invalidate all of the
      data in the newly locked region.

Haynes & Noveck              Standards Track                  [Page 148]

RFC 7530                          NFSv4                       March 2015

   o  Second, before releasing a write lock for a region, all modified
      data for that region must be flushed to the server.  The modified
      data must also be written to stable storage.

   Note that flushing data to the server and the invalidation of cached
   data must reflect the actual byte ranges locked or unlocked.
   Rounding these up or down to reflect client cache block boundaries
   will cause problems if not carefully done.  For example, writing a
   modified block when only half of that block is within an area being
   unlocked may cause invalid modification to the region outside the
   unlocked area.  This, in turn, may be part of a region locked by
   another client.  Clients can avoid this situation by synchronously
   performing portions of WRITE operations that overlap that portion
   (initial or final) that is not a full block.  Similarly, invalidating
   a locked area that is not an integral number of full buffer blocks
   would require the client to read one or two partial blocks from the
   server if the revalidation procedure shows that the data that the
   client possesses may not be valid.

   The data that is written to the server as a prerequisite to the
   unlocking of a region must be written, at the server, to stable
   storage.  The client may accomplish this either with synchronous
   writes or by following asynchronous writes with a COMMIT operation.
   This is required because retransmission of the modified data after a
   server reboot might conflict with a lock held by another client.

   A client implementation may choose to accommodate applications that
   use byte-range locking in non-standard ways (e.g., using a byte-range
   lock as a global semaphore) by flushing to the server more data upon
   a LOCKU than is covered by the locked range.  This may include
   modified data within files other than the one for which the unlocks
   are being done.  In such cases, the client must not interfere with
   applications whose READs and WRITEs are being done only within the
   bounds of record locks that the application holds.  For example, an
   application locks a single byte of a file and proceeds to write that
   single byte.  A client that chose to handle a LOCKU by flushing all
   modified data to the server could validly write that single byte in
   response to an unrelated unlock.  However, it would not be valid to
   write the entire block in which that single written byte was located
   since it includes an area that is not locked and might be locked by
   another client.  Client implementations can avoid this problem by
   dividing files with modified data into those for which all
   modifications are done to areas covered by an appropriate byte-range
   lock and those for which there are modifications not covered by a
   byte-range lock.  Any writes done for the former class of files must
   not include areas not locked and thus not modified on the client.

Haynes & Noveck              Standards Track                  [Page 149]

RFC 7530                          NFSv4                       March 2015

10.3.3.  Data Caching and Mandatory File Locking

   Client-side data caching needs to respect mandatory file locking when
   it is in effect.  The presence of mandatory file locking for a given
   file is indicated when the client gets back NFS4ERR_LOCKED from a
   READ or WRITE on a file it has an appropriate share reservation for.
   When mandatory locking is in effect for a file, the client must check
   for an appropriate file lock for data being read or written.  If a
   lock exists for the range being read or written, the client may
   satisfy the request using the client's validated cache.  If an
   appropriate file lock is not held for the range of the READ or WRITE,
   the READ or WRITE request must not be satisfied by the client's cache
   and the request must be sent to the server for processing.  When a
   READ or WRITE request partially overlaps a locked region, the request
   should be subdivided into multiple pieces with each region (locked or
   not) treated appropriately.

10.3.4.  Data Caching and File Identity

   When clients cache data, the file data needs to be organized
   according to the file system object to which the data belongs.  For
   NFSv3 clients, the typical practice has been to assume for the
   purpose of caching that distinct filehandles represent distinct file
   system objects.  The client then has the choice to organize and
   maintain the data cache on this basis.

   In the NFSv4 protocol, there is now the possibility of having
   significant deviations from a "one filehandle per object" model,
   because a filehandle may be constructed on the basis of the object's
   pathname.  Therefore, clients need a reliable method to determine if
   two filehandles designate the same file system object.  If clients
   were simply to assume that all distinct filehandles denote distinct
   objects and proceed to do data caching on this basis, caching
   inconsistencies would arise between the distinct client-side objects
   that mapped to the same server-side object.

   By providing a method to differentiate filehandles, the NFSv4
   protocol alleviates a potential functional regression in comparison
   with the NFSv3 protocol.  Without this method, caching
   inconsistencies within the same client could occur, and this has not
   been present in previous versions of the NFS protocol.  Note that it
   is possible to have such inconsistencies with applications executing
   on multiple clients, but that is not the issue being addressed here.

Haynes & Noveck              Standards Track                  [Page 150]

RFC 7530                          NFSv4                       March 2015

   For the purposes of data caching, the following steps allow an NFSv4
   client to determine whether two distinct filehandles denote the same
   server-side object:

   o  If GETATTR directed to two filehandles returns different values of
      the fsid attribute, then the filehandles represent distinct

   o  If GETATTR for any file with an fsid that matches the fsid of the
      two filehandles in question returns a unique_handles attribute
      with a value of TRUE, then the two objects are distinct.

   o  If GETATTR directed to the two filehandles does not return the
      fileid attribute for both of the handles, then it cannot be
      determined whether the two objects are the same.  Therefore,
      operations that depend on that knowledge (e.g., client-side data
      caching) cannot be done reliably.  Note that if GETATTR does not
      return the fileid attribute for both filehandles, it will return
      it for neither of the filehandles, since the fsid for both
      filehandles is the same.

   o  If GETATTR directed to the two filehandles returns different
      values for the fileid attribute, then they are distinct objects.

   o  Otherwise, they are the same object.

10.4.  Open Delegation

   When a file is being OPENed, the server may delegate further handling
   of opens and closes for that file to the opening client.  Any such
   delegation is recallable, since the circumstances that allowed for
   the delegation are subject to change.  In particular, the server may
   receive a conflicting OPEN from another client; the server must
   recall the delegation before deciding whether the OPEN from the other
   client may be granted.  Making a delegation is up to the server, and
   clients should not assume that any particular OPEN either will or
   will not result in an open delegation.  The following is a typical
   set of conditions that servers might use in deciding whether OPEN
   should be delegated:

   o  The client must be able to respond to the server's callback
      requests.  The server will use the CB_NULL procedure for a test of
      callback ability.

   o  The client must have responded properly to previous recalls.

   o  There must be no current open conflicting with the requested

Haynes & Noveck              Standards Track                  [Page 151]

RFC 7530                          NFSv4                       March 2015

   o  There should be no current delegation that conflicts with the
      delegation being requested.

   o  The probability of future conflicting open requests should be low,
      based on the recent history of the file.

   o  The existence of any server-specific semantics of OPEN/CLOSE that
      would make the required handling incompatible with the prescribed
      handling that the delegated client would apply (see below).

   There are two types of open delegations: OPEN_DELEGATE_READ and
   client to handle, on its own, requests to open a file for reading
   that do not deny read access to others.  It MUST, however, continue
   to send all requests to open a file for writing to the server.
   Multiple OPEN_DELEGATE_READ delegations may be outstanding
   simultaneously and do not conflict.  An OPEN_DELEGATE_WRITE
   delegation allows the client to handle, on its own, all opens.  Only
   one OPEN_DELEGATE_WRITE delegation may exist for a given file at a
   given time, and it is inconsistent with any OPEN_DELEGATE_READ

   When a single client holds an OPEN_DELEGATE_READ delegation, it is
   assured that no other client may modify the contents or attributes of
   the file.  If more than one client holds an OPEN_DELEGATE_READ
   delegation, then the contents and attributes of that file are not
   allowed to change.  When a client has an OPEN_DELEGATE_WRITE
   delegation, it may modify the file data since no other client will be
   accessing the file's data.  The client holding an OPEN_DELEGATE_WRITE
   delegation may only affect file attributes that are intimately
   connected with the file data: size, time_modify, and change.

   When a client has an open delegation, it does not send OPENs or
   CLOSEs to the server but updates the appropriate status internally.
   For an OPEN_DELEGATE_READ delegation, opens that cannot be handled
   locally (opens for write or that deny read access) must be sent to
   the server.

   When an open delegation is made, the response to the OPEN contains an
   open delegation structure that specifies the following:

   o  the type of delegation (read or write)

   o  space limitation information to control flushing of data on close
      (OPEN_DELEGATE_WRITE delegation only; see Section 10.4.1)

Haynes & Noveck              Standards Track                  [Page 152]

RFC 7530                          NFSv4                       March 2015

   o  an nfsace4 specifying read and write permissions

   o  a stateid to represent the delegation for READ and WRITE

   The delegation stateid is separate and distinct from the stateid for
   the OPEN proper.  The standard stateid, unlike the delegation
   stateid, is associated with a particular open-owner and will continue
   to be valid after the delegation is recalled and the file remains

   When a request internal to the client is made to open a file and open
   delegation is in effect, it will be accepted or rejected solely on
   the basis of the following conditions.  Any requirement for other
   checks to be made by the delegate should result in open delegation
   being denied so that the checks can be made by the server itself.

   o  The access and deny bits for the request and the file, as
      described in Section 9.9.

   o  The read and write permissions, as determined below.

   The nfsace4 passed with delegation can be used to avoid frequent
   ACCESS calls.  The permission check should be as follows:

   o  If the nfsace4 indicates that the open may be done, then it should
      be granted without reference to the server.

   o  If the nfsace4 indicates that the open may not be done, then an
      ACCESS request must be sent to the server to obtain the definitive

   The server may return an nfsace4 that is more restrictive than the
   actual ACL of the file.  This includes an nfsace4 that specifies
   denial of all access.  Note that some common practices, such as
   mapping the traditional user "root" to the user "nobody", may make it
   incorrect to return the actual ACL of the file in the delegation

   The use of delegation, together with various other forms of caching,
   creates the possibility that no server authentication will ever be
   performed for a given user since all of the user's requests might be
   satisfied locally.  Where the client is depending on the server for
   authentication, the client should be sure authentication occurs for
   each user by use of the ACCESS operation.  This should be the case
   even if an ACCESS operation would not be required otherwise.  As
   mentioned before, the server may enforce frequent authentication by
   returning an nfsace4 denying all access with every open delegation.

Haynes & Noveck              Standards Track                  [Page 153]

RFC 7530                          NFSv4                       March 2015

10.4.1.  Open Delegation and Data Caching

   OPEN delegation allows much of the message overhead associated with
   the opening and closing files to be eliminated.  An open when an open
   delegation is in effect does not require that a validation message be
   sent to the server unless there exists a potential for conflict with
   the requested share mode.  The continued endurance of the
   "OPEN_DELEGATE_READ delegation" provides a guarantee that no OPEN for
   write and thus no write has occurred that did not originate from this
   client.  Similarly, when closing a file opened for write and if
   OPEN_DELEGATE_WRITE delegation is in effect, the data written does
   not have to be flushed to the server until the open delegation is
   recalled.  The continued endurance of the open delegation provides a
   guarantee that no open and thus no read or write has been done by
   another client.

   For the purposes of open delegation, READs and WRITEs done without an
   OPEN (anonymous and READ bypass stateids) are treated as the
   functional equivalents of a corresponding type of OPEN.  READs and
   WRITEs done with an anonymous stateid done by another client will
   force the server to recall an OPEN_DELEGATE_WRITE delegation.  A
   WRITE with an anonymous stateid done by another client will force a
   recall of OPEN_DELEGATE_READ delegations.  The handling of a READ
   bypass stateid is identical, except that a READ done with a READ
   bypass stateid will not force a recall of an OPEN_DELEGATE_READ

   With delegations, a client is able to avoid writing data to the
   server when the CLOSE of a file is serviced.  The file close system
   call is the usual point at which the client is notified of a lack of
   stable storage for the modified file data generated by the
   application.  At the close, file data is written to the server, and
   through normal accounting the server is able to determine if the
   available file system space for the data has been exceeded (i.e., the
   server returns NFS4ERR_NOSPC or NFS4ERR_DQUOT).  This accounting
   includes quotas.  The introduction of delegations requires that an
   alternative method be in place for the same type of communication to
   occur between client and server.

   In the delegation response, the server provides either the limit of
   the size of the file or the number of modified blocks and associated
   block size.  The server must ensure that the client will be able to
   flush to the server data of a size equal to that provided in the
   original delegation.  The server must make this assurance for all
   outstanding delegations.  Therefore, the server must be careful in
   its management of available space for new or modified data, taking
   into account available file system space and any applicable quotas.
   The server can recall delegations as a result of managing the

Haynes & Noveck              Standards Track                  [Page 154]

RFC 7530                          NFSv4                       March 2015

   available file system space.  The client should abide by the server's
   state space limits for delegations.  If the client exceeds the stated
   limits for the delegation, the server's behavior is undefined.

   Based on server conditions, quotas, or available file system space,
   the server may grant OPEN_DELEGATE_WRITE delegations with very
   restrictive space limitations.  The limitations may be defined in a
   way that will always force modified data to be flushed to the server
   on close.

   With respect to authentication, flushing modified data to the server
   after a CLOSE has occurred may be problematic.  For example, the user
   of the application may have logged off the client, and unexpired
   authentication credentials may not be present.  In this case, the
   client may need to take special care to ensure that local unexpired
   credentials will in fact be available.  One way that this may be
   accomplished is by tracking the expiration time of credentials and
   flushing data well in advance of their expiration.

10.4.2.  Open Delegation and File Locks

   When a client holds an OPEN_DELEGATE_WRITE delegation, lock
   operations may be performed locally.  This includes those required
   for mandatory file locking.  This can be done since the delegation
   implies that there can be no conflicting locks.  Similarly, all of
   the revalidations that would normally be associated with obtaining
   locks and the flushing of data associated with the releasing of locks
   need not be done.

   When a client holds an OPEN_DELEGATE_READ delegation, lock operations
   are not performed locally.  All lock operations, including those
   requesting non-exclusive locks, are sent to the server for

10.4.3.  Handling of CB_GETATTR

   The server needs to employ special handling for a GETATTR where the
   target is a file that has an OPEN_DELEGATE_WRITE delegation in
   effect.  The reason for this is that the client holding the
   OPEN_DELEGATE_WRITE delegation may have modified the data, and the
   server needs to reflect this change to the second client that
   submitted the GETATTR.  Therefore, the client holding the
   OPEN_DELEGATE_WRITE delegation needs to be interrogated.  The server
   will use the CB_GETATTR operation.  The only attributes that the
   server can reliably query via CB_GETATTR are size and change.

Haynes & Noveck              Standards Track                  [Page 155]

RFC 7530                          NFSv4                       March 2015

   Since CB_GETATTR is being used to satisfy another client's GETATTR
   request, the server only needs to know if the client holding the
   delegation has a modified version of the file.  If the client's copy
   of the delegated file is not modified (data or size), the server can
   satisfy the second client's GETATTR request from the attributes
   stored locally at the server.  If the file is modified, the server
   only needs to know about this modified state.  If the server
   determines that the file is currently modified, it will respond to
   the second client's GETATTR as if the file had been modified locally
   at the server.

   Since the form of the change attribute is determined by the server
   and is opaque to the client, the client and server need to agree on a
   method of communicating the modified state of the file.  For the size
   attribute, the client will report its current view of the file size.
   For the change attribute, the handling is more involved.

   For the client, the following steps will be taken when receiving an
   OPEN_DELEGATE_WRITE delegation:

   o  The value of the change attribute will be obtained from the server
      and cached.  Let this value be represented by c.

   o  The client will create a value greater than c that will be used
      for communicating that modified data is held at the client.  Let
      this value be represented by d.

   o  When the client is queried via CB_GETATTR for the change
      attribute, it checks to see if it holds modified data.  If the
      file is modified, the value d is returned for the change attribute
      value.  If this file is not currently modified, the client returns
      the value c for the change attribute.

   For simplicity of implementation, the client MAY for each CB_GETATTR
   return the same value d.  This is true even if, between successive
   CB_GETATTR operations, the client again modifies in the file's data
   or metadata in its cache.  The client can return the same value
   because the only requirement is that the client be able to indicate
   to the server that the client holds modified data.  Therefore, the
   value of d may always be c + 1.

   While the change attribute is opaque to the client in the sense that
   it has no idea what units of time, if any, the server is counting
   change with, it is not opaque in that the client has to treat it as
   an unsigned integer, and the server has to be able to see the results
   of the client's changes to that integer.  Therefore, the server MUST
   encode the change attribute in network byte order when sending it to
   the client.  The client MUST decode it from network byte order to its

Haynes & Noveck              Standards Track                  [Page 156]

RFC 7530                          NFSv4                       March 2015

   native order when receiving it, and the client MUST encode it in
   network byte order when sending it to the server.  For this reason,
   the change attribute is defined as an unsigned integer rather than an
   opaque array of bytes.

   For the server, the following steps will be taken when providing an
   OPEN_DELEGATE_WRITE delegation:

   o  Upon providing an OPEN_DELEGATE_WRITE delegation, the server will
      cache a copy of the change attribute in the data structure it uses
      to record the delegation.  Let this value be represented by sc.

   o  When a second client sends a GETATTR operation on the same file to
      the server, the server obtains the change attribute from the first
      client.  Let this value be cc.

   o  If the value cc is equal to sc, the file is not modified and the
      server returns the current values for change, time_metadata, and
      time_modify (for example) to the second client.

   o  If the value cc is NOT equal to sc, the file is currently modified
      at the first client and most likely will be modified at the server
      at a future time.  The server then uses its current time to
      construct attribute values for time_metadata and time_modify.  A
      new value of sc, which we will call nsc, is computed by the
      server, such that nsc >= sc + 1.  The server then returns the
      constructed time_metadata, time_modify, and nsc values to the
      requester.  The server replaces sc in the delegation record with
      nsc.  To prevent the possibility of time_modify, time_metadata,
      and change from appearing to go backward (which would happen if
      the client holding the delegation fails to write its modified data
      to the server before the delegation is revoked or returned), the
      server SHOULD update the file's metadata record with the
      constructed attribute values.  For reasons of reasonable
      performance, committing the constructed attribute values to stable
      storage is OPTIONAL.

