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Internet-Draft E. Stokes LDAP Extensions WG B. Blakley Intended Category: Standards Track Tivoli Systems Expires: 14 January 2001 D. Rinkevich IBM R. Byrne Sun Microsystems 14 July 2000 Access Control Model for LDAPv3 <draft-ietf-ldapext-acl-model-06.txt> STATUS OF THIS MEMO This document is an Internet-Draft and is in full conformance with all provisions of Section 10 of RFC2026. Internet-Drafts are working documents of the Internet Engineering Task Force (IETF), its areas, and its working groups. Note that other groups may also distribute working documents as Internet-Drafts. Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress." The list of current Internet-Drafts can be accessed at http://www.ietf.org/ietf/1id-abstracts.txt The list of Internet-Draft Shadow Directories can be accessed at http://www.ietf.org/shadow.html. Comments and suggestions on this document are encouraged. Comments on this document should be sent to the LDAPEXT working group discussion list: ietf-ldapext@netscape.com COPYRIGHT NOTICE Copyright (C) The Internet Society (2000). All Rights Reserved. ABSTRACT This document describes the access control model for the Lightweight Directory Application Protocol V3 (LDAPv3) directory service. It includes a description of the model, the LDAP controls, and the extended operations to the LDAP protocol. The current LDAP APIs are sufficient for most Stokes, et al Expires 14 January 2001 [Page 1]  Internet-Draft Access Control Model 14 July 2000 access control operations. An API (in a separate document) is needed for the extended operation getEffectiveAccess. A separate requirements document for access control exists [REQTS]. The access control model used the requirements documents as a guideline for the development of this specification and are reflected in this specification to the extent that the working group could agree on an access control model. The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", and "MAY" used in this document are to be interpreted as described in [Bradner97]. 1. Introduction The ability to securely access (replicate and distribute) directory information throughout the network is necessary for successful deployment. LDAP's acceptance as an access protocol for directory information is driving the need to provide an access control model definition for LDAP directory content among servers within an enterprise and the Internet. Currently LDAP does not define an access control model, but one is needed to ensure consistent secure access, replication, and management across heterogeneous LDAP implementations. The major objective is to provide a simple, usable, and implementable, but secure and efficient access control model for LDAP while also providing the appropriate flexibility to meet the needs of both the Internet and enterprise environments and policies. This document defines the model and the protocol extensions (controls and extended operations). This draft does not (and cannot) fully specify the behavior of the Access Control Model in a distributed environment (e.g. propagating access control information across servers and ACI administration) because there is no LDAP standard defining how to distribute directory data between LDAP servers. The behavior of the Access Control Model in distributed environments is beyond the scope of this draft. 2. The LDAPv3 Access Control Model Access Control mechanisms evaluate requests for access to protected resources and make decisions about whether those requests should be granted or denied. In order to make a Stokes, et al Expires 14 January 2001 [Page 2]  Internet-Draft Access Control Model 14 July 2000 grant/deny decision about a request for access to a protected resource, an access control mechanism needs to evaluate policy data. This policy data describes security- relevant characteristics of the requesting subject and the rules which govern the use of the target object. No mechanism is defined in this document for storage of access control information at the server beyond indicating that the attribute holding access control information is an operational attribute. The access control mechanisms specified in this document are neutral with respect to policy inheritance mechanisms, explicit vs. implicit denial, and group nesting. The access control model defines - What flows on the wire for interoperability The existing LDAP protocol flows for ldap operations are used to manipulate access control information. A set of permissions and their semantics with respect to ldap operations is defined. The permissions parallel the types of ldap operations defined. What is transmitted is exactly what is read back. Encoding of access control information on the wire is per the LDAPv3 specifications. There is an additional LDAP control and extended protocol operation defined, getEffectiveRights. LDAP clients use the control and extended operation to manage and administer access control policy enforced by LDAP servers. Servers may store access control information in any way they choose. In particular, servers may use the access control mechanisms of their datastores to store and enforce LDAP access control, or they may implement access control managers external to their datastores. Datastores and external access control managers MAY implement any access control rule syntax and semantics they choose, but the semantics MUST be compatible with those defined in the section titled "Operational Semantics of Access Control Operations". - Attributes and classes for application portability of access control information An access control information attribute (ldapACI) for application portability: This attribute is used as input to the LDAP APIs so access control information Stokes, et al Expires 14 January 2001 [Page 3]  Internet-Draft Access Control Model 14 July 2000 can be addressed uniformly independent of how that information is addressed and stored at the server. This same attribute appears in LDIF output for interchange of access control information. An access control information subentry class (ldapACISubEntry) and a set of attributes (supportedAccessControlSchemes which is used in the rootDSE and accessControlSchemes which is used in the subentry ldapACISubEntry) to identity the access control mechanisms supported by a server and in a given part of the namespace, respectively. - An attribute in the rootDSE, discloseOnError, to control whether it is