   As discussed earlier in this section, the client MAY return the same
   cc value on subsequent CB_GETATTR calls, even if the file was
   modified in the client's cache yet again between successive
   CB_GETATTR calls.  Therefore, the server must assume that the file
   has been modified yet again and MUST take care to ensure that the new
   nsc it constructs and returns is greater than the previous nsc it
   returned.  An example implementation's delegation record would
   satisfy this mandate by including a boolean field (let us call it
   "modified") that is set to FALSE when the delegation is granted, and
   an sc value set at the time of grant to the change attribute value.
   The modified field would be set to TRUE the first time cc != sc and

Haynes & Noveck              Standards Track                  [Page 157]

RFC 7530                          NFSv4                       March 2015

   would stay TRUE until the delegation is returned or revoked.  The
   processing for constructing nsc, time_modify, and time_metadata would
   use this pseudo-code:

       if (!modified) {
           do CB_GETATTR for change and size;

           if (cc != sc)
               modified = TRUE;
       } else {
           do CB_GETATTR for size;

       if (modified) {
           sc = sc + 1;
           time_modify = time_metadata = current_time;
           update sc, time_modify, time_metadata into file's metadata;

   This would return to the client (that sent GETATTR) the attributes it
   requested but would make sure that size comes from what CB_GETATTR
   returned.  The server would not update the file's metadata with the
   client's modified size.

   In the case that the file attribute size is different than the
   server's current value, the server treats this as a modification
   regardless of the value of the change attribute retrieved via
   CB_GETATTR and responds to the second client as in the last step.

   This methodology resolves issues of clock differences between
   client and server and other scenarios where the use of CB_GETATTR
   breaks down.

   It should be noted that the server is under no obligation to use
   CB_GETATTR; therefore, the server MAY simply recall the delegation to
   avoid its use.

10.4.4.  Recall of Open Delegation

   The following events necessitate the recall of an open delegation:

   o  Potentially conflicting OPEN request (or READ/WRITE done with
      "special" stateid)

   o  SETATTR issued by another client

Haynes & Noveck              Standards Track                  [Page 158]

RFC 7530                          NFSv4                       March 2015

   o  REMOVE request for the file

   o  RENAME request for the file as either source or target of the

   Whether a RENAME of a directory in the path leading to the file
   results in the recall of an open delegation depends on the semantics
   of the server file system.  If that file system denies such RENAMEs
   when a file is open, the recall must be performed to determine
   whether the file in question is, in fact, open.

   In addition to the situations above, the server may choose to recall
   open delegations at any time if resource constraints make it
   advisable to do so.  Clients should always be prepared for the
   possibility of a recall.

   When a client receives a recall for an open delegation, it needs to
   update state on the server before returning the delegation.  These
   same updates must be done whenever a client chooses to return a
   delegation voluntarily.  The following items of state need to be
   dealt with:

   o  If the file associated with the delegation is no longer open and
      no previous CLOSE operation has been sent to the server, a CLOSE
      operation must be sent to the server.

   o  If a file has other open references at the client, then OPEN
      operations must be sent to the server.  The appropriate stateids
      will be provided by the server for subsequent use by the client
      since the delegation stateid will not longer be valid.  These OPEN
      requests are done with the claim type of CLAIM_DELEGATE_CUR.  This
      will allow the presentation of the delegation stateid so that the
      client can establish the appropriate rights to perform the OPEN.
      (See Section 16.16 for details.)

   o  If there are granted file locks, the corresponding LOCK operations
      need to be performed.  This applies to the OPEN_DELEGATE_WRITE
      delegation case only.

   o  For an OPEN_DELEGATE_WRITE delegation, if at the time of the
      recall the file is not open for write, all modified data for the
      file must be flushed to the server.  If the delegation had not
      existed, the client would have done this data flush before the
      CLOSE operation.

   o  For an OPEN_DELEGATE_WRITE delegation, when a file is still open
      at the time of the recall, any modified data for the file needs to
      be flushed to the server.

Haynes & Noveck              Standards Track                  [Page 159]

RFC 7530                          NFSv4                       March 2015

   o  With the OPEN_DELEGATE_WRITE delegation in place, it is possible
      that the file was truncated during the duration of the delegation.
      For example, the truncation could have occurred as a result of an
      OPEN UNCHECKED4 with a size attribute value of zero.  Therefore,
      if a truncation of the file has occurred and this operation has
      not been propagated to the server, the truncation must occur
      before any modified data is written to the server.

   In the case of an OPEN_DELEGATE_WRITE delegation, file locking
   imposes some additional requirements.  To precisely maintain the
   associated invariant, it is required to flush any modified data in
   any region for which a write lock was released while the
   OPEN_DELEGATE_WRITE delegation was in effect.  However, because the
   OPEN_DELEGATE_WRITE delegation implies no other locking by other
   clients, a simpler implementation is to flush all modified data for
   the file (as described just above) if any write lock has been
   released while the OPEN_DELEGATE_WRITE delegation was in effect.

   An implementation need not wait until delegation recall (or deciding
   to voluntarily return a delegation) to perform any of the above
   actions, if implementation considerations (e.g., resource
   availability constraints) make that desirable.  Generally, however,
   the fact that the actual open state of the file may continue to
   change makes it not worthwhile to send information about opens and
   closes to the server, except as part of delegation return.  Only in
   the case of closing the open that resulted in obtaining the
   delegation would clients be likely to do this early, since, in that
   case, the close once done will not be undone.  Regardless of the
   client's choices on scheduling these actions, all must be performed
   before the delegation is returned, including (when applicable) the
   close that corresponds to the open that resulted in the delegation.
   These actions can be performed either in previous requests or in
   previous operations in the same COMPOUND request.

10.4.5.  OPEN Delegation Race with CB_RECALL

   The server informs the client of a recall via a CB_RECALL.  A race
   case that may develop is when the delegation is immediately recalled
   before the COMPOUND that established the delegation is returned to
   the client.  As the CB_RECALL provides both a stateid and a
   filehandle for which the client has no mapping, it cannot honor the
   recall attempt.  At this point, the client has two choices: either do
   not respond or respond with NFS4ERR_BADHANDLE.  If it does not
   respond, then it runs the risk of the server deciding to not grant it
   further delegations.

Haynes & Noveck              Standards Track                  [Page 160]

RFC 7530                          NFSv4                       March 2015

   If instead it does reply with NFS4ERR_BADHANDLE, then both the client
   and the server might be able to detect that a race condition is
   occurring.  The client can keep a list of pending delegations.  When
   it receives a CB_RECALL for an unknown delegation, it can cache the
   stateid and filehandle on a list of pending recalls.  When it is
   provided with a delegation, it would only use it if it was not on the
   pending recall list.  Upon the next CB_RECALL, it could immediately
   return the delegation.

   In turn, the server can keep track of when it issues a delegation and
   assume that if a client responds to the CB_RECALL with an
   NFS4ERR_BADHANDLE, then the client has yet to receive the delegation.
   The server SHOULD give the client a reasonable time both to get this
   delegation and to return it before revoking the delegation.  Unlike a
   failed callback path, the server should periodically probe the client
   with CB_RECALL to see if it has received the delegation and is ready
   to return it.

   When the server finally determines that enough time has elapsed, it
   SHOULD revoke the delegation and it SHOULD NOT revoke the lease.
   During this extended recall process, the server SHOULD be renewing
   the client lease.  The intent here is that the client not pay too
   onerous a burden for a condition caused by the server.

10.4.6.  Clients That Fail to Honor Delegation Recalls

   A client may fail to respond to a recall for various reasons, such as
   a failure of the callback path from the server to the client.  The
   client may be unaware of a failure in the callback path.  This lack
   of awareness could result in the client finding out long after the
   failure that its delegation has been revoked, and another client has
   modified the data for which the client had a delegation.  This is
   especially a problem for the client that held an OPEN_DELEGATE_WRITE

   The server also has a dilemma in that the client that fails to
   respond to the recall might also be sending other NFS requests,
   including those that renew the lease before the lease expires.
   Without returning an error for those lease-renewing operations, the
   server leads the client to believe that the delegation it has is
   in force.

Haynes & Noveck              Standards Track                  [Page 161]

RFC 7530                          NFSv4                       March 2015

   This difficulty is solved by the following rules:

   o  When the callback path is down, the server MUST NOT revoke the
      delegation if one of the following occurs:

      *  The client has issued a RENEW operation, and the server has
         returned an NFS4ERR_CB_PATH_DOWN error.  The server MUST renew
         the lease for any byte-range locks and share reservations the
         client has that the server has known about (as opposed to those
         locks and share reservations the client has established but not
         yet sent to the server, due to the delegation).  The server
         SHOULD give the client a reasonable time to return its
         delegations to the server before revoking the client's

      *  The client has not issued a RENEW operation for some period of
         time after the server attempted to recall the delegation.  This
         period of time MUST NOT be less than the value of the
         lease_time attribute.

   o  When the client holds a delegation, it cannot rely on operations,
      except for RENEW, that take a stateid, to renew delegation leases
      across callback path failures.  The client that wants to keep
      delegations in force across callback path failures must use RENEW
      to do so.

10.4.7.  Delegation Revocation

   At the point a delegation is revoked, if there are associated opens
   on the client, the applications holding these opens need to be
   notified.  This notification usually occurs by returning errors for
   READ/WRITE operations or when a close is attempted for the open file.

   If no opens exist for the file at the point the delegation is
   revoked, then notification of the revocation is unnecessary.
   However, if there is modified data present at the client for the
   file, the user of the application should be notified.  Unfortunately,
   it may not be possible to notify the user since active applications
   may not be present at the client.  See Section 10.5.1 for additional

10.5.  Data Caching and Revocation

   When locks and delegations are revoked, the assumptions upon which
   successful caching depend are no longer guaranteed.  For any locks or
   share reservations that have been revoked, the corresponding owner
   needs to be notified.  This notification includes applications with a
   file open that has a corresponding delegation that has been revoked.

Haynes & Noveck              Standards Track                  [Page 162]

RFC 7530                          NFSv4                       March 2015

   Cached data associated with the revocation must be removed from the
   client.  In the case of modified data existing in the client's cache,
   that data must be removed from the client without it being written to
   the server.  As mentioned, the assumptions made by the client are no
   longer valid at the point when a lock or delegation has been revoked.
   For example, another client may have been granted a conflicting lock
   after the revocation of the lock at the first client.  Therefore, the
   data within the lock range may have been modified by the other
   client.  Obviously, the first client is unable to guarantee to the
   application what has occurred to the file in the case of revocation.

   Notification to a lock-owner will in many cases consist of simply
   returning an error on the next and all subsequent READs/WRITEs to the
   open file or on the close.  Where the methods available to a client
   make such notification impossible because errors for certain
   operations may not be returned, more drastic action, such as signals
   or process termination, may be appropriate.  The justification for
   this is that an invariant on which an application depends may be
   violated.  Depending on how errors are typically treated for the
   client operating environment, further levels of notification,
   including logging, console messages, and GUI pop-ups, may be

10.5.1.  Revocation Recovery for Write Open Delegation

   Revocation recovery for an OPEN_DELEGATE_WRITE delegation poses the
   special issue of modified data in the client cache while the file is
   not open.  In this situation, any client that does not flush modified
   data to the server on each close must ensure that the user receives
   appropriate notification of the failure as a result of the
   revocation.  Since such situations may require human action to
   correct problems, notification schemes in which the appropriate user
   or administrator is notified may be necessary.  Logging and console
   messages are typical examples.

   If there is modified data on the client, it must not be flushed
   normally to the server.  A client may attempt to provide a copy of
   the file data as modified during the delegation under a different
   name in the file system namespace to ease recovery.  Note that when
   the client can determine that the file has not been modified by any
   other client, or when the client has a complete cached copy of the
   file in question, such a saved copy of the client's view of the file
   may be of particular value for recovery.  In other cases, recovery
   using a copy of the file, based partially on the client's cached data
   and partially on the server copy as modified by other clients, will
   be anything but straightforward, so clients may avoid saving file
   contents in these situations or mark the results specially to warn
   users of possible problems.

Haynes & Noveck              Standards Track                  [Page 163]

RFC 7530                          NFSv4                       March 2015

   The saving of such modified data in delegation revocation situations
   may be limited to files of a certain size or might be used only when
   sufficient disk space is available within the target file system.
   Such saving may also be restricted to situations when the client has
   sufficient buffering resources to keep the cached copy available
   until it is properly stored to the target file system.

10.6.  Attribute Caching

   The attributes discussed in this section do not include named
   attributes.  Individual named attributes are analogous to files, and
   caching of the data for these needs to be handled just as data
   caching is for regular files.  Similarly, LOOKUP results from an
   OPENATTR directory are to be cached on the same basis as any other
   pathnames and similarly for directory contents.

   Clients may cache file attributes obtained from the server and use
   them to avoid subsequent GETATTR requests.  This cache is write
   through caching in that any modifications to the file attributes are
   always done by means of requests to the server, which means the
   modifications should not be done locally and should not be cached.
   Exceptions to this are modifications to attributes that are
   intimately connected with data caching.  Therefore, extending a file
   by writing data to the local data cache is reflected immediately in
   the size as seen on the client without this change being immediately
   reflected on the server.  Normally, such changes are not propagated
   directly to the server, but when the modified data is flushed to the
   server, analogous attribute changes are made on the server.  When
   open delegation is in effect, the modified attributes may be returned
   to the server in the response to a CB_GETATTR call.

   The result of local caching of attributes is that the attribute
   caches maintained on individual clients will not be coherent.
   Changes made in one order on the server may be seen in a different
   order on one client and in a third order on a different client.

   The typical file system application programming interfaces do not
   provide means to atomically modify or interrogate attributes for
   multiple files at the same time.  The following rules provide an
   environment where the potential incoherency mentioned above can be
   reasonably managed.  These rules are derived from the practice of
   previous NFS protocols.

   o  All attributes for a given file (per-fsid attributes excepted) are
      cached as a unit at the client so that no non-serializability can
      arise within the context of a single file.

Haynes & Noveck              Standards Track                  [Page 164]

RFC 7530                          NFSv4                       March 2015

   o  An upper time boundary is maintained on how long a client cache
      entry can be kept without being refreshed from the server.

   o  When operations are performed that modify attributes at the
      server, the updated attribute set is requested as part of the
      containing RPC.  This includes directory operations that update
      attributes indirectly.  This is accomplished by following the
      modifying operation with a GETATTR operation and then using the
      results of the GETATTR to update the client's cached attributes.

   Note that if the full set of attributes to be cached is requested by
   READDIR, the results can be cached by the client on the same basis as
   attributes obtained via GETATTR.

   A client may validate its cached version of attributes for a file by
   only fetching both the change and time_access attributes and assuming
   that if the change attribute has the same value as it did when the
   attributes were cached, then no attributes other than time_access
   have changed.  The time_access attribute is also fetched because many
   servers operate in environments where the operation that updates
   change does not update time_access.  For example, POSIX file
   semantics do not update access time when a file is modified by the
   write system call.  Therefore, the client that wants a current
   time_access value should fetch it with change during the attribute
   cache validation processing and update its cached time_access.

   The client may maintain a cache of modified attributes for those
   attributes intimately connected with data of modified regular files
   (size, time_modify, and change).  Other than those three attributes,
   the client MUST NOT maintain a cache of modified attributes.
   Instead, attribute changes are immediately sent to the server.

   In some operating environments, the equivalent to time_access is
   expected to be implicitly updated by each read of the content of the
   file object.  If an NFS client is caching the content of a file
   object, whether it is a regular file, directory, or symbolic link,
   the client SHOULD NOT update the time_access attribute (via SETATTR
   or a small READ or READDIR request) on the server with each read that
   is satisfied from cache.  The reason is that this can defeat the
   performance benefits of caching content, especially since an explicit
   SETATTR of time_access may alter the change attribute on the server.
   If the change attribute changes, clients that are caching the content
   will think the content has changed and will re-read unmodified data
   from the server.  Nor is the client encouraged to maintain a modified
   version of time_access in its cache, since this would mean that the
   client either will eventually have to write the access time to the
   server with bad performance effects or would never update the
   server's time_access, thereby resulting in a situation where an

Haynes & Noveck              Standards Track                  [Page 165]

RFC 7530                          NFSv4                       March 2015

   application that caches access time between a close and open of the
   same file observes the access time oscillating between the past and
   present.  The time_access attribute always means the time of last
   access to a file by a READ that was satisfied by the server.  This
   way, clients will tend to see only time_access changes that go
   forward in time.

10.7.  Data and Metadata Caching and Memory-Mapped Files

   Some operating environments include the capability for an application
   to map a file's content into the application's address space.  Each
   time the application accesses a memory location that corresponds to a
   block that has not been loaded into the address space, a page fault
   occurs and the file is read (or if the block does not exist in the
   file, the block is allocated and then instantiated in the
   application's address space).