permissible for the server to return the name of an entry or attribute in an error (or empty set) operation result. This closes a hole on the ability to discover information you are not authorized to discover. - A mechanism to control access to access control information: The access control information attribute, ldapACI, is used to control access to access control information (controls access to itself). How to get an initial ldapACI in the directory is server specific and beyond the scope of this model. Servers can support multiple access control mechanisms, but MUST be capable of supporting the LDAP Mechanism in the DIT scoped by the rootDSE (entire server's DIT) for that server and SHOULD be capable of supporting the LDAP mechanism in an arbitrary part (subtree) of the DIT. The accessControlSchemes attribute in the ldapACISubEntry indicates which access control mechanism is in effect for the scope of that ldapACISubEntry. The supportedAccessControlSchemes attribute in the rootDSE indicates which acess control mechanisms are supported by the server; those mechanisms are in effect in that server's DIT unless overridden by a mechanism defined in a ldapACISubEntry elsewhere in that DIT. Changing the value(s) of either the supportedAccessControlSchemes or accessControlSchemes attributes changes the mechanism(s) in effect for the scope of those attributes (where scope is either that of the rootDSE or ldapACISubEntry). Through the use of the mechanism rootDSE attribute and ldapACI subentry, it is possible to run multiple mechanisms in either the same subtree or separate subtrees. If two Stokes, et al Expires 14 January 2001 [Page 4]  Internet-Draft Access Control Model 14 July 2000 mechanisms are run in the same subtree, it is desirable that the result be the same independent of mechanism, but definition and discussion of this is beyond the scope of this model. 3. Access Control Mechanism Attributes Two attributes are defined to identify which access control mechanisms are supported by a given server and by a given subtree: supportedAccessControlSchemes and accessControlSchemes. (We chose these names based on the X.500 attribute, AccessControlScheme which is single-valued and defined in X.501). 3.1 Root DSE Attribute for Access Control Mechanism The server advertises which access control mechanisms it supports by inclusion of the 'supportedAccessControlSchemes' attribute in the root DSE. This attribute is a list of OIDs, each of which identify an access control mechanism supported by the server. By default, these are also the mechanisms in effect in subtrees beneath the root in that server unless overridden by a ldapACISubEntry (see section "Subentry Class Access Control Mechanism"). (<OID to be assigned> NAME 'supportedAccessControlSchemes' DESC list of access control mechanisms supported by this directory server SYNTAX LDAPOID USAGE dSAOperation ) The access control mechanism defined is: LDAPv3 <OID to be assigned> Other vendor access control mechanisms MAY be defined (by OID) and are the responsibility of those vendors to provide the definition and OID. 3.2 Root DSE Attribute for Control of Disclosing Errors The server specifies whether it is permissible for the name of an entry or attribute to be disclosed in an error (or empty) operation result. This rootDSE attribute is discloseOnError. The default for discloseOnError is false (0) or not to disclose on error. The lack of this attribute Stokes, et al Expires 14 January 2001 [Page 5]  Internet-Draft Access Control Model 14 July 2000 in the rootDSE is interpreted as the default. (<OID to be assigned> NAME 'discloseOnError' DESC specify whether to return the name of an entry or attribute in an error (or empty) operation result; 0=do not disclose (default); 1=disclose SYNTAX LDAPString USAGE dSAOperation 3.3 Subentry Class Access Control Mechanism A given naming context MUST provide information about which access control mechanisms are in effect for that portion of the namespace. This information is contained in a subentry (ldapACISubEntry class), derived from [SUBENTRY]. ldapACISubEntry MAY be used to define the scope of an access control mechanism. The value(s) held in the rootDSE attribute, supportedAccessControlSchemes, are the mechanisms in effect in subtrees beneath the root in that server unless overridden in a ldapACISubEntry further down the tree held by that server. The scope of that ldapACISubEntry is to the end of the subtree held by that server or until another ldapACISubEntry is encountered in that subtree held by that server. The ldapACISubEntry class is defined as: ( <OID to be assigned> NAME 'ldapACISubEntry' DESC 'LDAP ACI Subentry class' SUP ldapSubEntry STRUCTURAL MUST ( accessControlSchemes ) ) The accessControlSchemes attribute MUST be in each ldap access control subentry entry associated with a naming context whose access control mechanism is different from adjacent naming contexts supported by that directory server. accessControlSchemes lists the values (list of OIDs) that define the access control mechanisms in effect for the scope of that ldap access control subentry. Although, in general, this attribute will define only a single mechanism (single value), more than one mechanism MAY be in effect for the scope of that subentry. (<OID to be assigned> NAME 'accessControlSchemes' DESC list of access control mechanisms supported in this subtree Stokes, et al Expires 14 January 2001 [Page 6]  Internet-Draft Access Control Model 14 July 2000 SYNTAX LDAPOID USAGE dSAOperation ) 4. The Access Control Information Attribute (ldapACI) The access control information attribute, ldapACI, is defined as: (<OID to be assigned> NAME 'ldapACI' DESC 'ldap access control information' EQUALITY caseIgnoreMatch SYNTAX directoryString USAGE directoryOperation ) The intent of the attribute definition is to design a common interchange format. Any given LDAP server should be able to translate the below defined attribute into meaningful operation requests. Each server should be able to understand the attribute; there should not be any ambiguity into what any part of the syntax means. While the end goal is to have a common behavior model between different LDAP server implementations, the attribute definition alone will not ensure identical ACL processing behavior between servers. The semantics of how a server interprets the ACI syntax are defined in the "Operational Semantics of Access Control" section of this document. Additionally, while the server must recognize and act on the attribute when received over the wire, there are no requirements for the server to physically store this attribute. The attribute definition maintains an assumption that the receiving server supports inheritance within the security model. If the server does not support inheritance, the receiving server must expand any inherited information based on the scope flag. If the server does not support partial inheritance and both the entry and subtree scope are used, then entry is the prevailing scope. (It is possible for two values in the ldapACI attribute to have different scopes given the syntax of ldapACI; one might contain 'entry' and another might contain 'subtree'. This implies that some ldapACI values inherit down the DIT and othersdo not - hence partial inheritance of the ldapACI attribute.) The attribute is defined so access control information (ACI) Stokes, et al Expires 14 January 2001 [Page 7]  Internet-Draft Access Control Model 14 July 2000 can be addressed in a server independent of server implementation. This attribute is used in typical LDAP APIs and in LDIF output of ACI. This attribute may be queried or set on all directory objects. The BNF and definitions are given below. 4.1 The BNF 4.1.1 ACI String Representation Values of this syntax are encoded according to the following BNF which follows the BNF encoding conventions described in [ABNF]: ldapACI = scope "#" rights "#" attr "#" subject scope = "entry" / "subtree" rights = (("grant:" / "deny:") permissions) / ("grant:" permissions ";deny:" permissions) permissions = [permission *("," permission)] permission = "a" / ; add "d" / ; delete "e" / ; export "i" / ; import "n" / ; renameDN "b" / ; browseDN "t" / ; returnDN "r" / ; read "s" / ; search "w" / ; write (mod-add) "o" / ; obliterate (mod-del) "c" / ; compare "m" / ; make attr = "[all]" / "[entry]" / (attribute *("," attribute)) attribute = ; OID syntax (1.3.6.1.4.1.1466.115.121.1.38) ; from [ATTR] subject = ["authnLevel:" authnLevel ":"] (("authzID-" authzID) / ("role:" dn) / ("group:" dn) / ("subtree:" dn) / ("ipAddress:" ipAddress) / "public:" / Stokes, et al Expires 14 January 2001 [Page 8]  Internet-Draft Access Control Model 14 July 2000 "this:") authnLevel = "any" / "simple" / sasl sasl = "sasl:" ("any" / mechanism) mechanism = ; sasl mechanism from 4.2 of [LDAPv3] authzID = ; authzID from [AuthMeth] repeated below ; for convenience authzId = dnAuthzId / uAuthzId ; distinguished-name-based authz id. dnAuthzId = "dn:" dn dn = utf8string ; with syntax defined in [UTF] ; unspecified userid, UTF-8 encoded. uAuthzId = "u:" userid userid = utf8string ; syntax unspecified ipAddress = printableString ; dotted decimal form (e.g. 10.0.0.6) ; or use wildcards such as 12.3.45.* to ; specify a specific subnetwork ; or 123.45.6.*+255.255.255.115 to ; specify a subnetmask ; or use a wildcard domain name such as ; *.airius.com to specify a specific ; DNS domain printableString ; printableString syntax from [ATTR] Note that the colon following the "public" and "this" subject options exist only to simplify string parsing. Note also that per [AuthMeth], authzID may be expanded in the future. See section titled 'ACI Examples' for examples of the string representation. Stokes, et al Expires 14 January 2001 [Page 9]  Internet-Draft Access Control Model 14 July 2000 4.1.2 ACI Binary Representation The following ASN.1 data type is used to represent this syntax when transferred in binary form: ldapACI ::= SEQUENCE { scope ENUMERATED { entry (0), subtree (1) }, rights SEQUENCE OF CHOICE { grant [0] Permissions, deny [1] Permissions }, attr CHOICE { all [0] NULL, entry [1] NULL, attributes [2] SEQUENCE OF Attribute }, subject SEQUENCE { authnLevel CHOICE { any [0] NULL, simple [1] NULL, sasl [2] CHOICE { any [0] NULL, mechanism [1] LDAPString -- from [LDAPv3] } }, subject CHOICE { dn [0] DN, user [1] utf8String role [1] DN, group [2] DN, subtree [3] DN, ipAddress [4] IPAddress, public [6] NULL, this [7] NULL }, } -- may be expanded per [AuthMeth] Permissions ::= SEQUENCE OF ENUMERATED { add (0), delete (1), export (2), import (3), renameDN (4), browseDN (5), returnDN (6), read (7), search (8), write (9), obliterate (10), compare (11), make (12) } Stokes, et al Expires 14 January 2001 [Page 10]  Internet-Draft Access Control Model 14 July 2000 Attribute ::= AttributeType -- from [LDAPv3] IPAddress ::= PrintableString -- (e.g. 10.0.0.6) 4.2 The Components of ldapACI Attribute This section defines components that comprise the access control information attribute, ldapACI. 4.2.1 Scope Two scopes for access control information are defined: - entry - the access control information in the ldapACI attribute applies only to the entry in which it is contained - subtree - the access control information in the ldapACI attribute applies to each entry down the subtree unless it is overridden by an entry-specific ldapACI whose values are more specific. Use of prescriptive ACIs and scoping via use of a ldapACISubEntry is outside the scope of this document. 4.2.2 Access Rights and Permissions Access rights can apply to an entire object or to attributes of the object. Access can be granted or denied. Either or both of the actions "grant" | "deny" may be used when creating or updating ldapACI. Each of the LDAP access permissions are discrete. One permission does not imply another permission. The permissions which apply to attributes and the entry parallel the type of ldap operations that can be performed. Permissions which apply to attributes: r Read Read attribute values w Write Modify-add values o Obliterate Modify-delete values s Search Search entries with specified attributes c Compare Compare attributes m Make Make attributes on a new entry below this entry Stokes, et al Expires 14 January 2001 [Page 11]  Internet-Draft Access Control Model 14 July 2000 1. r Read If granted, permits attributes and values to be returned in a read or search operation. 2. w Write If granted, permits attributes and values to be added in a modify operation. 3. o Obliterate If granted, permits attributes and values to be deleted in a modify operation. 4. s Search If granted, permits attributes and values to be included in a search operation. 5. c Compare If granted, permites attributes and value to be used in a compare operation. 