   As long as each memory-mapped access to the file requires a page
   fault, the relevant attributes of the file that are used to detect
   access and modification (time_access, time_metadata, time_modify, and
   change) will be updated.  However, in many operating environments,
   when page faults are not required, these attributes will not be
   updated on reads or updates to the file via memory access (regardless
   of whether the file is a local file or is being accessed remotely).
   A client or server MAY fail to update attributes of a file that is
   being accessed via memory-mapped I/O.  This has several implications:

   o  If there is an application on the server that has memory mapped a
      file that a client is also accessing, the client may not be able
      to get a consistent value of the change attribute to determine
      whether its cache is stale or not.  A server that knows that the
      file is memory mapped could always pessimistically return updated
      values for change so as to force the application to always get the
      most up-to-date data and metadata for the file.  However, due to
      the negative performance implications of this, such behavior is

   o  If the memory-mapped file is not being modified on the server and
      instead is just being read by an application via the memory-mapped
      interface, the client will not see an updated time_access
      attribute.  However, in many operating environments, neither will
      any process running on the server.  Thus, NFS clients are at no
      disadvantage with respect to local processes.

   o  If there is another client that is memory mapping the file and if
      that client is holding an OPEN_DELEGATE_WRITE delegation, the same
      set of issues as discussed in the previous two bullet items apply.
      So, when a server does a CB_GETATTR to a file that the client has

Haynes & Noveck              Standards Track                  [Page 166]

RFC 7530                          NFSv4                       March 2015

      modified in its cache, the response from CB_GETATTR will not
      necessarily be accurate.  As discussed earlier, the client's
      obligation is to report that the file has been modified since the
      delegation was granted, not whether it has been modified again
      between successive CB_GETATTR calls, and the server MUST assume
      that any file the client has modified in cache has been modified
      again between successive CB_GETATTR calls.  Depending on the
      nature of the client's memory management system, this weak
      obligation may not be possible.  A client MAY return stale
      information in CB_GETATTR whenever the file is memory mapped.

   o  The mixture of memory mapping and file locking on the same file is
      problematic.  Consider the following scenario, where the page size
      on each client is 8192 bytes.

      *  Client A memory maps first page (8192 bytes) of file X.

      *  Client B memory maps first page (8192 bytes) of file X.

      *  Client A write locks first 4096 bytes.

      *  Client B write locks second 4096 bytes.

      *  Client A, via a STORE instruction, modifies part of its locked

      *  Simultaneous to client A, client B issues a STORE on part of
         its locked region.

   Here, the challenge is for each client to resynchronize to get a
   correct view of the first page.  In many operating environments, the
   virtual memory management systems on each client only know a page is
   modified, not that a subset of the page corresponding to the
   respective lock regions has been modified.  So it is not possible for
   each client to do the right thing, which is to only write to the
   server that portion of the page that is locked.  For example, if
   client A simply writes out the page, and then client B writes out the
   page, client A's data is lost.

   Moreover, if mandatory locking is enabled on the file, then we have a
   different problem.  When clients A and B issue the STORE
   instructions, the resulting page faults require a byte-range lock on
   the entire page.  Each client then tries to extend their locked range
   to the entire page, which results in a deadlock.

   Communicating the NFS4ERR_DEADLOCK error to a STORE instruction is
   difficult at best.

Haynes & Noveck              Standards Track                  [Page 167]

RFC 7530                          NFSv4                       March 2015

   If a client is locking the entire memory-mapped file, there is no
   problem with advisory or mandatory byte-range locking, at least until
   the client unlocks a region in the middle of the file.

   Given the above issues, the following are permitted:

   o  Clients and servers MAY deny memory mapping a file they know there
      are byte-range locks for.

   o  Clients and servers MAY deny a byte-range lock on a file they know
      is memory mapped.

   o  A client MAY deny memory mapping a file that it knows requires
      mandatory locking for I/O.  If mandatory locking is enabled after
      the file is opened and mapped, the client MAY deny the application
      further access to its mapped file.

10.8.  Name Caching

   The results of LOOKUP and READDIR operations may be cached to avoid
   the cost of subsequent LOOKUP operations.  Just as in the case of
   attribute caching, inconsistencies may arise among the various client
   caches.  To mitigate the effects of these inconsistencies and given
   the context of typical file system APIs, an upper time boundary is
   maintained on how long a client name cache entry can be kept without
   verifying that the entry has not been made invalid by a directory
   change operation performed by another client.

   When a client is not making changes to a directory for which there
   exist name cache entries, the client needs to periodically fetch
   attributes for that directory to ensure that it is not being
   modified.  After determining that no modification has occurred, the
   expiration time for the associated name cache entries may be updated
   to be the current time plus the name cache staleness bound.

   When a client is making changes to a given directory, it needs to
   determine whether there have been changes made to the directory by
   other clients.  It does this by using the change attribute as
   reported before and after the directory operation in the associated
   change_info4 value returned for the operation.  The server is able to
   communicate to the client whether the change_info4 data is provided
   atomically with respect to the directory operation.  If the change
   values are provided atomically, the client is then able to compare
   the pre-operation change value with the change value in the client's
   name cache.  If the comparison indicates that the directory was
   updated by another client, the name cache associated with the
   modified directory is purged from the client.  If the comparison
   indicates no modification, the name cache can be updated on the

Haynes & Noveck              Standards Track                  [Page 168]

RFC 7530                          NFSv4                       March 2015

   client to reflect the directory operation and the associated timeout
   extended.  The post-operation change value needs to be saved as the
   basis for future change_info4 comparisons.

   As demonstrated by the scenario above, name caching requires that the
   client revalidate name cache data by inspecting the change attribute
   of a directory at the point when the name cache item was cached.
   This requires that the server update the change attribute for
   directories when the contents of the corresponding directory are
   modified.  For a client to use the change_info4 information
   appropriately and correctly, the server must report the pre- and
   post-operation change attribute values atomically.  When the server
   is unable to report the before and after values atomically with
   respect to the directory operation, the server must indicate that
   fact in the change_info4 return value.  When the information is not
   atomically reported, the client should not assume that other clients
   have not changed the directory.

10.9.  Directory Caching

   The results of READDIR operations may be used to avoid subsequent
   READDIR operations.  Just as in the cases of attribute and name
   caching, inconsistencies may arise among the various client caches.
   To mitigate the effects of these inconsistencies, and given the
   context of typical file system APIs, the following rules should be

   o  Cached READDIR information for a directory that is not obtained in
      a single READDIR operation must always be a consistent snapshot of
      directory contents.  This is determined by using a GETATTR before
      the first READDIR and after the last READDIR that contributes to
      the cache.

   o  An upper time boundary is maintained to indicate the length of
      time a directory cache entry is considered valid before the client
      must revalidate the cached information.

   The revalidation technique parallels that discussed in the case of
   name caching.  When the client is not changing the directory in
   question, checking the change attribute of the directory with GETATTR
   is adequate.  The lifetime of the cache entry can be extended at
   these checkpoints.  When a client is modifying the directory, the
   client needs to use the change_info4 data to determine whether there
   are other clients modifying the directory.  If it is determined that
   no other client modifications are occurring, the client may update
   its directory cache to reflect its own changes.

Haynes & Noveck              Standards Track                  [Page 169]

RFC 7530                          NFSv4                       March 2015

   As demonstrated previously, directory caching requires that the
   client revalidate directory cache data by inspecting the change
   attribute of a directory at the point when the directory was cached.
   This requires that the server update the change attribute for
   directories when the contents of the corresponding directory are
   modified.  For a client to use the change_info4 information
   appropriately and correctly, the server must report the pre- and
   post-operation change attribute values atomically.  When the server
   is unable to report the before and after values atomically with
   respect to the directory operation, the server must indicate that
   fact in the change_info4 return value.  When the information is not
   atomically reported, the client should not assume that other clients
   have not changed the directory.

11.  Minor Versioning

   To address the requirement of an NFS protocol that can evolve as the
   need arises, the NFSv4 protocol contains the rules and framework to
   allow for future minor changes or versioning.

   The base assumption with respect to minor versioning is that any
   future accepted minor version must follow the IETF process and be
   documented in a Standards Track RFC.  Therefore, each minor version
   number will correspond to an RFC.  Minor version 0 of the NFSv4
   protocol is represented by this RFC.  The COMPOUND and CB_COMPOUND
   procedures support the encoding of the minor version being requested
   by the client.

   Future minor versions will extend, rather than replace, the XDR for
   the preceding minor version, as had been done in moving from NFSv2 to
   NFSv3 and from NFSv3 to NFSv4.0.

   Specification of detailed rules for the construction of minor
   versions will be addressed in documents defining early minor versions
   or, more desirably, in an RFC establishing a versioning framework for
   NFSv4 as a whole.

12.  Internationalization

12.1.  Introduction

   Internationalization is a complex topic with its own set of
   terminology (see [RFC6365]).  The topic is made more complex in
   NFSv4.0 by the tangled history and state of NFS implementations.
   This section describes what we might call "NFSv4.0
   internationalization" (i.e., internationalization as implemented by
   existing clients and servers) as the basis upon which NFSv4.0 clients
   may implement internationalization support.

Haynes & Noveck              Standards Track                  [Page 170]

RFC 7530                          NFSv4                       March 2015

   This section is based on the behavior of existing implementations.
   Note that the behaviors described are each demonstrated by a
   combination of an NFSv4 server implementation proper and a
   server-side physical file system.  It is common for servers and
   physical file systems to be configurable as to the behavior shown.
   In the discussion below, each configuration that shows different
   behavior is considered separately.

   Note that in this section, the key words "MUST", "SHOULD", and "MAY"
   retain their normal meanings.  However, in deriving this
   specification from implementation patterns, we document below how the
   normative terms used derive from the behavior of existing
   implementations, in those situations in which existing implementation
   behavior patterns can be determined.

   o  Behavior implemented by all existing clients or servers is
      described using "MUST", since new implementations need to follow
      existing ones to be assured of interoperability.  While it is
      possible that different behavior might be workable, we have found
      no case where this seems reasonable.

      The converse holds for "MUST NOT": if a type of behavior poses
      interoperability problems, it MUST NOT be implemented by any
      existing clients or servers.

   o  Behavior implemented by most existing clients or servers, where
      that behavior is more desirable than any alternative, is described
      using "SHOULD", since new implementations need to follow that
      existing practice unless there are strong reasons to do otherwise.

      The converse holds for "SHOULD NOT".

   o  Behavior implemented by some, but not all, existing clients or
      servers is described using "MAY", indicating that new
      implementations have a choice as to whether they will behave in
      that way.  Thus, new implementations will have the same
      flexibility that existing ones do.

   o  Behavior implemented by all existing clients or servers, so far as
      is known -- but where there remains some uncertainty as to details
      -- is described using "should".  Such cases primarily concern
      details of error returns.  New implementations should follow
      existing practice even though such situations generally do not
      affect interoperability.

   There are also cases in which certain server behaviors, while not
   known to exist, cannot be reliably determined not to exist.  In part,
   this is a consequence of the long period of time that has elapsed

Haynes & Noveck              Standards Track                  [Page 171]

RFC 7530                          NFSv4                       March 2015

   since the publication of [RFC3530], resulting in a situation in which
   those involved in the implementation may no longer be involved in or
   aware of working group activities.

   In the case of possible server behavior that is neither known to
   exist nor known not to exist, we use "SHOULD NOT" and "MUST NOT" as
   follows, and similarly for "SHOULD" and "MUST".

   o  In some cases, the potential behavior is not known to exist but is
      of such a nature that, if it were in fact implemented,
      interoperability difficulties would be expected and reported,
      giving us cause to conclude that the potential behavior is not
      implemented.  For such behavior, we use "MUST NOT".  Similarly, we
      use "MUST" to apply to the contrary behavior.

   o  In other cases, potential behavior is not known to exist but the
      behavior, while undesirable, is not of such a nature that we are
      able to draw any conclusions about its potential existence.  In
      such cases, we use "SHOULD NOT".  Similarly, we use "SHOULD" to
      apply to the contrary behavior.

   In the case of a "MAY", "SHOULD", or "SHOULD NOT" that applies to
   servers, clients need to be aware that there are servers that may or
   may not take the specified action, and they need to be prepared for
   either eventuality.

12.2.  Limitations on Internationalization-Related Processing in the
       NFSv4 Context

   There are a number of noteworthy circumstances that limit the degree
   to which internationalization-related processing can be made
   universal with regard to NFSv4 clients and servers:

   o  The NFSv4 client is part of an extensive set of client-side
      software components whose design and internal interfaces are not
      within the IETF's purview, limiting the degree to which a
      particular character encoding may be made standard.

   o  Server-side handling of file component names is typically
      implemented within a server-side physical file system, whose
      handling of character encoding and normalization is not
      specifiable by the IETF.

   o  Typical implementation patterns in UNIX systems result in the
      NFSv4 client having no knowledge of the character encoding being
      used, which may even vary between processes on the same client

Haynes & Noveck              Standards Track                  [Page 172]

RFC 7530                          NFSv4                       March 2015

   o  Users may need access to files stored previously with non-UTF-8
      encodings, or with UTF-8 encodings that do not match any
      particular normalization form.

12.3.  Summary of Server Behavior Types

   As mentioned in Section 12.6, servers MAY reject component name
   strings that are not valid UTF-8.  This leads to a number of types of
   valid server behavior, as outlined below.  When these are combined
   with the valid normalization-related behaviors as described in
   Section 12.4, this leads to the combined behaviors outlined below.

   o  Servers that limit file component names to UTF-8 strings exist
      with normalization-related handling as described in Section 12.4.
      These are best described as "UTF-8-only servers".

   o  Servers that do not limit file component names to UTF-8 strings
      are very common and are necessary to deal with clients/
      applications not oriented to the use of UTF-8.  Such servers
      ignore normalization-related issues, and there is no way for them
      to implement either normalization or representation-independent
      lookups.  These are best described as "UTF-8-unaware servers",
      since they treat file component names as uninterpreted strings of
      bytes and have no knowledge of the characters represented.  See
      Section 12.7 for details.

   o  It is possible for a server to allow component names that are not
      valid UTF-8, while still being aware of the structure of UTF-8
      strings.  Such servers could implement either normalization or
      representation-independent lookups but apply those techniques only
      to valid UTF-8 strings.  Such servers are not common, but it is
      possible to configure at least one known server to have this
      behavior.  This behavior SHOULD NOT be used due to the possibility
      that a filename using one character set may, by coincidence,
      have the appearance of a UTF-8 filename; the results of UTF-8
      normalization or representation-independent lookups are
      unlikely to be correct in all cases with respect to the other
      character set.

12.4.  String Encoding

   Strings that potentially contain characters outside the ASCII range
   [RFC20] are generally represented in NFSv4 using the UTF-8 encoding
   [RFC3629] of Unicode [UNICODE].  See [RFC3629] for precise encoding
   and decoding rules.

Haynes & Noveck              Standards Track                  [Page 173]

RFC 7530                          NFSv4                       March 2015

   Some details of the protocol treatment depend on the type of string:

   o  For strings that are component names, the preferred encoding for
      any non-ASCII characters is the UTF-8 representation of Unicode.

      In many cases, clients have no knowledge of the encoding being
      used, with the encoding done at the user level under the control
      of a per-process locale specification.  As a result, it may be
      impossible for the NFSv4 client to enforce the use of UTF-8.  The
      use of non-UTF-8 encodings can be problematic, since it may
      interfere with access to files stored using other forms of name
      encoding.  Also, normalization-related processing (see
      Section 12.5) of a string not encoded in UTF-8 could result in
      inappropriate name modification or aliasing.  In cases in which
      one has a non-UTF-8 encoded name that accidentally conforms to
      UTF-8 rules, substitution of canonically equivalent strings can
      change the non-UTF-8 encoded name drastically.

      The kinds of modification and aliasing mentioned here can lead to
      both false negatives and false positives, depending on the strings
      in question, which can result in security issues such as elevation
      of privilege and denial of service (see [RFC6943] for further

   o  For strings based on domain names, non-ASCII characters MUST be
      represented using the UTF-8 encoding of Unicode, and additional
      string format restrictions apply.  See Section 12.6 for details.

   o  The contents of symbolic links (of type linktext4 in the XDR) MUST
      be treated as opaque data by NFSv4 servers.  Although UTF-8
      encoding is often used, it need not be.  In this respect, the
      contents of symbolic links are like the contents of regular files
      in that their encoding is not within the scope of this

   o  For other sorts of strings, any non-ASCII characters SHOULD be
      represented using the UTF-8 encoding of Unicode.

12.5.  Normalization

   The client and server operating environments may differ in their
   policies and operational methods with respect to character
   normalization (see [UNICODE] for a discussion of normalization
   forms).  This difference may also exist between applications on the
   same client.  This adds to the difficulty of providing a single
   normalization policy for the protocol that allows for maximal
   interoperability.  This issue is similar to the issues of character
   case where the server may or may not support case-insensitive

Haynes & Noveck              Standards Track                  [Page 174]

RFC 7530                          NFSv4                       March 2015

   filename matching and may or may not preserve the character case when
   storing filenames.  The protocol does not mandate a particular
   behavior but allows for a range of useful behaviors.

   The NFSv4 protocol does not mandate the use of a particular
   normalization form at this time.  A subsequent minor version of the
   NFSv4 protocol might specify a particular normalization form.
   Therefore, the server and client can expect that they may receive
   unnormalized characters within protocol requests and responses.  If
   the operating environment requires normalization, then the
   implementation will need to normalize the various UTF-8 encoded
   strings within the protocol before presenting the information to an
   application (at the client) or local file system (at the server).

   Server implementations MAY normalize filenames to conform to a
   particular normalization form before using the resulting string when
   looking up or creating a file.  Servers MAY also perform
   normalization-insensitive string comparisons without modifying the
   names to match a particular normalization form.  Except in cases in
   which component names are excluded from normalization-related
   handling because they are not valid UTF-8 strings, a server MUST make
   the same choice (as to whether to normalize or not, the target form
   of normalization, and whether to do normalization-insensitive string
   comparisons) in the same way for all accesses to a particular file
   system.  Servers SHOULD NOT reject a filename because it does not
   conform to a particular normalization form, as this may deny access
   to clients that use a different normalization form.

12.6.  Types with Processing Defined by Other Internet Areas

   There are two types of strings that NFSv4 deals with that are based
   on domain names.  Processing of such strings is defined by other
   Internet standards, and hence the processing behavior for such
   strings should be consistent across all server operating systems and
   server file systems.

   These are as follows:

   o  Server names as they appear in the fs_locations attribute.  Note
      that for most purposes, such server names will only be sent by the
      server to the client.  The exception is the use of the
      fs_locations attribute in a VERIFY or NVERIFY operation.

   o  Principal suffixes that are used to denote sets of users and
      groups, and are in the form of domain names.

Haynes & Noveck              Standards Track                  [Page 175]

RFC 7530                          NFSv4                       March 2015

   The general rules for handling all of these domain-related strings
   are similar and independent of the role of the sender or receiver as
   client or server, although the consequences of failure to obey these
   rules may be different for client or server.  The server can report
   errors when it is sent invalid strings, whereas the client will
   simply ignore invalid string or use a default value in their place.

   The string sent SHOULD be in the form of one or more U-labels as
   defined by [RFC5890].  If that is impractical, it can instead be in
   the form of one or more LDH labels [RFC5890] or a UTF-8 domain name
   that contains labels that are not properly formatted U-labels.  The
   receiver needs to be able to accept domain and server names in any of
   the formats allowed.  The server MUST reject, using the error
   NFS4ERR_INVAL, a string that is not valid UTF-8, or that contains an
   ASCII label that is not a valid LDH label, or that contains an
   XN-label (begins with "xn--") for which the characters after "xn--"
   are not valid output of the Punycode algorithm [RFC3492].

   When a domain string is part of id@domain or group@domain, there are
   two possible approaches:

   1.  The server treats the domain string as a series of U-labels.  In
       cases where the domain string is a series of A-labels or
       Non-Reserved LDH (NR-LDH) labels, it converts them to U-labels
       using the Punycode algorithm [RFC3492].  In cases where the
       domain string is a series of other sorts of LDH labels, the
       server can use the ToUnicode function defined in [RFC3490] to
       convert the string to a series of labels that generally conform
       to the U-label syntax.  In cases where the domain string is a
       UTF-8 string that contains non-U-labels, the server can attempt
       to use the ToASCII function defined in [RFC3490] and then the
       ToUnicode function on the string to convert it to a series of
       labels that generally conform to the U-label syntax.  As a
       result, the domain string returned within a user id on a GETATTR
       may not match that sent when the user id is set using SETATTR,
       although when this happens, the domain will be in the form that
       generally conforms to the U-label syntax.

   2.  The server does not attempt to treat the domain string as a
       series of U-labels; specifically, it does not map a domain string
       that is not a U-label into a U-label using the methods described
       above.  As a result, the domain string returned on a GETATTR of
       the user id MUST be the same as that used when setting the
       user id by the SETATTR.

   A server SHOULD use the first method.

Haynes & Noveck              Standards Track                  [Page 176]

RFC 7530                          NFSv4                       March 2015

   For VERIFY and NVERIFY, additional string processing requirements
   apply to verification of the owner and owner_group attributes; see
   Section 5.9.

12.7.  Errors Related to UTF-8

   Where the client sends an invalid UTF-8 string, the server MAY return
   an NFS4ERR_INVAL error.  This includes cases in which inappropriate
   prefixes are detected and where the count includes trailing bytes
   that do not constitute a full Universal Multiple-Octet Coded
   Character Set (UCS) character.

   Requirements for server handling of component names that are not
   valid UTF-8, when a server does not return NFS4ERR_INVAL in response
   to receiving them, are described in Section 12.8.

   Where the string supplied by the client is not rejected with
   NFS4ERR_INVAL but contains characters that are not supported by the
   server as a value for that string (e.g., names containing slashes, or
   characters that do not fit into 16 bits when converted from UTF-8 to
   a Unicode codepoint), the server should return an NFS4ERR_BADCHAR

   Where a UTF-8 string is used as a filename, and the file system,
   while supporting all of the characters within the name, does not
   allow that particular name to be used, the server should return the
   error NFS4ERR_BADNAME.  This includes such situations as file system
   prohibitions of "." and ".." as filenames for certain operations, and
   similar constraints.

12.8.  Servers That Accept File Component Names That Are Not Valid UTF-8

   As stated previously, servers MAY accept, on all or on some subset of
   the physical file systems exported, component names that are not
   valid UTF-8 strings.  A typical pattern is for a server to use
   UTF-8-unaware physical file systems that treat component names as
   uninterpreted strings of bytes, rather than having any awareness of
   the character set being used.

   Such servers SHOULD NOT change the stored representation of component
   names from those received on the wire and SHOULD use an octet-by-
   octet comparison of component name strings to determine equivalence
   (as opposed to any broader notion of string comparison).  This is
   because the server has no knowledge of the character encoding being

Haynes & Noveck              Standards Track                  [Page 177]

RFC 7530                          NFSv4                       March 2015

   Nonetheless, when such a server uses a broader notion of string
   equivalence than what is recommended in the preceding paragraph, the
   following considerations apply:

   o  Outside of 7-bit ASCII, string processing that changes string
      contents is usually specific to a character set and hence is
      generally unsafe when the character set is unknown.  This
      processing could change the filename in an unexpected fashion,
      rendering the file inaccessible to the application or client that
      created or renamed the file and to others expecting the original
      filename.  Hence, such processing should not be performed, because
      doing so is likely to result in incorrect string modification or

   o  Unicode normalization is particularly dangerous, as such
      processing assumes that the string is UTF-8.  When that assumption
      is false because a different character set was used to create the
      filename, normalization may corrupt the filename with respect to
      that character set, rendering the file inaccessible to the
      application that created it and others expecting the original
      filename.  Hence, Unicode normalization SHOULD NOT be performed,
      because it may cause incorrect string modification or aliasing.

   When the above recommendations are not followed, the resulting string
   modification and aliasing can lead to both false negatives and false
   positives, depending on the strings in question, which can result in
   security issues such as elevation of privilege and denial of service
   (see [RFC6943] for further discussion).

13.  Error Values

   NFS error numbers are assigned to failed operations within a COMPOUND
   or CB_COMPOUND request.  A COMPOUND request contains a number of NFS
   operations that have their results encoded in sequence in a COMPOUND
   reply.  The results of successful operations will consist of an
   NFS4_OK status followed by the encoded results of the operation.  If
   an NFS operation fails, an error status will be entered in the reply,
   and the COMPOUND request will be terminated.

Haynes & Noveck              Standards Track                  [Page 178]

RFC 7530                          NFSv4                       March 2015

13.1.  Error Definitions

       | Error                       | Number | Description       |
       | NFS4_OK                     | 0      | Section  |
       | NFS4ERR_ACCESS              | 13     | Section  |
       | NFS4ERR_ADMIN_REVOKED       | 10047  | Section  |
       | NFS4ERR_ATTRNOTSUPP         | 10032  | Section |
       | NFS4ERR_BADCHAR             | 10040  | Section  |
       | NFS4ERR_BADHANDLE           | 10001  | Section  |
       | NFS4ERR_BADNAME             | 10041  | Section  |
       | NFS4ERR_BADOWNER            | 10039  | Section |
       | NFS4ERR_BADTYPE             | 10007  | Section  |
       | NFS4ERR_BADXDR              | 10036  | Section  |
       | NFS4ERR_BAD_COOKIE          | 10003  | Section  |
       | NFS4ERR_BAD_RANGE           | 10042  | Section  |
       | NFS4ERR_BAD_SEQID           | 10026  | Section  |
       | NFS4ERR_BAD_STATEID         | 10025  | Section  |
       | NFS4ERR_CB_PATH_DOWN        | 10048  | Section |
       | NFS4ERR_CLID_INUSE          | 10017  | Section |
       | NFS4ERR_DEADLOCK            | 10045  | Section  |
       | NFS4ERR_DELAY               | 10008  | Section  |
       | NFS4ERR_DENIED              | 10010  | Section  |
       | NFS4ERR_DQUOT               | 69     | Section  |
       | NFS4ERR_EXIST               | 17     | Section  |
       | NFS4ERR_EXPIRED             | 10011  | Section  |
       | NFS4ERR_FBIG                | 27     | Section  |
       | NFS4ERR_FHEXPIRED           | 10014  | Section  |
       | NFS4ERR_FILE_OPEN           | 10046  | Section  |
       | NFS4ERR_GRACE               | 10013  | Section  |
       | NFS4ERR_INVAL               | 22     | Section  |
       | NFS4ERR_IO                  | 5      | Section  |
       | NFS4ERR_ISDIR               | 21     | Section  |
       | NFS4ERR_LEASE_MOVED         | 10031  | Section  |
       | NFS4ERR_LOCKED              | 10012  | Section  |
       | NFS4ERR_LOCKS_HELD          | 10037  | Section  |
       | NFS4ERR_LOCK_NOTSUPP        | 10043  | Section  |
       | NFS4ERR_LOCK_RANGE          | 10028  | Section  |
       | NFS4ERR_MINOR_VERS_MISMATCH | 10021  | Section  |
       | NFS4ERR_MLINK               | 31     | Section  |
       | NFS4ERR_MOVED               | 10019  | Section  |
       | NFS4ERR_NAMETOOLONG         | 63     | Section  |
       | NFS4ERR_NOENT               | 2      | Section  |
       | NFS4ERR_NOFILEHANDLE        | 10020  | Section  |
       | NFS4ERR_NOSPC               | 28     | Section  |
       | NFS4ERR_NOTDIR              | 20     | Section  |
       | NFS4ERR_NOTEMPTY            | 66     | Section |

Haynes & Noveck              Standards Track                  [Page 179]

RFC 7530                          NFSv4                       March 2015

       | NFS4ERR_NOTSUPP             | 10004  | Section  |
       | NFS4ERR_NOT_SAME            | 10027  | Section |
       | NFS4ERR_NO_GRACE            | 10033  | Section  |
       | NFS4ERR_NXIO                | 6      | Section |
       | NFS4ERR_OLD_STATEID         | 10024  | Section  |
       | NFS4ERR_OPENMODE            | 10038  | Section  |
       | NFS4ERR_OP_ILLEGAL          | 10044  | Section  |
       | NFS4ERR_PERM                | 1      | Section  |
       | NFS4ERR_RECLAIM_BAD         | 10034  | Section  |
       | NFS4ERR_RECLAIM_CONFLICT    | 10035  | Section  |
       | NFS4ERR_RESOURCE            | 10018  | Section  |
       | NFS4ERR_RESTOREFH           | 10030  | Section |
       | NFS4ERR_ROFS                | 30     | Section |
       | NFS4ERR_SAME                | 10009  | Section |
       | NFS4ERR_SERVERFAULT         | 10006  | Section  |
       | NFS4ERR_SHARE_DENIED        | 10015  | Section |
       | NFS4ERR_STALE               | 70     | Section  |
       | NFS4ERR_STALE_CLIENTID      | 10022  | Section |
       | NFS4ERR_STALE_STATEID       | 10023  | Section  |
       | NFS4ERR_SYMLINK             | 10029  | Section  |
       | NFS4ERR_TOOSMALL            | 10005  | Section  |
       | NFS4ERR_WRONGSEC            | 10016  | Section  |
       | NFS4ERR_XDEV                | 18     | Section |

                    Table 6: Protocol Error Definitions

13.1.1.  General Errors

   This section deals with errors that are applicable to a broad set of
   different purposes.  NFS4ERR_BADXDR (Error Code 10036)

   The arguments for this operation do not match those specified in the
   XDR definition.  This includes situations in which the request ends
   before all the arguments have been seen.  Note that this error
   applies when fixed enumerations (these include booleans) have a value
   within the input stream that is not valid for the enum.  A replier
   may pre-parse all operations for a COMPOUND procedure before doing
   any operation execution and return RPC-level XDR errors in that case.  NFS4ERR_BAD_COOKIE (Error Code 10003)

   This error is used for operations that provide a set of information
   indexed by some quantity provided by the client or cookie sent by the
   server for an earlier invocation.  Where the value cannot be used for
   its intended purpose, this error results.

Haynes & Noveck              Standards Track                  [Page 180]

RFC 7530                          NFSv4                       March 2015  NFS4ERR_DELAY (Error Code 10008)

   For any of a number of reasons, the replier could not process this
   operation in what was deemed a reasonable time.  The client should
   wait and then try the request with a new RPC transaction ID.

   The following are two examples of what might lead to this situation:

   o  A server that supports hierarchical storage receives a request to
      process a file that had been migrated.

   o  An operation requires a delegation recall to proceed, and waiting
      for this delegation recall makes processing this request in a
      timely fashion impossible.  NFS4ERR_INVAL (Error Code 22)

   The arguments for this operation are not valid for some reason, even
   though they do match those specified in the XDR definition for the
   request.  NFS4ERR_NOTSUPP (Error Code 10004)

   The operation is not supported, either because the operation is an
   OPTIONAL one and is not supported by this server or because the
   operation MUST NOT be implemented in the current minor version.  NFS4ERR_SERVERFAULT (Error Code 10006)

   An error that does not map to any of the specific legal NFSv4
   protocol error values occurred on the server.  The client should
   translate this into an appropriate error.  UNIX clients may choose to
   translate this to EIO.  NFS4ERR_TOOSMALL (Error Code 10005)

   This error is used where an operation returns a variable amount of
   data, with a limit specified by the client.  Where the data returned
   cannot be fitted within the limit specified by the client, this error

13.1.2.  Filehandle Errors

   These errors deal with the situation in which the current or saved
   filehandle, or the filehandle passed to PUTFH intended to become the
   current filehandle, is invalid in some way.  This includes situations
   in which the filehandle is a valid filehandle in general but is not
   of the appropriate object type for the current operation.

Haynes & Noveck              Standards Track                  [Page 181]

RFC 7530                          NFSv4                       March 2015

   Where the error description indicates a problem with the current or
   saved filehandle, it is to be understood that filehandles are only
   checked for the condition if they are implicit arguments of the
   operation in question.  NFS4ERR_BADHANDLE (Error Code 10001)

   This error is generated for an illegal NFS filehandle for the current
   server.  The current filehandle failed internal consistency checks.
   Once accepted as valid (by PUTFH), no subsequent status change can
   cause the filehandle to generate this error.  NFS4ERR_FHEXPIRED (Error Code 10014)

   A current or saved filehandle that is an argument to the current
   operation is volatile and has expired at the server.  NFS4ERR_ISDIR (Error Code 21)

   The current or saved filehandle designates a directory when the
   current operation does not allow a directory to be accepted as the
   target of this operation.  NFS4ERR_MOVED (Error Code 10019)

   The file system that contains the current filehandle object is not
   present at the server.  It may have been relocated or migrated to
   another server, or may have never been present.  The client may
   obtain the new file system location by obtaining the "fs_locations"
   attribute for the current filehandle.  For further discussion, refer
   to Section 8.  NFS4ERR_NOFILEHANDLE (Error Code 10020)

   The logical current or saved filehandle value is required by the
   current operation and is not set.  This may be a result of a
   malformed COMPOUND operation (i.e., no PUTFH or PUTROOTFH before an
   operation that requires that the current filehandle be set).  NFS4ERR_NOTDIR (Error Code 20)

   The current (or saved) filehandle designates an object that is not a
   directory for an operation in which a directory is required.

Haynes & Noveck              Standards Track                  [Page 182]

RFC 7530                          NFSv4                       March 2015  NFS4ERR_STALE (Error Code 70)

   The current or saved filehandle value designating an argument to the
   current operation is invalid.  The file system object referred to by
   that filehandle no longer exists, or access to it has been revoked.  NFS4ERR_SYMLINK (Error Code 10029)

   The current filehandle designates a symbolic link when the current
   operation does not allow a symbolic link as the target.

13.1.3.  Compound Structure Errors

   This section deals with errors that relate to the overall structure
   of a COMPOUND request (by which we mean to include both COMPOUND and
   CB_COMPOUND), rather than to particular operations.

   There are a number of basic constraints on the operations that may
   appear in a COMPOUND request.  NFS_OK (Error Code 0)

   NFS_OK indicates that the operation completed successfully, in that
   all of the constituent operations completed without error.  NFS4ERR_MINOR_VERS_MISMATCH (Error Code 10021)

   The minor version specified is not one that the current listener
   supports.  This value is returned in the overall status for the
   COMPOUND procedure but is not associated with a specific operation,
   since the results must specify a result count of zero.  NFS4ERR_OP_ILLEGAL (Error Code 10044)

   The operation code is not a valid one for the current COMPOUND
   procedure.  The opcode in the result stream matched with this error
   is the ILLEGAL value, although the value that appears in the request
   stream may be different.  Where an illegal value appears and the
   replier pre-parses all operations for a COMPOUND procedure before
   doing any operation execution, an RPC-level XDR error may be returned
   in this case.

Haynes & Noveck              Standards Track                  [Page 183]

RFC 7530                          NFSv4                       March 2015  NFS4ERR_RESOURCE (Error Code 10018)

   For the processing of the COMPOUND procedure, the server may exhaust
   available resources and cannot continue processing operations within
   the COMPOUND procedure.  This error will be returned from the server
   in those instances of resource exhaustion related to the processing
   of the COMPOUND procedure.

13.1.4.  File System Errors

   These errors describe situations that occurred in the underlying file
   system implementation rather than in the protocol or any NFSv4.x
   feature.  NFS4ERR_BADTYPE (Error Code 10007)

   An attempt was made to create an object with an inappropriate type
   specified to CREATE.  This may be because the type is undefined;
   because it is a type not supported by the server; or because it is a
   type for which create is not intended, such as a regular file or
   named attribute, for which OPEN is used to do the file creation.  NFS4ERR_DQUOT (Error Code 69)

   The resource (quota) hard limit has been exceeded.  The user's
   resource limit on the server has been exceeded.  NFS4ERR_EXIST (Error Code 17)

   A file system object of the specified target name (when creating,
   renaming, or linking) already exists.  NFS4ERR_FBIG (Error Code 27)

   The file system object is too large.  The operation would have caused
   a file system object to grow beyond the server's limit.  NFS4ERR_FILE_OPEN (Error Code 10046)

   The operation is not allowed because a file system object involved in
   the operation is currently open.  Servers may, but are not required
   to, disallow linking to, removing, or renaming open file system
   objects.  NFS4ERR_IO (Error Code 5)

   This indicates that an I/O error occurred for which the file system
   was unable to provide recovery.