6. m Make The attribute permission "m" is required for all attributes that are placed on an object when it is created. Just as the "w" and "o" permissions are used in the Modify operation, the "m" permission is used in the Add operation. Additionally, note that "w" and "o" have no bearing on the Add operation and "m" has no bearing on the Modify operation. Since a new object does not yet exist, the "a" and "m" permissions needed to create it must be granted on the new object's parent. This differs from "w" and "o" which must be granted on the object being modified. The "m" permission is distinct and separate from the "w" and "o" permissions so that there is no conflict between the permissions needed to add new children to an entry and the permissions needed to modify existing children of the same entry. Note: Modify-replace values of an attribute requires "w" and "o" permission. Permissions that apply to an entire entry: a Add Add an entry below this entry Stokes, et al Expires 14 January 2001 [Page 12]  Internet-Draft Access Control Model 14 July 2000 d Delete Delete this entry e Export Export entry & subordinates to new location i Import Import entry & subordinates from some location n RenameDN Rename an entry's DN b BrowseDN Browse an entry's DN t ReturnDN Allows DN of entry to be disclosed in an operation result 1. a Add If granted, permits creation of an entry in the DIT subject to control on all attributes and values to be placed in the new entry at time of creation. In order to add an entry, permission must also be granted to add at least the mandatory attributes. 2. d Delete If granted, permits the entry to be removed from the DIT regardless of controls on attributes within the entry. 3. e Export If granted, permits an entry and its subordinates (if any) to be exported; that is, removed from the current location and placed in a new location subject to the granting of suitable permission at the destination. If the last RDN is changed, Rename is also required at the current location. In order to export an entry or its subordinates, there are no prerequisite permissions to contained attributed, including the RDN attributes; this is true even when the operation causes new attribute values to be added or removed as the result of the changes of RDN. 4. i Import If granted, permits an entry and its suordinates (if any) to be imported; that is, removed from some other location and placed a t the location to which the permission applies subject to the granting of suitable permissions at the source location. In order to import an entry or its subordinates, there are no prerequisite permissions to contained attributed, including the RDN attributes; this is true even when the operation causes new attribute values to be added or removed as the result of the changes of RDN. Stokes, et al Expires 14 January 2001 [Page 13]  Internet-Draft Access Control Model 14 July 2000 5. n RenameDN Granting Rename is necessary for an entry to be renamed with a new RDN, taking into account consequential changes to the distinguished names of subordinate entries, if any; if the name of the superior is unchanged, the grant is sufficient. In order to rename an entry, there are no prerequisite permissions to contained attributed, including the RDN attributes; this is true even when the operation causes new attribute values to be added or removed as the result of the changes of RDN. 6. b BrowseDN If granted, permits entries to be accessed using directory operations which do not explicitly provide the name of the entry. 7. t ReturnDN If granted, allows the distinguished name of the entry to be disclosed in the operation result. All permissions (for grant and deny) for an attribute/entry and a given subject MUST be contained within one ldapACI value, i.e. (in abbreviated form) ldapACI: ...grant OID.attr1 subjectA ldapACI: ...deny OID.attr1 subjectA must be ldapACI: ...grant ... deny... OID.attr1 subjectA Using the defined BNF it is possible for the permission string to be empty. The ACI ldapACI: subtree#grant#OID.attr1#group:cn=Dept XYZ,c=US ldapACI: subtree#grant:r,s#[all]#group:cn=Dept XYZ,c=US means that this group (Dept XYZ) is granted permission to read and search all attributes except OID.attr1 because OID.attr1 is more specific than "[all]". 4.2.3 Attributes Attribute describes an attribute name in the form of a dotted decimal OID for that <attr>. If the string (OID) refers to an attribute not defined in the given server's schema, the server SHOULD report an error. "[entry]" means Stokes, et al Expires 14 January 2001 [Page 14]  Internet-Draft Access Control Model 14 July 2000 the permissions apply to the entire object. This could mean actions such as delete the object, or add a child object. "[all]" means the permission set apply to all attributes of the entry. If the keyword "[all]" and another attribute are both specified within an ACI, the more specific permission set for the attribute overrides the less specific permission set for "[all]". 4.2.4 Subjects and Associated Authentication The following subjects are defined and MUST be supported: - authzID, defined per [authmeth] - group, defined as the distinguished name of a groupOfNames or groupOfUniqueNames entry - role - subtree, defined as the distinguished name of a non- leaf node in the DIT - ipAddress, - public, defined as public access - this, defined as the user whose name matches that of the entry being accessed Other parties MAY define other subjects. It is the responsibility of those parties to provide the definition. A subject may be qualified by the type of authentication required for access to a given attribute(s) or entry. If no authnLevel is present, then no specific type of authentication is additionally required for access. If authnLevel is specified, then that type of authentication is additionally required for access. The authnLevels parallel the authentication mechanisms specified for LDAPv3: simple, SASL (any type of SASL mechanism), and a SASL-specific mechanism. The authnLevel of is not an acceptable mechanism for this case) as part of obtaining access. 