Haynes & Noveck              Standards Track                  [Page 184]

RFC 7530                          NFSv4                       March 2015  NFS4ERR_MLINK (Error Code 31)

   The request would have caused the server's limit for the number of
   hard links a file system object may have to be exceeded.  NFS4ERR_NOENT (Error Code 2)

   This indicates no such file or directory.  The file system object
   referenced by the name specified does not exist.  NFS4ERR_NOSPC (Error Code 28)

   This indicates no space left on the device.  The operation would have
   caused the server's file system to exceed its limit.  NFS4ERR_NOTEMPTY (Error Code 66)

   An attempt was made to remove a directory that was not empty.  NFS4ERR_NXIO (Error Code 6)

   This indicates an I/O error.  There is no such device or address.  NFS4ERR_RESTOREFH (Error Code 10030)

   The RESTOREFH operation does not have a saved filehandle (identified
   by SAVEFH) to operate upon.  NFS4ERR_ROFS (Error Code 30)

   This indicates a read-only file system.  A modifying operation was
   attempted on a read-only file system.  NFS4ERR_XDEV (Error Code 18)

   This indicates an attempt to do an operation, such as linking, that
   inappropriately crosses a boundary.  For example, this may be due to
   a boundary between:

   o  File systems (where the fsids are different).

   o  Different named attribute directories, or between a named
      attribute directory and an ordinary directory.

   o  Regions of a file system that the file system implementation
      treats as separate (for example, for space accounting purposes),
      and where cross-connection between the regions is not allowed.

Haynes & Noveck              Standards Track                  [Page 185]

RFC 7530                          NFSv4                       March 2015

13.1.5.  State Management Errors

   These errors indicate problems with the stateid (or one of the
   stateids) passed to a given operation.  This includes situations in
   which the stateid is invalid, as well as situations in which the
   stateid is valid but designates revoked locking state.  Depending on
   the operation, the stateid, when valid, may designate opens,
   byte-range locks, or file delegations.  NFS4ERR_ADMIN_REVOKED (Error Code 10047)

   A stateid designates locking state of any type that has been revoked
   due to administrative interaction, possibly while the lease is valid,
   or because a delegation was revoked because of failure to return it,
   while the lease was valid.  NFS4ERR_BAD_STATEID (Error Code 10025)

   A stateid generated by the current server instance was used that

   o  Does not designate any locking state (either current or
      superseded) for a current (state-owner, file) pair.

   o  Designates locking state that was freed after lease expiration but
      without any lease cancellation, as may happen in the handling of
      "courtesy locks".  NFS4ERR_EXPIRED (Error Code 10011)

   A stateid or clientid designates locking state of any type that has
   been revoked or released due to cancellation of the client's lease,
   either immediately upon lease expiration, or following a later
   request for a conflicting lock.  NFS4ERR_LEASE_MOVED (Error Code 10031)

   A lease being renewed is associated with a file system that has been
   migrated to a new server.  NFS4ERR_OLD_STATEID (Error Code 10024)

   A stateid is provided with a seqid value that is not the most
   current.  NFS4ERR_STALE_STATEID (Error Code 10023)

   A stateid generated by an earlier server instance was used.

Haynes & Noveck              Standards Track                  [Page 186]

RFC 7530                          NFSv4                       March 2015

13.1.6.  Security Errors

   These are the various permission-related errors in NFSv4.  NFS4ERR_ACCESS (Error Code 13)

   This indicates permission denied.  The caller does not have the
   correct permission to perform the requested operation.  Contrast this
   with NFS4ERR_PERM (Section, which restricts itself to owner
   or privileged user permission failures.  NFS4ERR_PERM (Error Code 1)

   This indicates that the requester is not the owner.  The operation
   was not allowed because the caller is neither a privileged user
   (root) nor the owner of the target of the operation.  NFS4ERR_WRONGSEC (Error Code 10016)

   This indicates that the security mechanism being used by the client
   for the operation does not match the server's security policy.  The
   client should change the security mechanism being used and re-send
   the operation.  SECINFO can be used to determine the appropriate

13.1.7.  Name Errors

   Names in NFSv4 are UTF-8 strings.  When the strings are not of length
   zero, the error NFS4ERR_INVAL results.  When they are not valid
   UTF-8, the error NFS4ERR_INVAL also results, but servers may
   accommodate file systems with different character formats and not
   return this error.  Besides this, there are a number of other errors
   to indicate specific problems with names.  NFS4ERR_BADCHAR (Error Code 10040)

   A UTF-8 string contains a character that is not supported by the
   server in the context in which it is being used.  NFS4ERR_BADNAME (Error Code 10041)

   A name string in a request consisted of valid UTF-8 characters
   supported by the server, but the name is not supported by the server
   as a valid name for current operation.  An example might be creating
   a file or directory named ".." on a server whose file system uses
   that name for links to parent directories.

Haynes & Noveck              Standards Track                  [Page 187]

RFC 7530                          NFSv4                       March 2015

   This error should not be returned due to a normalization issue in a
   string.  When a file system keeps names in a particular normalization
   form, it is the server's responsibility to do the appropriate
   normalization, rather than rejecting the name.  NFS4ERR_NAMETOOLONG (Error Code 63)

   This is returned when the filename in an operation exceeds the
   server's implementation limit.

13.1.8.  Locking Errors

   This section deals with errors related to locking -- both share
   reservations and byte-range locking.  It does not deal with errors
   specific to the process of reclaiming locks.  Those are dealt with in
   the next section.  NFS4ERR_BAD_RANGE (Error Code 10042)

   The range for a LOCK, LOCKT, or LOCKU operation is not appropriate to
   the allowable range of offsets for the server.  For example, this
   error results when a server that only supports 32-bit ranges receives
   a range that cannot be handled by that server.  (See
   Section 16.10.4.)  NFS4ERR_BAD_SEQID (Error Code 10026)

   The sequence number (seqid) in a locking request is neither the next
   expected number nor the last number processed.  NFS4ERR_DEADLOCK (Error Code 10045)

   The server has been able to determine a file locking deadlock
   condition for a blocking lock request.  NFS4ERR_DENIED (Error Code 10010)

   An attempt to lock a file is denied.  Since this may be a temporary
   condition, the client is encouraged to re-send the lock request until
   the lock is accepted.  See Section 9.4 for a discussion of the

Haynes & Noveck              Standards Track                  [Page 188]

RFC 7530                          NFSv4                       March 2015  NFS4ERR_LOCKED (Error Code 10012)

   A READ or WRITE operation was attempted on a file where there was a
   conflict between the I/O and an existing lock:

   o  There is a share reservation inconsistent with the I/O being done.

   o  The range to be read or written intersects an existing mandatory
      byte-range lock.  NFS4ERR_LOCKS_HELD (Error Code 10037)

   An operation was prevented by the unexpected presence of locks.  NFS4ERR_LOCK_NOTSUPP (Error Code 10043)

   A locking request was attempted that would require the upgrade or
   downgrade of a lock range already held by the owner when the server
   does not support atomic upgrade or downgrade of locks.  NFS4ERR_LOCK_RANGE (Error Code 10028)

   A lock request is operating on a range that partially overlaps a
   currently held lock for the current lock-owner and does not precisely
   match a single such lock, where the server does not support this type
   of request and thus does not implement POSIX locking semantics
   [fcntl].  See Sections 16.10.5, 16.11.5, and 16.12.5 for a discussion
   of how this applies to LOCK, LOCKT, and LOCKU, respectively.  NFS4ERR_OPENMODE (Error Code 10038)

   The client attempted a READ, WRITE, LOCK, or other operation not
   sanctioned by the stateid passed (e.g., writing to a file opened only
   for read).  NFS4ERR_SHARE_DENIED (Error Code 10015)

   An attempt to OPEN a file with a share reservation has failed because
   of a share conflict.

Haynes & Noveck              Standards Track                  [Page 189]

RFC 7530                          NFSv4                       March 2015

13.1.9.  Reclaim Errors

   These errors relate to the process of reclaiming locks after a server
   restart.  NFS4ERR_GRACE (Error Code 10013)

   The server is in its recovery or grace period, which should at least
   match the lease period of the server.  A locking request other than a
   reclaim could not be granted during that period.  NFS4ERR_NO_GRACE (Error Code 10033)

   The server cannot guarantee that it has not granted state to another
   client that may conflict with this client's state.  No further
   reclaims from this client will succeed.  NFS4ERR_RECLAIM_BAD (Error Code 10034)

   The server cannot guarantee that it has not granted state to another
   client that may conflict with the requested state.  However, this
   applies only to the state requested in this call; further reclaims
   may succeed.

   Unlike NFS4ERR_RECLAIM_CONFLICT, this can occur between correctly
   functioning clients and servers: the "edge condition" scenarios
   described in Section leave only the server knowing whether
   the client's locks are still valid, and NFS4ERR_RECLAIM_BAD is the
   server's way of informing the client that they are not.  NFS4ERR_RECLAIM_CONFLICT (Error Code 10035)

   The reclaim attempted by the client conflicts with a lock already
   held by another client.  Unlike NFS4ERR_RECLAIM_BAD, this can only
   occur if one of the clients misbehaved.

Haynes & Noveck              Standards Track                  [Page 190]

RFC 7530                          NFSv4                       March 2015

13.1.10.  Client Management Errors

   This section deals with errors associated with requests used to
   create and manage client IDs.  NFS4ERR_CLID_INUSE (Error Code 10017)

   The SETCLIENTID operation has found that a clientid is already in use
   by another client.  NFS4ERR_STALE_CLIENTID (Error Code 10022)

   A client ID not recognized by the server was used in a locking or

13.1.11.  Attribute Handling Errors

   This section deals with errors specific to attribute handling within
   NFSv4.  NFS4ERR_ATTRNOTSUPP (Error Code 10032)

   An attribute specified is not supported by the server.  This error
   MUST NOT be returned by the GETATTR operation.  NFS4ERR_BADOWNER (Error Code 10039)

   This error is returned when an owner or owner_group attribute value
   or the who field of an ace within an ACL attribute value cannot be
   translated to a local representation.  NFS4ERR_NOT_SAME (Error Code 10027)

   This error is returned by the VERIFY operation to signify that the
   attributes compared were not the same as those provided in the
   client's request.  NFS4ERR_SAME (Error Code 10009)

   This error is returned by the NVERIFY operation to signify that the
   attributes compared were the same as those provided in the client's

13.1.12.  Miscellaneous Errors  NFS4ERR_CB_PATH_DOWN (Error Code 10048)

   There is a problem contacting the client via the callback path.

Haynes & Noveck              Standards Track                  [Page 191]

RFC 7530                          NFSv4                       March 2015

13.2.  Operations and Their Valid Errors

   This section contains a table that gives the valid error returns for
   each protocol operation.  The error code NFS4_OK (indicating no
   error) is not listed but should be understood to be returnable by all
   operations except ILLEGAL.

   | Operation           | Errors                                      |
   | ACCESS              | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_INVAL,           |
   |                     | NFS4ERR_IO, NFS4ERR_MOVED,                  |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_RESOURCE,     |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE          |
   |                     |                                             |
   |                     | NFS4ERR_BAD_SEQID, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FHEXPIRED,         |
   |                     | NFS4ERR_INVAL, NFS4ERR_ISDIR,               |
   |                     | NFS4ERR_LEASE_MOVED, NFS4ERR_LOCKS_HELD,    |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_OLD_STATEID, NFS4ERR_RESOURCE,      |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_STATEID                       |
   |                     |                                             |
   | COMMIT              | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_INVAL,           |
   |                     | NFS4ERR_IO, NFS4ERR_ISDIR, NFS4ERR_MOVED,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_RESOURCE,     |
   |                     | NFS4ERR_ROFS, NFS4ERR_SERVERFAULT,          |
   |                     | NFS4ERR_STALE, NFS4ERR_SYMLINK              |
   |                     |                                             |
   | CREATE              | NFS4ERR_ACCESS, NFS4ERR_ATTRNOTSUPP,        |
   |                     | NFS4ERR_BADCHAR, NFS4ERR_BADHANDLE,         |
   |                     | NFS4ERR_BADNAME, NFS4ERR_BADOWNER,          |
   |                     | NFS4ERR_BADTYPE, NFS4ERR_BADXDR,            |
   |                     | NFS4ERR_DELAY, NFS4ERR_DQUOT,               |
   |                     | NFS4ERR_EXIST, NFS4ERR_FHEXPIRED,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_MOVED,   |
   |                     | NFS4ERR_NAMETOOLONG, NFS4ERR_NOFILEHANDLE,  |
   |                     | NFS4ERR_NOSPC, NFS4ERR_NOTDIR,              |
   |                     | NFS4ERR_PERM, NFS4ERR_RESOURCE,             |
   |                     | NFS4ERR_ROFS, NFS4ERR_SERVERFAULT,          |
   |                     | NFS4ERR_STALE                               |

Haynes & Noveck              Standards Track                  [Page 192]

RFC 7530                          NFSv4                       March 2015

   |                     |                                             |
   | DELEGPURGE          | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_LEASE_MOVED, NFS4ERR_NOTSUPP,       |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE_CLIENTID                      |
   |                     |                                             |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_INVAL,             |
   |                     | NFS4ERR_LEASE_MOVED, NFS4ERR_MOVED,         |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOTSUPP,      |
   |                     | NFS4ERR_OLD_STATEID, NFS4ERR_RESOURCE,      |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_STATEID                       |
   |                     |                                             |
   | GETATTR             | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_GRACE,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_MOVED,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_RESOURCE,     |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE          |
   |                     |                                             |
   | GETFH               | NFS4ERR_BADHANDLE, NFS4ERR_FHEXPIRED,       |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE                               |
   |                     |                                             |
   | ILLEGAL             | NFS4ERR_BADXDR, NFS4ERR_OP_ILLEGAL          |
   |                     |                                             |
   | LINK                | NFS4ERR_ACCESS, NFS4ERR_BADCHAR,            |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADNAME,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_DQUOT, NFS4ERR_EXIST,               |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_FILE_OPEN,       |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_ISDIR,   |
   |                     | NFS4ERR_MLINK, NFS4ERR_MOVED,               |
   |                     | NFS4ERR_NAMETOOLONG, NFS4ERR_NOENT,         |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOSPC,        |
   |                     | NFS4ERR_NOTDIR, NFS4ERR_NOTSUPP,            |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_ROFS,             |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_WRONGSEC, NFS4ERR_XDEV              |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 193]

RFC 7530                          NFSv4                       March 2015

   | LOCK                | NFS4ERR_ACCESS, NFS4ERR_ADMIN_REVOKED,      |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BAD_RANGE,       |
   |                     | NFS4ERR_BAD_SEQID, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DEADLOCK,           |
   |                     | NFS4ERR_DELAY, NFS4ERR_DENIED,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FHEXPIRED,         |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL,               |
   |                     | NFS4ERR_ISDIR, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_LOCK_NOTSUPP, NFS4ERR_LOCK_RANGE,   |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_NO_GRACE, NFS4ERR_OLD_STATEID,      |
   |                     | NFS4ERR_OPENMODE, NFS4ERR_RECLAIM_BAD,      |
   |                     | NFS4ERR_RECLAIM_CONFLICT, NFS4ERR_RESOURCE, |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_CLIENTID,                     |
   |                     | NFS4ERR_STALE_STATEID                       |
   |                     |                                             |
   | LOCKT               | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_BAD_RANGE, NFS4ERR_BADXDR,          |
   |                     | NFS4ERR_DELAY, NFS4ERR_DENIED,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FHEXPIRED,         |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL,               |
   |                     | NFS4ERR_ISDIR, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_LOCK_RANGE, NFS4ERR_MOVED,          |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_RESOURCE,     |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_CLIENTID                      |
   |                     |                                             |
   | LOCKU               | NFS4ERR_ACCESS, NFS4ERR_ADMIN_REVOKED,      |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BAD_RANGE,       |
   |                     | NFS4ERR_BAD_SEQID, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FHEXPIRED,         |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL,               |
   |                     | NFS4ERR_ISDIR, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_LOCK_RANGE, NFS4ERR_MOVED,          |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_OLD_STATEID,  |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE, NFS4ERR_STALE_STATEID        |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 194]

RFC 7530                          NFSv4                       March 2015

   | LOOKUP              | NFS4ERR_ACCESS, NFS4ERR_BADCHAR,            |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADNAME,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_INVAL,           |
   |                     | NFS4ERR_IO, NFS4ERR_MOVED,                  |
   |                     | NFS4ERR_NAMETOOLONG, NFS4ERR_NOENT,         |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOTDIR,       |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE, NFS4ERR_SYMLINK,             |
   |                     | NFS4ERR_WRONGSEC                            |
   |                     |                                             |
   | LOOKUPP             | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_DELAY, NFS4ERR_FHEXPIRED,           |
   |                     | NFS4ERR_IO, NFS4ERR_MOVED, NFS4ERR_NOENT,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOTDIR,       |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE, NFS4ERR_SYMLINK,             |
   |                     | NFS4ERR_WRONGSEC                            |
   |                     |                                             |
   | NVERIFY             | NFS4ERR_ACCESS, NFS4ERR_ATTRNOTSUPP,        |
   |                     | NFS4ERR_BADCHAR, NFS4ERR_BADHANDLE,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_GRACE,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_MOVED,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_SAME,         |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE          |
   |                     |                                             |
   | OPEN                | NFS4ERR_ACCESS, NFS4ERR_ADMIN_REVOKED,      |
   |                     | NFS4ERR_ATTRNOTSUPP, NFS4ERR_BADCHAR,       |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADNAME,         |
   |                     | NFS4ERR_BADOWNER, NFS4ERR_BAD_SEQID,        |
   |                     | NFS4ERR_BAD_STATEID, NFS4ERR_BADXDR,        |
   |                     | NFS4ERR_DELAY, NFS4ERR_DQUOT,               |
   |                     | NFS4ERR_EXIST, NFS4ERR_EXPIRED,             |
   |                     | NFS4ERR_FBIG, NFS4ERR_FHEXPIRED,            |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL, NFS4ERR_IO,   |
   |                     | NFS4ERR_ISDIR, NFS4ERR_MOVED,               |
   |                     | NFS4ERR_NAMETOOLONG, NFS4ERR_NOENT,         |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NO_GRACE,     |
   |                     | NFS4ERR_NOSPC, NFS4ERR_NOTDIR,              |
   |                     | NFS4ERR_NOTSUPP, NFS4ERR_OLD_STATEID,       |
   |                     | NFS4ERR_PERM, NFS4ERR_RECLAIM_BAD,          |
   |                     | NFS4ERR_RECLAIM_CONFLICT, NFS4ERR_RESOURCE, |
   |                     | NFS4ERR_ROFS, NFS4ERR_SERVERFAULT,          |
   |                     | NFS4ERR_SHARE_DENIED, NFS4ERR_STALE,        |
   |                     | NFS4ERR_STALE_CLIENTID, NFS4ERR_SYMLINK,    |
   |                     | NFS4ERR_WRONGSEC                            |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 195]