4.3 Grant/Deny Evaluation Rules The decision whether to grant or deny a client access to a particular piece of information is based on several pieces Stokes, et al Expires 14 January 2001 [Page 15]  Internet-Draft Access Control Model 14 July 2000 of information found within the ldapaci value. Throughout the decision making process, there are guiding principals. - Specificity: More specific policies MUST override less specific ones (e.g. individual user entry in ACI takes precedence over group entry). - Deny takes precedence over Grant. - When there are conflicting ACI values, deny takes precedence over grant. - Deny is the default when there is no access control information. Precendence of Scope Types (highest to lowest) - entry - subtree Precedence of Subjects within a Scope (highest to lowest): - ipAddress - authzID, this - group, role, this, public - subtree, public Although other types MAY be defined given the BNF, use of the well-known types aids in interoperability and operational consistency. Access Decision algorithm: 1. Determine all the ldapACI values which could apply to the target DN which is being accessed. This is the DN of the entry which is being queried in a search, modified, deleted, etc. When determining all the ldapACI values, the scope field should be used. All ldapACI values with a scope of 'entry' take precedence over ldapACI values with a scope of 'subtree'. 2. Determine which ldapACI (of the set determined in step 1) apply to the bound DN. This is determined by looking at the subject (combination of subject type and subject value) and bind type. If no bind is in effect (this is possible in ldapv3), then treat this lack of bind as if bound as anonymous. Start with the Stokes, et al Expires 14 January 2001 [Page 16]  Internet-Draft Access Control Model 14 July 2000 most specific subject type. If at any time, at least one ldapACI value exists for a specificity level, then processing stops; the exception here is 'this' because this may also be combined with group to use power of 'this'. Evaluation should take place on set of ldapACI values which are all of the same specificity level. Subjects of the same precedence are combined using union semantics. 3. Evaluate the remaining ldapACI values and determine a grant/deny decision. If conflicting ldapACI value exists for the same attribute, or attributes (i.e. one ldapACI grants permission and another denies permission), then deny takes precedence over grant. For example, if one is granted permission to "objectclass" in one ldapACI value by being a member of group cn=Admin, and denied permission by being a member of cn = NontrustedAdmins, then the bound user would not receive permission to objectclass. The rule of specificity also applies to the attributes. If one is denied permission to "[ all ]" attributes, but granted permission to "objectclass" then the more specific value of "objectclass" takes precedence over the less specific value of "[ all ] ". In this case the user would be granted permission to "objectclass" but denied permission to all other attributes. 5. Required Permissions for each LDAP Operation This section defines the required permissions for each LDAP operation but even if these requirements are satisfied the server MAY refuse to carry out the operation due to other implementation specific security considerations. For example, a server may refuse to modify an entry because the database where that entry resides is in read only mode. Another example might be that although the access control is available to the userPassword attribute a server may refuse modifications due to some server specific policy governing access to passwords. Here, we specify the rights required by a user when performing an LDAP operation in terms of the LDAP permissions specified in section 6.1. Recall that "a, d, e, i, n, b,t" are permissions that apply to entries as a whole while permissions "r, s, w, o, c, m" apply to attributes within entries. Stokes, et al Expires 14 January 2001 [Page 17]  Internet-Draft Access Control Model 14 July 2000 Required permissions for LDAP extended operations and LDAP controls are beyond the scope of this draft. There is a requirement that a user should not be able to infer the existence of data in the Directory, if the user does not have the required access rights to that data. An example of this requirement would be in a hosting environment where you would not want any users from the coke subtree to be able to even discover that the pepsi tree was hosted on the same server. This "discloseOnError" feature will be set once for server in the rootDSE advertised by the attribute discloseOnError. The default for discloseOnError is false (0). The lack of this attribute in the rootDSE is interpreted as the default. The details of its effects are addressed below, operation by operation. For the following, assume that the authorization identity of the user doing the operation is authzID. 5.1 Bind Operation This draft does not require any permissions to allow a bind operation to proceed. 5.2 Search Operation Recall that the parameters of the Search operation per RFC 2251 [LDAPv3] Section 4.5 are: SearchRequest ::= [APPLICATION 3] SEQUENCE { baseObject LDAPDN, scope ENUMERATED { baseObject (0), singleLevel (1), wholeSubtree (2) }, derefAliases ENUMERATED { neverDerefAliases (0), derefInSearching (1), derefFindingBaseObj (2), derefAlways (3) }, sizeLimit INTEGER (0 .. maxInt), timeLimit INTEGER (0 .. maxInt), typesOnly BOOLEAN, filter Filter, attributes AttributeDescriptionList } Suppose a server is processing a search request from user authzID with parameters as above and is processing the entry with dn candidateDN to decide if it may be returned or not. Stokes, et al Expires 14 January 2001 [Page 18]  Internet-Draft Access Control Model 14 July 2000 Then the permissions required by authzID that need to be evaluated are as follows: 1. permission "b" to the entry candidateDN If this permission is not granted then the dn candidateDN MUST not be returned nor any attribute type nor attribute value from this entry. If this permission is granted then the dn candidateDN MAY be returned. Note: The idea of the "b" permission is to say "a user has discovery rights" at a certain entry in the directory. Assuming that the further required permissions below are satisfied then having "b" right is enough to allow the server to return candidateDN. Of course candidateDN contains in it's components, attributes and attribute values for all the ancestors of candidateDN. This can lead to the slightly odd situation that we can discover the naming attribute of an entry and that attribute's value by virtue of having the required searching permissions to it's child but not by searching the entry directly. 2. permission "s" to each attribute appearing in a presence test during the evaluation of the search filter. permission "r" to each attribute appearing in non-presence tests (see rfc1960, section 3: equalityMatch, substrings, greaterOrEquial, lessOrEqual, present, approxMatch, extensibleMatch) during the evaluation of the search filter. The above statement covers the case where the attributes are being evaluated as part of an extensibleMatch (RFC 2251 section 4.5.1) which appears in the filter. In the case where the dnAttributes field of the extensibleMatch is true then we do not require any access checks to the attributes of the dn candidateDN as access to these is taken to be granted by the "b" permission, which has already been required above. If there is an attribute in a filter element to which the required permission is not granted then that filter element evaluates to "Undefined" of the three- valued-logic of X.511(93). Note A: Although both "r" and "s" permissions will typically be granted to attributes we keep both Stokes, et al Expires 14 January 2001 [Page 19]  Internet-Draft Access Control Model 14 July 2000 permissions as there are cases where the distinction is useful. For example, the ability to grant the right to discover that a user entry contains a userPassword attribute, but not to read it's value ("s" but not "r"). The converse, granting "r" but not "s" permission is less easy to motivate. Note B: There is an unusual behaviour with respect to naming attributes illustrated in the following example: Suppose I have "b" rights to cn=fred,o=sun.com and "r" rights to attribute objectclass but not "r" rights to cn then with search filter (objectclass=*) I get back the dn and objectclass (and so can see the value of cn), but with a search filter of (cn=fred) I do not get anything. 3. permission "r" to each attribute in the attribute list AttributeDescriptionList (or all attributes in the entry candidateDN if AttributeDescriptionList is *) whose type and/or value will be returned. Note: The presence of an attribute in an entry is only ever volunteered by the server if "r" permission is granted to it, though a user may infer the presence of an attribute with "s" permission by using a presence test on that attribute in the search filter. 4. permission "t" to the entry candidateDN If this permission is not granted then the dn candidateDN MUST NOT be returned. If the server knows of an alias for the entry, this alias may be returned instead. If no alias name is available then the entry candidateDN MUST be omitted from the search results. 5. Disclose on error for the Search operation If every entry in the scope of the search fails to satisfy item 1 (browse right on the candidate entry) or item 2 (right to use the filter on that entry) and if discloseOnError is not granted to the baseObject entry then the operation MUST fail with a "no such object error" and the matchedDN of the LDAPResult MUST be set to "". If every entry in the scope of the search fails to satisfy items 1 or 2 above and discloseOnError is granted to the baseObject then the empty set of results is returned. Stokes, et al Expires 14 January 2001 [Page 20]  Internet-Draft Access Control Model 14 July 2000 5.3 Modify Operation Recall that the parameters of the Modify operation per RFC2251 [LDAPv3] Section 4.6 are: ModifyRequest ::= [APPLICATION 6] SEQUENCE { object LDAPDN, modification SEQUENCE OF SEQUENCE { operation ENUMERATED { add (0), delete (1), replace (2) }, modification AttributeTypeAndValues } } AttributeTypeAndValues ::= SEQUENCE { type AttributeDescription, vals SET OF AttributeValue } Then the permissions required by authzID that need to be evaluated are as follows: 1. permission "w" to each attribute being added to object If this permission is not granted to such an attribute, then the operation MUST fail. In this case, if discloseOnError is not granted to the entry then "no such object" error is returned; if discloseOnError is granted to the entry and a duplicate attribute value is being added then "attribute value already exists" error is returned; if discloseOnError is granted to the entry and no duplicate value is being added then an "insufficient access" error is returned. 2. permission "o" to each attribute for which a value is being deleted from object If this permission is not granted to such an attribute then the operation MUST fail. In this case, if discloseOnError is not granted to the entry then "no such object" error is returned; if discloseOnError is granted to the entry and the attribute or one of the values to be deleted does not exist then a "no such attribute or value" error is returned; if discloseOnError is granted to the entry and the attribute and all values specified to be deleted exist then an "insufficient access" error is returned. Stokes, et al Expires 14 January 2001 [Page 21]  Internet-Draft Access Control Model 14 July 2000 3. permissions "o" and "w" to each attribute being replaced in object If one of these these permissions is not granted to such an attribute then the operation MUST fail. In this case, if discloseOnError is not granted to the entry then a "no such object" error is returned; if discloseOnError is granted to the entry then "insufficient access" error is returned. 5.4 Add Operation Recall that the parameters of the Add operation per RFC2251 [LDAPv3] Section 4.7 are: AddRequest ::= [APPLICATION 8] SEQUENCE { entry LDAPDN, attributes AttributeList } AttributeList ::= SEQUENCE OF SEQUENCE { type AttributeDescription, vals SET OF AttributeValue } Then the permissions required by authzID that need to be evaluated are as follows: permission "a" to the parent of entry The access rights required for the creation of a root entry in the Directory are beyond the scope of this document. They will be vendor specific. 1. permission "m" to the parent of entry for each attribute being added to entry If any of these permissions are not granted then the operation MUST fail. In this case if discloseOnError is on and the entry to be added does not already exist then "insufficient access" is returned. If it does exist then "Entry already exists" is returned. If discloseOnError is off then "No such object" is returned (meaning the parent object). If they are all granted then the operation MAY proceed. Note: We require "m" permission to each attribute to prevent an entry from aquiring "unintended" rights (via group or role membership), to stop a "rogue" ACI being added that would prevent even admins deleting the entry and general Stokes, et al Expires 14 January 2001 [Page 22]  Internet-Draft Access Control Model 14 July 2000 consistency with the MODIFY operation. Note: The access rights required for the creation of the first entry in the directory are beyond the scope of this document. 