RFC 7530                          NFSv4                       March 2015

   | OPENATTR            | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_DQUOT, NFS4ERR_FHEXPIRED,           |
   |                     | NFS4ERR_IO, NFS4ERR_MOVED, NFS4ERR_NOENT,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOSPC,        |
   |                     | NFS4ERR_NOTSUPP, NFS4ERR_RESOURCE,          |
   |                     | NFS4ERR_ROFS, NFS4ERR_SERVERFAULT,          |
   |                     | NFS4ERR_STALE                               |
   |                     |                                             |
   |                     | NFS4ERR_BAD_SEQID, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_EXPIRED,            |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_INVAL,           |
   |                     | NFS4ERR_ISDIR, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_OLD_STATEID, NFS4ERR_RESOURCE,      |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_STATEID                       |
   |                     |                                             |
   |                     | NFS4ERR_BAD_SEQID, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FHEXPIRED,         |
   |                     | NFS4ERR_INVAL, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_LOCKS_HELD, NFS4ERR_MOVED,          |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_OLD_STATEID,  |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_ROFS,             |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_STATEID                       |
   |                     |                                             |
   | PUTFH               | NFS4ERR_BADHANDLE, NFS4ERR_BADXDR,          |
   |                     | NFS4ERR_DELAY, NFS4ERR_FHEXPIRED,           |
   |                     | NFS4ERR_MOVED, NFS4ERR_SERVERFAULT,         |
   |                     | NFS4ERR_STALE, NFS4ERR_WRONGSEC             |
   |                     |                                             |
   | PUTPUBFH            | NFS4ERR_DELAY, NFS4ERR_SERVERFAULT,         |
   |                     | NFS4ERR_WRONGSEC                            |
   |                     |                                             |
   |                     | NFS4ERR_WRONGSEC                            |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 196]

RFC 7530                          NFSv4                       March 2015

   | READ                | NFS4ERR_ACCESS, NFS4ERR_ADMIN_REVOKED,      |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FHEXPIRED,         |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL, NFS4ERR_IO,   |
   |                     | NFS4ERR_ISDIR, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_LOCKED, NFS4ERR_MOVED,              |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_OLD_STATEID,  |
   |                     | NFS4ERR_OPENMODE, NFS4ERR_RESOURCE,         |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_STATEID, NFS4ERR_SYMLINK      |
   |                     |                                             |
   | READDIR             | NFS4ERR_ACCESS, NFS4ERR_BAD_COOKIE,         |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADXDR,          |
   |                     | NFS4ERR_DELAY, NFS4ERR_FHEXPIRED,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_MOVED,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOTDIR,       |
   |                     | NFS4ERR_NOT_SAME, NFS4ERR_RESOURCE,         |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_TOOSMALL                            |
   |                     |                                             |
   | READLINK            | NFS4ERR_ACCESS, NFS4ERR_BADHANDLE,          |
   |                     | NFS4ERR_DELAY, NFS4ERR_FHEXPIRED,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_ISDIR,   |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_NOTSUPP, NFS4ERR_RESOURCE,          |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE          |
   |                     |                                             |
   |                     | NFS4ERR_LEASE_MOVED, NFS4ERR_LOCKS_HELD,    |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE_CLIENTID                      |
   |                     |                                             |
   | REMOVE              | NFS4ERR_ACCESS, NFS4ERR_BADCHAR,            |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADNAME,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_FILE_OPEN,       |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL, NFS4ERR_IO,   |
   |                     | NFS4ERR_MOVED, NFS4ERR_NAMETOOLONG,         |
   |                     | NFS4ERR_NOENT, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_NOTDIR, NFS4ERR_NOTEMPTY,           |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_ROFS,             |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE          |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 197]

RFC 7530                          NFSv4                       March 2015

   | RENAME              | NFS4ERR_ACCESS, NFS4ERR_BADCHAR,            |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADNAME,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_DQUOT, NFS4ERR_EXIST,               |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_FILE_OPEN,       |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL, NFS4ERR_IO,   |
   |                     | NFS4ERR_MOVED, NFS4ERR_NAMETOOLONG,         |
   |                     | NFS4ERR_NOENT, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_NOSPC, NFS4ERR_NOTDIR,              |
   |                     | NFS4ERR_NOTEMPTY, NFS4ERR_RESOURCE,         |
   |                     | NFS4ERR_ROFS, NFS4ERR_SERVERFAULT,          |
   |                     | NFS4ERR_STALE, NFS4ERR_WRONGSEC,            |
   |                     | NFS4ERR_XDEV                                |
   |                     |                                             |
   | RENEW               | NFS4ERR_ACCESS, NFS4ERR_BADXDR,             |
   |                     | NFS4ERR_CB_PATH_DOWN, NFS4ERR_EXPIRED,      |
   |                     | NFS4ERR_LEASE_MOVED, NFS4ERR_RESOURCE,      |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE_CLIENTID |
   |                     |                                             |
   |                     | NFS4ERR_MOVED, NFS4ERR_RESOURCE,            |
   |                     | NFS4ERR_RESTOREFH, NFS4ERR_SERVERFAULT,     |
   |                     | NFS4ERR_STALE, NFS4ERR_WRONGSEC             |
   |                     |                                             |
   | SAVEFH              | NFS4ERR_BADHANDLE, NFS4ERR_FHEXPIRED,       |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE                               |
   |                     |                                             |
   | SECINFO             | NFS4ERR_ACCESS, NFS4ERR_BADCHAR,            |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADNAME,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_INVAL,           |
   |                     | NFS4ERR_MOVED, NFS4ERR_NAMETOOLONG,         |
   |                     | NFS4ERR_NOENT, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_NOTDIR, NFS4ERR_RESOURCE,           |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE          |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 198]

RFC 7530                          NFSv4                       March 2015

   |                     | NFS4ERR_ATTRNOTSUPP, NFS4ERR_BADCHAR,       |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BADOWNER,        |
   |                     | NFS4ERR_BAD_STATEID, NFS4ERR_BADXDR,        |
   |                     | NFS4ERR_DELAY, NFS4ERR_DQUOT,               |
   |                     | NFS4ERR_EXPIRED, NFS4ERR_FBIG,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_GRACE,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_ISDIR,   |
   |                     | NFS4ERR_LEASE_MOVED, NFS4ERR_LOCKED,        |
   |                     | NFS4ERR_MOVED, NFS4ERR_NOFILEHANDLE,        |
   |                     | NFS4ERR_NOSPC, NFS4ERR_OLD_STATEID,         |
   |                     | NFS4ERR_OPENMODE, NFS4ERR_PERM,             |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_ROFS,             |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE,         |
   |                     | NFS4ERR_STALE_STATEID                       |
   |                     |                                             |
   |                     | NFS4ERR_DELAY, NFS4ERR_INVAL,               |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT       |
   |                     |                                             |
   |                     | NFS4ERR_DELAY, NFS4ERR_RESOURCE,            |
   |                     | NFS4ERR_SERVERFAULT, NFS4ERR_STALE_CLIENTID |
   |                     |                                             |
   | VERIFY              | NFS4ERR_ACCESS, NFS4ERR_ATTRNOTSUPP,        |
   |                     | NFS4ERR_BADCHAR, NFS4ERR_BADHANDLE,         |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_FHEXPIRED, NFS4ERR_GRACE,           |
   |                     | NFS4ERR_INVAL, NFS4ERR_IO, NFS4ERR_MOVED,   |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOT_SAME,     |
   |                     | NFS4ERR_RESOURCE, NFS4ERR_SERVERFAULT,      |
   |                     | NFS4ERR_STALE                               |
   |                     |                                             |

Haynes & Noveck              Standards Track                  [Page 199]

RFC 7530                          NFSv4                       March 2015

   | WRITE               | NFS4ERR_ACCESS, NFS4ERR_ADMIN_REVOKED,      |
   |                     | NFS4ERR_BADHANDLE, NFS4ERR_BAD_STATEID,     |
   |                     | NFS4ERR_BADXDR, NFS4ERR_DELAY,              |
   |                     | NFS4ERR_DQUOT, NFS4ERR_EXPIRED,             |
   |                     | NFS4ERR_FBIG, NFS4ERR_FHEXPIRED,            |
   |                     | NFS4ERR_GRACE, NFS4ERR_INVAL, NFS4ERR_IO,   |
   |                     | NFS4ERR_ISDIR, NFS4ERR_LEASE_MOVED,         |
   |                     | NFS4ERR_LOCKED, NFS4ERR_MOVED,              |
   |                     | NFS4ERR_NOFILEHANDLE, NFS4ERR_NOSPC,        |
   |                     | NFS4ERR_NXIO, NFS4ERR_OLD_STATEID,          |
   |                     | NFS4ERR_OPENMODE, NFS4ERR_RESOURCE,         |
   |                     | NFS4ERR_ROFS, NFS4ERR_SERVERFAULT,          |
   |                     | NFS4ERR_STALE, NFS4ERR_STALE_STATEID,       |
   |                     | NFS4ERR_SYMLINK                             |
   |                     |                                             |

         Table 7: Valid Error Returns for Each Protocol Operation

13.3.  Callback Operations and Their Valid Errors

   This section contains a table that gives the valid error returns for
   each callback operation.  The error code NFS4_OK (indicating no
   error) is not listed but should be understood to be returnable by all
   callback operations, with the exception of CB_ILLEGAL.

   | Callback    | Errors                                              |
   | Operation   |                                                     |
   |             | NFS4ERR_INVAL, NFS4ERR_SERVERFAULT                  |
   |             |                                                     |
   | CB_ILLEGAL  | NFS4ERR_BADXDR, NFS4ERR_OP_ILLEGAL                  |
   |             |                                                     |
   |             |                                                     |

     Table 8: Valid Error Returns for Each Protocol Callback Operation

Haynes & Noveck              Standards Track                  [Page 200]

RFC 7530                          NFSv4                       March 2015

13.4.  Errors and the Operations That Use Them

   | Error                    | Operations                             |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, LOOKUPP,   |
   |                          | NVERIFY, OPEN, OPENATTR, READ,         |
   |                          | READDIR, READLINK, REMOVE, RENAME,     |
   |                          | RENEW, SECINFO, SETATTR, VERIFY, WRITE |
   |                          |                                        |
   |                          | OPEN_CONFIRM, OPEN_DOWNGRADE, READ,    |
   |                          | SETATTR, WRITE                         |
   |                          |                                        |
   |                          |                                        |
   |                          | REMOVE, RENAME, SECINFO, SETATTR,      |
   |                          | VERIFY                                 |
   |                          |                                        |
   |                          | COMMIT, CREATE, GETATTR, GETFH, LINK,  |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, LOOKUPP,   |
   |                          | NVERIFY, OPEN, OPENATTR, OPEN_CONFIRM, |
   |                          | OPEN_DOWNGRADE, PUTFH, READ, READDIR,  |
   |                          | READLINK, REMOVE, RENAME, RESTOREFH,   |
   |                          | SAVEFH, SECINFO, SETATTR, VERIFY,      |
   |                          | WRITE                                  |
   |                          |                                        |
   |                          | RENAME, SECINFO                        |
   |                          |                                        |
   | NFS4ERR_BADOWNER         | CREATE, OPEN, SETATTR                  |
   |                          |                                        |
   | NFS4ERR_BADTYPE          | CREATE                                 |
   |                          |                                        |
   | NFS4ERR_BADXDR           | ACCESS, CB_GETATTR, CB_ILLEGAL,        |
   |                          | CB_RECALL, CLOSE, COMMIT, CREATE,      |
   |                          | DELEGPURGE, DELEGRETURN, GETATTR,      |
   |                          | ILLEGAL, LINK, LOCK, LOCKT, LOCKU,     |
   |                          | LOOKUP, NVERIFY, OPEN, OPENATTR,       |
   |                          | OPEN_CONFIRM, OPEN_DOWNGRADE, PUTFH,   |
   |                          | READ, READDIR, RELEASE_LOCKOWNER,      |
   |                          | REMOVE, RENAME, RENEW, SECINFO,        |
   |                          | SETATTR, SETCLIENTID,                  |
   |                          | SETCLIENTID_CONFIRM, VERIFY, WRITE     |
   |                          |                                        |

Haynes & Noveck              Standards Track                  [Page 201]

RFC 7530                          NFSv4                       March 2015

   | NFS4ERR_BAD_COOKIE       | READDIR                                |
   |                          |                                        |
   | NFS4ERR_BAD_RANGE        | LOCK, LOCKT, LOCKU                     |
   |                          |                                        |
   | NFS4ERR_BAD_SEQID        | CLOSE, LOCK, LOCKU, OPEN,              |
   |                          | OPEN_CONFIRM, OPEN_DOWNGRADE           |
   |                          |                                        |
   |                          | LOCKU, OPEN, OPEN_CONFIRM,             |
   |                          | OPEN_DOWNGRADE, READ, SETATTR, WRITE   |
   |                          |                                        |
   | NFS4ERR_CB_PATH_DOWN     | RENEW                                  |
   |                          |                                        |
   |                          |                                        |
   | NFS4ERR_DEADLOCK         | LOCK                                   |
   |                          |                                        |
   |                          | COMMIT, CREATE, DELEGPURGE,            |
   |                          | DELEGRETURN, GETATTR, LINK, LOCK,      |
   |                          | LOCKT, LOCKU, LOOKUP, LOOKUPP,         |
   |                          | NVERIFY, OPEN, OPENATTR,               |
   |                          | OPEN_DOWNGRADE, PUTFH, PUTPUBFH,       |
   |                          | PUTROOTFH, READ, READDIR, READLINK,    |
   |                          | REMOVE, RENAME, SECINFO, SETATTR,      |
   |                          | SETCLIENTID, SETCLIENTID_CONFIRM,      |
   |                          | VERIFY, WRITE                          |
   |                          |                                        |
   | NFS4ERR_DENIED           | LOCK, LOCKT                            |
   |                          |                                        |
   |                          | SETATTR, WRITE                         |
   |                          |                                        |
   | NFS4ERR_EXIST            | CREATE, LINK, OPEN, RENAME             |
   |                          |                                        |
   |                          | LOCKU, OPEN, OPEN_CONFIRM,             |
   |                          | OPEN_DOWNGRADE, READ,                  |
   |                          | RELEASE_LOCKOWNER, RENEW, SETATTR,     |
   |                          | WRITE                                  |
   |                          |                                        |
   | NFS4ERR_FBIG             | OPEN, SETATTR, WRITE                   |
   |                          |                                        |

Haynes & Noveck              Standards Track                  [Page 202]

RFC 7530                          NFSv4                       March 2015

   |                          | GETATTR, GETFH, LINK, LOCK, LOCKT,     |
   |                          | LOCKU, LOOKUP, LOOKUPP, NVERIFY, OPEN, |
   |                          | OPENATTR, OPEN_CONFIRM,                |
   |                          | OPEN_DOWNGRADE, PUTFH, READ, READDIR,  |
   |                          | READLINK, REMOVE, RENAME, RESTOREFH,   |
   |                          | SAVEFH, SECINFO, SETATTR, VERIFY,      |
   |                          | WRITE                                  |
   |                          |                                        |
   | NFS4ERR_FILE_OPEN        | LINK, REMOVE, RENAME                   |
   |                          |                                        |
   |                          | OPEN, READ, REMOVE, RENAME, SETATTR,   |
   |                          | VERIFY, WRITE                          |
   |                          |                                        |
   |                          | CREATE, DELEGRETURN, GETATTR, LINK,    |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, NVERIFY,   |
   |                          | OPEN, OPEN_CONFIRM, OPEN_DOWNGRADE,    |
   |                          | READ, READDIR, READLINK, REMOVE,       |
   |                          | RENAME, SECINFO, SETATTR, SETCLIENTID, |
   |                          | VERIFY, WRITE                          |
   |                          |                                        |
   |                          | LOOKUP, LOOKUPP, NVERIFY, OPEN,        |
   |                          | OPENATTR, READ, READDIR, READLINK,     |
   |                          | REMOVE, RENAME, SETATTR, VERIFY, WRITE |
   |                          |                                        |
   | NFS4ERR_ISDIR            | CLOSE, COMMIT, LINK, LOCK, LOCKT,      |
   |                          | LOCKU, OPEN, OPEN_CONFIRM, READ,       |
   |                          | READLINK, SETATTR, WRITE               |
   |                          |                                        |
   |                          | LOCKT, LOCKU, OPEN_CONFIRM,            |
   |                          | OPEN_DOWNGRADE, READ,                  |
   |                          | RELEASE_LOCKOWNER, RENEW, SETATTR,     |
   |                          | WRITE                                  |
   |                          |                                        |
   | NFS4ERR_LOCKED           | READ, SETATTR, WRITE                   |
   |                          |                                        |
   | NFS4ERR_LOCKS_HELD       | CLOSE, OPEN_DOWNGRADE,                 |
   |                          | RELEASE_LOCKOWNER                      |
   |                          |                                        |
   | NFS4ERR_LOCK_NOTSUPP     | LOCK                                   |
   |                          |                                        |
   | NFS4ERR_LOCK_RANGE       | LOCK, LOCKT, LOCKU                     |
   |                          |                                        |
   | NFS4ERR_MLINK            | LINK                                   |

Haynes & Noveck              Standards Track                  [Page 203]

RFC 7530                          NFSv4                       March 2015

   |                          |                                        |
   | NFS4ERR_MOVED            | ACCESS, CLOSE, COMMIT, CREATE,         |
   |                          | DELEGRETURN, GETATTR, GETFH, LINK,     |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, LOOKUPP,   |
   |                          | NVERIFY, OPEN, OPENATTR, OPEN_CONFIRM, |
   |                          | OPEN_DOWNGRADE, PUTFH, READ, READDIR,  |
   |                          | READLINK, REMOVE, RENAME, RESTOREFH,   |
   |                          | SAVEFH, SECINFO, SETATTR, VERIFY,      |
   |                          | WRITE                                  |
   |                          |                                        |
   |                          | RENAME, SECINFO                        |
   |                          |                                        |
   |                          | REMOVE, RENAME, SECINFO                |
   |                          |                                        |
   |                          | DELEGRETURN, GETATTR, GETFH, LINK,     |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, LOOKUPP,   |
   |                          | NVERIFY, OPEN, OPENATTR, OPEN_CONFIRM, |
   |                          | OPEN_DOWNGRADE, READ, READDIR,         |
   |                          | READLINK, REMOVE, RENAME, SAVEFH,      |
   |                          | SECINFO, SETATTR, VERIFY, WRITE        |
   |                          |                                        |
   |                          | SETATTR, WRITE                         |
   |                          |                                        |
   |                          | READDIR, REMOVE, RENAME, SECINFO       |
   |                          |                                        |
   | NFS4ERR_NOTEMPTY         | REMOVE, RENAME                         |
   |                          |                                        |
   |                          | OPENATTR, READLINK                     |
   |                          |                                        |
   | NFS4ERR_NOT_SAME         | READDIR, VERIFY                        |
   |                          |                                        |
   | NFS4ERR_NO_GRACE         | LOCK, OPEN                             |
   |                          |                                        |
   | NFS4ERR_NXIO             | WRITE                                  |
   |                          |                                        |
   |                          | OPEN_CONFIRM, OPEN_DOWNGRADE, READ,    |
   |                          | SETATTR, WRITE                         |
   |                          |                                        |
   | NFS4ERR_OPENMODE         | LOCK, READ, SETATTR, WRITE             |
   |                          |                                        |
   | NFS4ERR_OP_ILLEGAL       | CB_ILLEGAL, ILLEGAL                    |

Haynes & Noveck              Standards Track                  [Page 204]

RFC 7530                          NFSv4                       March 2015

   |                          |                                        |
   | NFS4ERR_PERM             | CREATE, OPEN, SETATTR                  |
   |                          |                                        |
   | NFS4ERR_RECLAIM_BAD      | LOCK, OPEN                             |
   |                          |                                        |
   | NFS4ERR_RECLAIM_CONFLICT | LOCK, OPEN                             |
   |                          |                                        |
   |                          | DELEGPURGE, DELEGRETURN, GETATTR,      |
   |                          | GETFH, LINK, LOCK, LOCKT, LOCKU,       |
   |                          | LOOKUP, LOOKUPP, OPEN, OPENATTR,       |
   |                          | OPEN_CONFIRM, OPEN_DOWNGRADE, READ,    |
   |                          | READDIR, READLINK, RELEASE_LOCKOWNER,  |
   |                          | REMOVE, RENAME, RENEW, RESTOREFH,      |
   |                          | SAVEFH, SECINFO, SETATTR, SETCLIENTID, |
   |                          | SETCLIENTID_CONFIRM, VERIFY, WRITE     |
   |                          |                                        |
   | NFS4ERR_RESTOREFH        | RESTOREFH                              |
   |                          |                                        |
   |                          | OPEN_DOWNGRADE, REMOVE, RENAME,        |
   |                          | SETATTR, WRITE                         |
   |                          |                                        |
   | NFS4ERR_SAME             | NVERIFY                                |
   |                          |                                        |
   |                          | COMMIT, CREATE, DELEGPURGE,            |
   |                          | DELEGRETURN, GETATTR, GETFH, LINK,     |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, LOOKUPP,   |
   |                          | NVERIFY, OPEN, OPENATTR, OPEN_CONFIRM, |
   |                          | OPEN_DOWNGRADE, PUTFH, PUTPUBFH,       |
   |                          | PUTROOTFH, READ, READDIR, READLINK,    |
   |                          | RELEASE_LOCKOWNER, REMOVE, RENAME,     |
   |                          | RENEW, RESTOREFH, SAVEFH, SECINFO,     |
   |                          | SETATTR, SETCLIENTID,                  |
   |                          | SETCLIENTID_CONFIRM, VERIFY, WRITE     |
   |                          |                                        |
   | NFS4ERR_SHARE_DENIED     | OPEN                                   |
   |                          |                                        |
   | NFS4ERR_STALE            | ACCESS, CLOSE, COMMIT, CREATE,         |
   |                          | DELEGRETURN, GETATTR, GETFH, LINK,     |
   |                          | LOCK, LOCKT, LOCKU, LOOKUP, LOOKUPP,   |
   |                          | NVERIFY, OPEN, OPENATTR, OPEN_CONFIRM, |
   |                          | OPEN_DOWNGRADE, PUTFH, READ, READDIR,  |
   |                          | READLINK, REMOVE, RENAME, RESTOREFH,   |
   |                          | SAVEFH, SECINFO, SETATTR, VERIFY,      |
   |                          | WRITE                                  |
   |                          |                                        |

Haynes & Noveck              Standards Track                  [Page 205]

RFC 7530                          NFSv4                       March 2015

   |                          | RELEASE_LOCKOWNER, RENEW,              |
   |                          | SETCLIENTID_CONFIRM                    |
   |                          |                                        |
   |                          | OPEN_CONFIRM, OPEN_DOWNGRADE, READ,    |
   |                          | SETATTR, WRITE                         |
   |                          |                                        |
   |                          | WRITE                                  |
   |                          |                                        |
   | NFS4ERR_TOOSMALL         | READDIR                                |
   |                          |                                        |
   |                          | PUTPUBFH, PUTROOTFH, RENAME, RESTOREFH |
   |                          |                                        |
   | NFS4ERR_XDEV             | LINK, RENAME                           |
   |                          |                                        |

             Table 9: Errors and the Operations That Use Them

14.  NFSv4 Requests

   For the NFSv4 RPC program, there are two traditional RPC procedures:
   NULL and COMPOUND.  All other functionality is defined as a set of
   operations, and these operations are defined in normal XDR/RPC syntax
   and semantics.  However, these operations are encapsulated within the
   COMPOUND procedure.  This requires that the client combine one or
   more of the NFSv4 operations into a single request.

   The NFS4_CALLBACK program is used to provide server-to-client
   signaling and is constructed in a fashion similar to the NFSv4
   program.  The procedures CB_NULL and CB_COMPOUND are defined in the
   same way as NULL and COMPOUND are within the NFS program.  The
   CB_COMPOUND request also encapsulates the remaining operations of the
   NFS4_CALLBACK program.  There is no predefined RPC program number for
   the NFS4_CALLBACK program.  It is up to the client to specify a
   program number in the "transient" program range.  The program and
   port numbers of the NFS4_CALLBACK program are provided by the client
   as part of the SETCLIENTID/SETCLIENTID_CONFIRM sequence.  The program
   and port can be changed by another SETCLIENTID/SETCLIENTID_CONFIRM
   sequence, and it is possible to use the sequence to change them
   within a client incarnation without removing relevant leased client

Haynes & Noveck              Standards Track                  [Page 206]

RFC 7530                          NFSv4                       March 2015

14.1.  COMPOUND Procedure

   The COMPOUND procedure provides the opportunity for better
   performance within high-latency networks.  The client can avoid
   cumulative latency of multiple RPCs by combining multiple dependent
   operations into a single COMPOUND procedure.  A COMPOUND operation
   may provide for protocol simplification by allowing the client to
   combine basic procedures into a single request that is customized for
   the client's environment.

   The CB_COMPOUND procedure precisely parallels the features of
   COMPOUND as described above.

   The basic structure of the COMPOUND procedure is:

   | tag | minorversion | numops | op + args | op + args | op + args |

   and the reply's structure is:

     |last status | tag | numres | status + op + results |

   The numops and numres fields, used in the depiction above, represent
   the count for the counted array encoding used to signify the number
   of arguments or results encoded in the request and response.  As per
   the XDR encoding, these counts must match exactly the number of
   operation arguments or results encoded.

14.2.  Evaluation of a COMPOUND Request

   The server will process the COMPOUND procedure by evaluating each of
   the operations within the COMPOUND procedure in order.  Each
   component operation consists of a 32-bit operation code, followed by
   the argument of length determined by the type of operation.  The
   results of each operation are encoded in sequence into a reply
   buffer.  The results of each operation are preceded by the opcode and
   a status code (normally zero).  If an operation results in a non-zero
   status code, the status will be encoded, evaluation of the COMPOUND
   sequence will halt, and the reply will be returned.  Note that
   evaluation stops even in the event of "non-error" conditions such as

Haynes & Noveck              Standards Track                  [Page 207]

RFC 7530                          NFSv4                       March 2015

   There are no atomicity requirements for the operations contained
   within the COMPOUND procedure.  The operations being evaluated as
   part of a COMPOUND request may be evaluated simultaneously with other
   COMPOUND requests that the server receives.

   A COMPOUND is not a transaction, and it is the client's
   responsibility to recover from any partially completed COMPOUND
   procedure.  These may occur at any point due to errors such as
   NFS4ERR_RESOURCE and NFS4ERR_DELAY.  Note that these errors can occur
   in an otherwise valid operation string.  Further, a server reboot
   that occurs in the middle of processing a COMPOUND procedure may
   leave the client with the difficult task of determining how far
   COMPOUND processing has proceeded.  Therefore, the client should
   avoid overly complex COMPOUND procedures in the event of the failure
   of an operation within the procedure.

   Each operation assumes a current filehandle and a saved filehandle
   that are available as part of the execution context of the COMPOUND
   request.  Operations may set, change, or return the current
   filehandle.  The saved filehandle is used for temporary storage of a
   filehandle value and as operands for the RENAME and LINK operations.

14.3.  Synchronous Modifying Operations

   NFSv4 operations that modify the file system are synchronous.  When
   an operation is successfully completed at the server, the client can
   trust that any data associated with the request is now in stable
   storage (the one exception is in the case of the file data in a WRITE
   operation with the UNSTABLE4 option specified).

   This implies that any previous operations within the same COMPOUND
   request are also reflected in stable storage.  This behavior enables
   the client's ability to recover from a partially executed COMPOUND
   request that may have resulted from the failure of the server.  For
   example, if a COMPOUND request contains operations A and B and the
   server is unable to send a response to the client, then depending on
   the progress the server made in servicing the request, the result of
   both operations may be reflected in stable storage or just
   operation A may be reflected.  The server must not have just the
   results of operation B in stable storage.

14.4.  Operation Values

   The operations encoded in the COMPOUND procedure are identified by
   operation values.  To avoid overlap with the RPC procedure numbers,
   operations 0 (zero) and 1 are not defined.  Operation 2 is not
   defined but is reserved for future use with minor versioning.

Haynes & Noveck              Standards Track                  [Page 208]

RFC 7530                          NFSv4                       March 2015

15.  NFSv4 Procedures

15.1.  Procedure 0: NULL - No Operation

15.1.1.  SYNOPSIS


15.1.2.  ARGUMENT


15.1.3.  RESULT



   Standard NULL procedure.  Void argument, void response.  This
   procedure has no functionality associated with it.  Because of this,
   it is sometimes used to measure the overhead of processing a service
   request.  Therefore, the server should ensure that no unnecessary
   work is done in servicing this procedure.

Haynes & Noveck              Standards Track                  [Page 209]

RFC 7530                          NFSv4                       March 2015

15.2.  Procedure 1: COMPOUND - COMPOUND Operations

15.2.1.  SYNOPSIS

     compoundargs -> compoundres

15.2.2.  ARGUMENT

     union nfs_argop4 switch (nfs_opnum4 argop) {
             case <OPCODE>: <argument>;

   struct COMPOUND4args {
           utf8str_cs      tag;
           uint32_t        minorversion;
           nfs_argop4      argarray<>;

15.2.3.  RESULT

     union nfs_resop4 switch (nfs_opnum4 resop) {
             case <OPCODE>: <argument>;

   struct COMPOUND4res {
           nfsstat4        status;
           utf8str_cs      tag;
           nfs_resop4      resarray<>;


   The COMPOUND procedure is used to combine one or more of the NFS
   operations into a single RPC request.  The main NFS RPC program has
   two main procedures: NULL and COMPOUND.  All other operations use the
   COMPOUND procedure as a wrapper.

   The COMPOUND procedure is used to combine individual operations into
   a single RPC request.  The server interprets each of the operations
   in turn.  If an operation is executed by the server and the status of
   that operation is NFS4_OK, then the next operation in the COMPOUND
   procedure is executed.  The server continues this process until there
   are no more operations to be executed or one of the operations has a
   status value other than NFS4_OK.

Haynes & Noveck              Standards Track                  [Page 210]

RFC 7530                          NFSv4                       March 2015

   In the processing of the COMPOUND procedure, the server may find that
   it does not have the available resources to execute any or all of the
   operations within the COMPOUND sequence.  In this case, the error
   NFS4ERR_RESOURCE will be returned for the particular operation within
   the COMPOUND procedure where the resource exhaustion occurred.  This
   assumes that all previous operations within the COMPOUND sequence
   have been evaluated successfully.  The results for all of the
   evaluated operations must be returned to the client.

   The server will generally choose between two methods of decoding the
   client's request.  The first would be the traditional one-pass XDR
   decode, in which decoding of the entire COMPOUND precedes execution
   of any operation within it.  If there is an XDR decoding error in
   this case, an RPC XDR decode error would be returned.  The second
   method would be to make an initial pass to decode the basic COMPOUND
   request and then to XDR decode each of the individual operations, as
   the server is ready to execute it.  In this case, the server may
   encounter an XDR decode error during such an operation decode, after
   previous operations within the COMPOUND have been executed.  In this
   case, the server would return the error NFS4ERR_BADXDR to signify the
   decode error.

   The COMPOUND arguments contain a minorversion field.  The initial and
   default value for this field is 0 (zero).  This field will be used by
   future minor versions such that the client can communicate to the
   server what minor version is being requested.  If the server receives
   a COMPOUND procedure with a minorversion field value that it does not
   support, the server MUST return an error of
   NFS4ERR_MINOR_VERS_MISMATCH and a zero-length resultdata array.

   Contained within the COMPOUND results is a status field.  If the
   results array length is non-zero, this status must be equivalent to
   the status of the last operation that was executed within the
   COMPOUND procedure.  Therefore, if an operation incurred an error,
   then the status value will be the same error value as is being
   returned for the operation that failed.

   Note that operations 0 (zero), 1 (one), and 2 (two) are not defined
   for the COMPOUND procedure.  It is possible that the server receives
   a request that contains an operation that is less than the first
   legal operation (OP_ACCESS) or greater than the last legal operation
   (OP_RELEASE_LOCKOWNER).  In this case, the server's response will
   encode the opcode OP_ILLEGAL rather than the illegal opcode of the
   request.  The status field in the ILLEGAL return results will be set
   to NFS4ERR_OP_ILLEGAL.  The COMPOUND procedure's return results will
   also be NFS4ERR_OP_ILLEGAL.

Haynes & Noveck              Standards Track                  [Page 211]

RFC 7530                          NFSv4                       March 2015

   The definition of the "tag" in the request is left to the
   implementer.  It may be used to summarize the content of the COMPOUND
   request for the benefit of packet sniffers and engineers debugging
   implementations.  However, the value of "tag" in the response SHOULD
   be the same value as the value provided in the request.  This applies
   to the tag field of the CB_COMPOUND procedure as well.  Current Filehandle

   The current filehandle and the saved filehandle are used throughout
   the protocol.  Most operations implicitly use the current filehandle
   as an argument, and many set the current filehandle as part of the
   results.  The combination of client-specified sequences of operations
   and current and saved filehandle arguments and results allows for
   greater protocol flexibility.  The best or easiest example of current
   filehandle usage is a sequence like the following:

                        PUTFH fh1              {fh1}
                        LOOKUP "compA"         {fh2}
                        GETATTR                {fh2}
                        LOOKUP "compB"         {fh3}
                        GETATTR                {fh3}
                        LOOKUP "compC"         {fh4}
                        GETATTR                {fh4}

                    Figure 1: Filehandle Usage Example

   In this example, the PUTFH (Section 16.20) operation explicitly sets
   the current filehandle value, while the result of each LOOKUP
   operation sets the current filehandle value to the resultant file
   system object.  Also, the client is able to insert GETATTR operations
   using the current filehandle as an argument.

   The PUTROOTFH (Section 16.22) and PUTPUBFH (Section 16.21) operations
   also set the current filehandle.  The above example would replace
   "PUTFH fh1" with PUTROOTFH or PUTPUBFH with no filehandle argument in
   order to achieve the same effect (on the assumption that "compA" is
   directly below the root of the namespace).

   Along with the current filehandle, there is a saved filehandle.
   While the current filehandle is set as the result of operations like
   LOOKUP, the saved filehandle must be set directly with the use of the
   SAVEFH operation.  The SAVEFH operation copies the current filehandle
   value to the saved value.  The saved filehandle value is used in
   combination with the current filehandle value for the LINK and RENAME
   operations.  The RESTOREFH operation will copy the saved filehandle

Haynes & Noveck              Standards Track                  [Page 212]

RFC 7530                          NFSv4                       March 2015

   value to the current filehandle value; as a result, the saved
   filehandle value may be used as a sort of "scratch" area for the
   client's series of operations.