5.5 Delete Operation Recall that the parameters of the Delete operation per RFC2251 [LDAPv3] Section 4.10 are: DelRequest ::= [APPLICATION 10] LDAPDN Then the permissions required by authzID that need to be evaluated are as follows: 1. permission "d" to the entry in the Delete request If this permission is not granted, then the operation MUST fail. In this case if discloseOnError is on and the entry to be deleted exists then "insufficient access" is returned. If it does not exist then "No such Object" is returned. If discloseOnError is off then "No such object" is returned (meaning the parent object). If this permission is granted, then the operation MAY proceed. Note: One could also require the "o" permission to be granted to allow the operation to proceed, but customer experience has shown that the requirement of the additional permission is not useful nor expected, and X.500 requires only the "d" permission. 5.6 Modify DN Operation Recall that the parameters of the Modify DN operation per RFC2251 [LDAPv3] Section 4.6 are: ModifyDNRequest ::= [APPLICATION 12] SEQUENCE { entry LDAPDN, newrdn RelativeLDAPDN, deleteoldrdn BOOLEAN, newSuperior [0] LDAPDN OPTIONAL } Then the permissions required by authzID that need to be evaluated are as follows: Stokes, et al Expires 14 January 2001 [Page 23]  Internet-Draft Access Control Model 14 July 2000 1. If newSuperior is not present (ie. only the RDN is being renamed) then permission "n" to entry is required. 2. If newSuperior is present then permission "e" to entry and permission "i" to newSuperior are required. If any of these permissions are not granted then the operation MUST fail. In this case, if discloseOnError is on then an "insufficient access error" is returned. Otherwise, "No such object" is returned. If they are all granted then the operation MAY proceed. Note A: We do not require any additional permissions in the case where deleteoldrdn is TRUE. Note B: These permissions allow the naming attribute of an entry (or entries) to be changed even though "o" and "w" permissions are not available on the entry. Distinguishing the permissions like this allows us to grant permissions for the ModifyDN operation, but not the Modify operation and vice versa. 5.7 Compare Operation Recall that the parameters of the Compare operation per RFC2251 [LDAPv3] Section 4.10 are: CompareRequest ::= [APPLICATION 14] SEQUENCE { entry LDAPDN, ava AttributeValueAssertion } Then the permissions required by authzID that need to be evaluated are as follows: 1. permission "c" to the attribute in entry on which the comparison is being made. If any of these permissions are not granted then the operation MUST fail. In this case, if discloseOnError is on then an "insufficient access error" is returned. Otherwise, "No such object" is returned. If they are all granted then the operation MAY proceed. Stokes, et al Expires 14 January 2001 [Page 24]  Internet-Draft Access Control Model 14 July 2000 5.8 Abandon Operation Recall that the parameters of the Abandon operation per RFC2251 [LDAPv3] Section 4.6 are: AbandonRequest ::= [APPLICATION 16] MessageID authzID always has the right to send an Abandon Operation for an operation he previously initiated. 5.9 Extended Operation Recall that the parameters of the Extended operation per RFC2251 [LDA{v3] Section 4.12 are: ExtendedRequest ::= [APPLICATION 23] SEQUENCE { requestName [0] LDAPOID, requestValue [1] OCTET STRING OPTIONAL } The access required for an Extended Operation is beyond the scope of this document. The required access will normally be defined by the implementor of the extended request. 6. Required Permissions for Handling Aliases and References Use of aliases and referrals are part of LDAPv3. However, neither is particularly well-defined. Alias objects/attributes are defined in RFC 2256 as derived from X.500, but LDAPv3 does not explicitly define its semantics or behavior. X.500 does define alias semantics and behavior with respect to access control; we define its behavior in LDAPv3 based on the X.511, section 7.11.1. Referrals and knowledge information are still under design in LDAPv3; they are defined in X.500, however, X.500 punts on their semantics and behavior with respect to access control. We define their semantics and behavior in LDAPv3 in terms that should be independent of the future LDAPv3 definition of referrals and knowledge information. 6.1 ACI Distribution Currently there is no LDAP standard defining how to distribute directory data between LDAP servers. Consequently this draft cannot fully specify the behavior of the Access Control Model in a distributed environment. The case of distribution via referrals is treated in the "Referrals" Stokes, et al Expires 14 January 2001 [Page 25]  Internet-Draft Access Control Model 14 July 2000 section below. In the case of chaining (where one LDAP server forwards a request to another on behalf of a client) then it is server specific how the access control model behaves in this environment. Similarly it is server specific how the server determines whether the chaining of an operation is permitted in the first place. For example, the implementation may choose to regard the local naming context and the remote subordinate naming context as seperate Access Control Specific Areas, or it may regard the DIT as one Access Control Specific Area and implement mechanisms to propagate access control information between the two servers. The behavior of the Access Control Model in distributed environments such as these is beyond the scope of this draft. 6.2 Aliases There are two things to protect with respect to aliases: the real name of the aliased object and the location of the server holding it. If alias de-referencing is required in the process of locating a target entry, no specifc permissions are necessary for alias de-referencing to take place. Access control is enforced at the object pointed to by the alias. If alias de-referencing would result in a continuationReference (e.g. from a search operation), then browse permission is required to the alias entry and read permission is required to the 'aliasedObjectName' attribute. Requiring these permission closes the hole of discovery. 