   Since an error of any type may occur after only a portion of the
   operations have been evaluated, the client must be prepared to
   recover from any failure.  If the source of an NFS4ERR_RESOURCE error
   was a complex or lengthy set of operations, it is likely that if the
   number of operations were reduced the server would be able to
   evaluate them successfully.  Therefore, the client is responsible for
   dealing with this type of complexity in recovery.

   A single compound should not contain multiple operations that have
   different values for the clientid field used in OPEN, LOCK, or RENEW.
   This can cause confusion in cases in which operations that do not
   contain clientids have potential interactions with operations that
   do.  When only a single clientid has been used, it is clear what
   client is being referenced.  For a particular example involving the
   interaction of OPEN and GETATTR, see Section 16.16.6.

Haynes & Noveck              Standards Track                  [Page 213]

RFC 7530                          NFSv4                       March 2015

16.  NFSv4 Operations

16.1.  Operation 3: ACCESS - Check Access Rights

16.1.1.  SYNOPSIS

     (cfh), accessreq -> supported, accessrights

16.1.2.  ARGUMENT

   const ACCESS4_READ      = 0x00000001;
   const ACCESS4_LOOKUP    = 0x00000002;
   const ACCESS4_MODIFY    = 0x00000004;
   const ACCESS4_EXTEND    = 0x00000008;
   const ACCESS4_DELETE    = 0x00000010;
   const ACCESS4_EXECUTE   = 0x00000020;

   struct ACCESS4args {
           /* CURRENT_FH: object */
           uint32_t        access;

16.1.3.  RESULT

   struct ACCESS4resok {
           uint32_t        supported;
           uint32_t        access;

   union ACCESS4res switch (nfsstat4 status) {
    case NFS4_OK:
            ACCESS4resok   resok4;


   ACCESS determines the access rights that a user, as identified by the
   credentials in the RPC request, has with respect to the file system
   object specified by the current filehandle.  The client encodes the
   set of access rights that are to be checked in the bitmask "access".
   The server checks the permissions encoded in the bitmask.  If a
   status of NFS4_OK is returned, two bitmasks are included in the
   response.  The first, "supported", represents the access rights for
   which the server can verify reliably.  The second, "access",
   represents the access rights available to the user for the filehandle
   provided.  On success, the current filehandle retains its value.

Haynes & Noveck              Standards Track                  [Page 214]

RFC 7530                          NFSv4                       March 2015

   Note that the supported field will contain only as many values as
   were originally sent in the arguments.  For example, if the client
   sends an ACCESS operation with only the ACCESS4_READ value set and
   the server supports this value, the server will return only
   ACCESS4_READ even if it could have reliably checked other values.

   The results of this operation are necessarily advisory in nature.  A
   return status of NFS4_OK and the appropriate bit set in the bitmask
   do not imply that such access will be allowed to the file system
   object in the future.  This is because access rights can be revoked
   by the server at any time.

   The following access permissions may be requested:

   ACCESS4_READ:  Read data from file or read a directory.

   ACCESS4_LOOKUP:  Look up a name in a directory (no meaning for
      non-directory objects).

   ACCESS4_MODIFY:  Rewrite existing file data or modify existing
      directory entries.

   ACCESS4_EXTEND:  Write new data or add directory entries.

   ACCESS4_DELETE:  Delete an existing directory entry.

   ACCESS4_EXECUTE:  Execute file (no meaning for a directory).

   On success, the current filehandle retains its value.


   In general, it is not sufficient for the client to attempt to deduce
   access permissions by inspecting the uid, gid, and mode fields in the
   file attributes or by attempting to interpret the contents of the ACL
   attribute.  This is because the server may perform uid or gid mapping
   or enforce additional access control restrictions.  It is also
   possible that the server may not be in the same ID space as the
   client.  In these cases (and perhaps others), the client cannot
   reliably perform an access check with only current file attributes.

   In the NFSv2 protocol, the only reliable way to determine whether an
   operation was allowed was to try it and see if it succeeded or
   failed.  Using the ACCESS operation in the NFSv4 protocol, the client
   can ask the server to indicate whether or not one or more classes of
   operations are permitted.  The ACCESS operation is provided to allow
   clients to check before doing a series of operations that might
   result in an access failure.  The OPEN operation provides a point

Haynes & Noveck              Standards Track                  [Page 215]

RFC 7530                          NFSv4                       March 2015

   where the server can verify access to the file object and the method
   to return that information to the client.  The ACCESS operation is
   still useful for directory operations or for use in the case where
   the UNIX API "access" is used on the client.

   The information returned by the server in response to an ACCESS call
   is not permanent.  It was correct at the exact time that the server
   performed the checks, but not necessarily afterward.  The server can
   revoke access permission at any time.

   The client should use the effective credentials of the user to build
   the authentication information in the ACCESS request used to
   determine access rights.  It is the effective user and group
   credentials that are used in subsequent READ and WRITE operations.

   Many implementations do not directly support the ACCESS4_DELETE
   permission.  Operating systems like UNIX will ignore the
   ACCESS4_DELETE bit if set on an access request on a non-directory
   object.  In these systems, delete permission on a file is determined
   by the access permissions on the directory in which the file resides,
   instead of being determined by the permissions of the file itself.
   Therefore, the mask returned enumerating which access rights can be
   supported will have the ACCESS4_DELETE value set to 0.  This
   indicates to the client that the server was unable to check that
   particular access right.  The ACCESS4_DELETE bit in the access mask
   returned will then be ignored by the client.

Haynes & Noveck              Standards Track                  [Page 216]

RFC 7530                          NFSv4                       March 2015

16.2.  Operation 4: CLOSE - Close File

16.2.1.  SYNOPSIS

     (cfh), seqid, open_stateid -> open_stateid

16.2.2.  ARGUMENT

   struct CLOSE4args {
           /* CURRENT_FH: object */
           seqid4          seqid;
           stateid4        open_stateid;

16.2.3.  RESULT

   union CLOSE4res switch (nfsstat4 status) {
    case NFS4_OK:
            stateid4       open_stateid;


   The CLOSE operation releases share reservations for the regular or
   named attribute file as specified by the current filehandle.  The
   share reservations and other state information released at the server
   as a result of this CLOSE are only associated with the supplied
   stateid.  The sequence id provides for the correct ordering.  State
   associated with other OPENs is not affected.

   If byte-range locks are held, the client SHOULD release all locks
   before issuing a CLOSE.  The server MAY free all outstanding locks on
   CLOSE, but some servers may not support the CLOSE of a file that
   still has byte-range locks held.  The server MUST return failure if
   any locks would exist after the CLOSE.

   On success, the current filehandle retains its value.


   Even though CLOSE returns a stateid, this stateid is not useful to
   the client and should be treated as deprecated.  CLOSE "shuts down"
   the state associated with all OPENs for the file by a single
   open-owner.  As noted above, CLOSE will either release all file
   locking state or return an error.  Therefore, the stateid returned by
   CLOSE is not useful for the operations that follow.

Haynes & Noveck              Standards Track                  [Page 217]

RFC 7530                          NFSv4                       March 2015

16.3.  Operation 5: COMMIT - Commit Cached Data

16.3.1.  SYNOPSIS

     (cfh), offset, count -> verifier

16.3.2.  ARGUMENT

   struct COMMIT4args {
           /* CURRENT_FH: file */
           offset4         offset;
           count4          count;

16.3.3.  RESULT

   struct COMMIT4resok {
           verifier4       writeverf;

   union COMMIT4res switch (nfsstat4 status) {
    case NFS4_OK:
            COMMIT4resok   resok4;


   The COMMIT operation forces or flushes data to stable storage for the
   file specified by the current filehandle.  The flushed data is that
   which was previously written with a WRITE operation that had the
   stable field set to UNSTABLE4.

   The offset specifies the position within the file where the flush is
   to begin.  An offset value of 0 (zero) means to flush data starting
   at the beginning of the file.  The count specifies the number of
   bytes of data to flush.  If count is 0 (zero), a flush from the
   offset to the end of the file is done.

   The server returns a write verifier upon successful completion of the
   COMMIT.  The write verifier is used by the client to determine if the
   server has restarted or rebooted between the initial WRITE(s) and the
   COMMIT.  The client does this by comparing the write verifier
   returned from the initial writes and the verifier returned by the
   COMMIT operation.  The server must vary the value of the write
   verifier at each server event or instantiation that may lead to a

Haynes & Noveck              Standards Track                  [Page 218]

RFC 7530                          NFSv4                       March 2015

   loss of uncommitted data.  Most commonly, this occurs when the server
   is rebooted; however, other events at the server may result in
   uncommitted data loss as well.

   On success, the current filehandle retains its value.


   The COMMIT operation is similar in operation and semantics to the
   POSIX fsync() [fsync] system call that synchronizes a file's state
   with the disk (file data and metadata are flushed to disk or stable
   storage).  COMMIT performs the same operation for a client, flushing
   any unsynchronized data and metadata on the server to the server's
   disk or stable storage for the specified file.  Like fsync(), it may
   be that there is some modified data or no modified data to
   synchronize.  The data may have been synchronized by the server's
   normal periodic buffer synchronization activity.  COMMIT should
   return NFS4_OK, unless there has been an unexpected error.

   COMMIT differs from fsync() in that it is possible for the client to
   flush a range of the file (most likely triggered by a buffer-
   reclamation scheme on the client before the file has been completely

   The server implementation of COMMIT is reasonably simple.  If the
   server receives a full file COMMIT request that is starting at offset
   0 and count 0, it should do the equivalent of fsync()'ing the file.
   Otherwise, it should arrange to have the cached data in the range
   specified by offset and count to be flushed to stable storage.  In
   both cases, any metadata associated with the file must be flushed to
   stable storage before returning.  It is not an error for there to be
   nothing to flush on the server.  This means that the data and
   metadata that needed to be flushed have already been flushed or lost
   during the last server failure.

   The client implementation of COMMIT is a little more complex.  There
   are two reasons for wanting to commit a client buffer to stable
   storage.  The first is that the client wants to reuse a buffer.  In
   this case, the offset and count of the buffer are sent to the server
   in the COMMIT request.  The server then flushes any cached data based
   on the offset and count, and flushes any metadata associated with the
   file.  It then returns the status of the flush and the write
   verifier.  The other reason for the client to generate a COMMIT is
   for a full file flush, such as may be done at CLOSE.  In this case,
   the client would gather all of the buffers for this file that contain
   uncommitted data, do the COMMIT operation with an offset of 0 and
   count of 0, and then free all of those buffers.  Any other dirty
   buffers would be sent to the server in the normal fashion.

Haynes & Noveck              Standards Track                  [Page 219]

RFC 7530                          NFSv4                       March 2015

   After a buffer is written by the client with the stable parameter set
   to UNSTABLE4, the buffer must be considered modified by the client
   until the buffer has been either flushed via a COMMIT operation or
   written via a WRITE operation with the stable parameter set to
   FILE_SYNC4 or DATA_SYNC4.  This is done to prevent the buffer from
   being freed and reused before the data can be flushed to stable
   storage on the server.

   When a response is returned from either a WRITE or a COMMIT operation
   and it contains a write verifier that is different than previously
   returned by the server, the client will need to retransmit all of the
   buffers containing uncommitted cached data to the server.  How this
   is to be done is up to the implementer.  If there is only one buffer
   of interest, then it should probably be sent back over in a WRITE
   request with the appropriate stable parameter.  If there is more than
   one buffer, it might be worthwhile to retransmit all of the buffers
   in WRITE requests with the stable parameter set to UNSTABLE4 and then
   retransmit the COMMIT operation to flush all of the data on the
   server to stable storage.  The timing of these retransmissions is
   left to the implementer.

   The above description applies to page-cache-based systems as well as
   buffer-cache-based systems.  In those systems, the virtual memory
   system will need to be modified instead of the buffer cache.

Haynes & Noveck              Standards Track                  [Page 220]

RFC 7530                          NFSv4                       March 2015

16.4.  Operation 6: CREATE - Create a Non-regular File Object

16.4.1.  SYNOPSIS

     (cfh), name, type, attrs -> (cfh), cinfo, attrset

16.4.2.  ARGUMENT

   union createtype4 switch (nfs_ftype4 type) {
    case NF4LNK:
            linktext4 linkdata;
    case NF4BLK:
    case NF4CHR:
            specdata4 devdata;
    case NF4SOCK:
    case NF4FIFO:
    case NF4DIR:
            void;  /* server should return NFS4ERR_BADTYPE */

   struct CREATE4args {
           /* CURRENT_FH: directory for creation */
           createtype4     objtype;
           component4      objname;
           fattr4          createattrs;

16.4.3.  RESULT

   struct CREATE4resok {
           change_info4    cinfo;
           bitmap4         attrset;        /* attributes set */

   union CREATE4res switch (nfsstat4 status) {
    case NFS4_OK:
            CREATE4resok resok4;

Haynes & Noveck              Standards Track                  [Page 221]

RFC 7530                          NFSv4                       March 2015


   The CREATE operation creates a non-regular file object in a directory
   with a given name.  The OPEN operation is used to create a regular

   The objname specifies the name for the new object.  The objtype
   determines the type of object to be created: directory, symlink, etc.

   If an object of the same name already exists in the directory, the
   server will return the error NFS4ERR_EXIST.

   For the directory where the new file object was created, the server
   returns change_info4 information in cinfo.  With the atomic field of
   the change_info4 struct, the server will indicate if the before and
   after change attributes were obtained atomically with respect to the
   file object creation.

   If the objname is of zero length, NFS4ERR_INVAL will be returned.
   The objname is also subject to the normal UTF-8, character support,
   and name checks.  See Section 12.7 for further discussion.

   The current filehandle is replaced by that of the new object.

   The createattrs field specifies the initial set of attributes for the
   object.  The set of attributes may include any writable attribute
   valid for the object type.  When the operation is successful, the
   server will return to the client an attribute mask signifying which
   attributes were successfully set for the object.

   If createattrs includes neither the owner attribute nor an ACL with
   an ACE for the owner, and if the server's file system both supports
   and requires an owner attribute (or an owner ACE), then the server
   MUST derive the owner (or the owner ACE).  This would typically be
   from the principal indicated in the RPC credentials of the call, but
   the server's operating environment or file system semantics may
   dictate other methods of derivation.  Similarly, if createattrs
   includes neither the group attribute nor a group ACE, and if the
   server's file system both supports and requires the notion of a group
   attribute (or group ACE), the server MUST derive the group attribute
   (or the corresponding owner ACE) for the file.  This could be from
   the RPC's credentials, such as the group principal if the credentials
   include it (such as with AUTH_SYS), from the group identifier
   associated with the principal in the credentials (e.g., POSIX systems
   have a user database [getpwnam] that has the group identifier for
   every user identifier), inherited from the directory the object is

Haynes & Noveck              Standards Track                  [Page 222]

RFC 7530                          NFSv4                       March 2015

   created in, or whatever else the server's operating environment
   or file system semantics dictate.  This applies to the OPEN
   operation too.

   Conversely, it is possible the client will specify in createattrs an
   owner attribute, group attribute, or ACL that the principal indicated
   the RPC's credentials does not have permissions to create files for.
   The error to be returned in this instance is NFS4ERR_PERM.  This
   applies to the OPEN operation too.


   If the client desires to set attribute values after the create, a
   SETATTR operation can be added to the COMPOUND request so that the
   appropriate attributes will be set.

Haynes & Noveck              Standards Track                  [Page 223]

RFC 7530                          NFSv4                       March 2015

16.5.  Operation 7: DELEGPURGE - Purge Delegations Awaiting Recovery

16.5.1.  SYNOPSIS

     clientid ->

16.5.2.  ARGUMENT

   struct DELEGPURGE4args {
           clientid4       clientid;

16.5.3.  RESULT

   struct DELEGPURGE4res {
           nfsstat4        status;


   DELEGPURGE purges all of the delegations awaiting recovery for a
   given client.  This is useful for clients that do not commit
   delegation information to stable storage, to indicate that
   conflicting requests need not be delayed by the server awaiting
   recovery of delegation information.

   This operation is provided to support clients that record delegation
   information in stable storage on the client.  In this case,
   DELEGPURGE should be issued immediately after doing delegation
   recovery (using CLAIM_DELEGATE_PREV) on all delegations known to the
   client.  Doing so will notify the server that no additional
   delegations for the client will be recovered, allowing it to free
   resources and avoid delaying other clients who make requests that
   conflict with the unrecovered delegations.  All clients SHOULD use
   DELEGPURGE as part of recovery once it is known that no further
   CLAIM_DELEGATE_PREV recovery will be done.  This includes clients
   that do not record delegation information in stable storage, who
   would then do a DELEGPURGE immediately after SETCLIENTID_CONFIRM.

Haynes & Noveck              Standards Track                  [Page 224]

RFC 7530                          NFSv4                       March 2015

   The set of delegations known to the server and the client may be
   different.  The reasons for this include:

   o  A client may fail after making a request that resulted in
      delegation but before it received the results and committed them
      to the client's stable storage.

   o  A client may fail after deleting its indication that a delegation
      exists but before the delegation return is fully processed by the

   o  In the case in which the server and the client restart, the server
      may have limited persistent recording of delegations to a subset
      of those in existence.

   o  A client may have only persistently recorded information about a
      subset of delegations.

   The server MAY support DELEGPURGE, but its support or non-support
   should match that of CLAIM_DELEGATE_PREV:

   o  A server may support both DELEGPURGE and CLAIM_DELEGATE_PREV.

   o  A server may support neither DELEGPURGE nor CLAIM_DELEGATE_PREV.

   This fact allo