6.3 Referrals If a referral is to be followed, no specifc permissions are necessary for the ldap client to follow the referral. Access control is enforced at the referenced object. If a referral is returned, then browse is required on the entry and read permission is required to the attribute containing the referral (we cannot name this attribute exactly today because there are no RFCs on this - only drafts). If the server implements a default referral, then no special permissions are required to read and return that referral. Requiring these permissions closes the hole of discovery. In the default case, it is assumed that a default referral is public. Stokes, et al Expires 14 January 2001 [Page 26]  Internet-Draft Access Control Model 14 July 2000 7. Controlling Access to Access Control Information The ldapACI attribute is used to specify control for who has permission to set/change access control information (ldapACI). The ldapACI attribute/OID is just another attribute described with a scope, set of rights and permissions, and subject as a value of the ldapACI attribute. (See the example in the "ACI Examples" section). If the policy for controlling the ldapACI attribute is not specified for any object in the tree, behavior is implementation defined. For instance, if no object anywhere in the tree defines the access for ldapACI within the ldapACI attribute, then the server could simply assert that the 'root DN' is considered the policy owner (controller for controlling access control) for all objects. 8. ACI Examples Note that in the examples, the form "OID.<attrname>" refers to the OID in dotted decimal form for the attribute <attrname>. This shorthand notation is used only for the examples. In implementation, the dotted decimal form of the OID is used. 8.1 Attribute Definition The following examples show the access required to control access to the ldapACI attribute. The first example shows controlling the access control on an individual entry and its attributes. The second example shows controlling the access control on a subtree. ldapACI: entry#grant:r,w# OID.ldapACI#authnLevel:any:role:cn=aciAdmin ldapACI: subtree#grant:r,w# OID.ldapACI#authnLevel:any:role:cn=aciAdmin The next example shows a ldapACI attribute where a group "cn=Dept XYZ, c=US" is being given permissions to read, search, and compare attribute attr1. The permission applies to the entire subtree below the node containing this ACI. Authentication of a specified type is not required. ldapACI:subtree#grant;r,s,c# OID.attr1#group:cn=Dept XYZ,c=US Stokes, et al Expires 14 January 2001 [Page 27]  Internet-Draft Access Control Model 14 July 2000 The next example shows an ACI attribute where a role "cn=SysAdmins,o=Company" is being given permissions to add objects below this node and read, search, and compare attributes attr2 and attr3. The permission applies to the entire subtree below the node containing this ACI. ldapACI: subtree#grant:a# [entry]#role:cn=SysAdmins,o=Company ldapACI: subtree#grant:r,s,c# OID.attr2#role:cn=SysAdmins,o=Company ldapACI: subtree#grant:r,s,c# OID.attr3#role:cn=SysAdmins,o=Company 8.2 Modifying the ldapACI Values Modify-Replace works as defined in the ldap operation modify. If the attribute value does not exist, create the value. If the attribute does exist, replace the value. If the ldapACI value is replaced, all ldapACI values are replaced. A given ldapACI for an entry: ldapACI: subtree#deny:r,w#[all]#group:cn=Dept ABC ldapACI: subtree#grant:r#OID.attr1#group:cn=Dept XYZ perform the following change: dn: cn=someEntry changetype: modify replace: ldapACI ldapACI: subtree#grant:r,w#[all]#group:cn=Dept LMN The resulting ACI is: ldapACI: subtree#grant:r,w#[all]#group:cn=Dept LMN ( ldapACI values for Dept XYZ and ABC are lost through the replace ) During an ldapmodify-add, if the ACI does not exist, the create the ACI with the specific ldapACI value(s). If the ACI does exist, then add the specified values to the given ldapACI. For example a given ACI: ldapACI: subtree#grant:r,w#[all]#group:cn=Dept XYZ Stokes, et al Expires 14 January 2001 [Page 28]  Internet-Draft Access Control Model 14 July 2000 with a modification: dn: cn=someEntry changetype: modify add: ldapACI ldapACI: subtree#grant:r#OID.attr1#group:cn=Dept XYZ would yield an multi-valued ACI of: ldapACI: subtree#grant:r,w#[all]#group:cn=Dept XYZ ldapACI: subtree#grant:r#OID.attr1#group:cn=Dept XYZ To delete a particular ACI value, use the regular ldapmodify - delete syntax Given an ACI of: ldapACI: subtree#grant:r,w#[all]#group:cn=Dept XYZ ldapACI: subtree#grant:r#OID.attr1#group:cn=Dept XYZ dn: cn = some Entry changetype: modify delete: ldapACI ldapACI: subtree#grant:r#OID.attr1#group:cn=Dept XYZ would yield a remaining ACI on the server of ldapACI: subtree#grant:r,w#[all]#group:cn=Dept XYZ The attributes which are defined for access control interchange may be used in all LDAP operations. Within the ldapmodify-delete operation, the entire acl may be deleted by specifying dn: cn = some Entry changetype: modify delete: ldapACI In this case, the entry would then inherit its ACI from some other node in the tree depending on the server inheritance model. Similarly, if all values of ldapACI are deleted, then the access control information for that entry is defined by that implementation's inheritance model. Stokes, et al Expires 14 January 2001 [Page 29]  Internet-Draft Access Control Model 14 July 2000 8.3 Evaluation These examples assume that the ldapACI entries listed in each example are the only ACI which applies to the entry in question; if backing-store ACI also exists, the effective policy may be different from that listed in each example. See section 10 for a discussion of the semantics of ldapACI entries when backing-store ACI administration is also used. Assume cn=jsmith is a member of group cn=G1. Assume cn=jsmith is a member of group cn=G2. Example #1 dn: o=XYZ, c=US ldapACI: subtree#grant:r#attr1 #authzID-dn:cn=jsmith,ou=ABC,o=XYZ,c=US ldapACI: subtree#grant:w#attr1 #group:cn=G1,ou=ABC,o=XYZ,c=US What rights does cn=jsmith have to attr1 of o=XYZ,c=US? Read (r) access; authzID is higher precedence than group. Example #2 dn: o=XYZ, c=US ldapACI: subtree#grant:r#attr2 #group:cn=G1,ou=ABC,o=XYZ,c=US ldapACI: subtree#grant:w#attr2 #group:cn=G2,ou=ABC,o=XYZ,c=US What rights does cn=jsmith have to attr2 of o=XYZ,c=US? Read-write (r,w) access; ACI is combined because both subjects (group) have same precedence. Example #3 dn: o=XYZ, c=US ldapACI: subtree#grant:r,w#attr3 #group:cn=G1,ou=ABC,o=XYZ,c=US ldapACI: subtree#deny:w#attr3#group:cn=G2,ou=ABC,o=XYZ,c=US What rights does cn=jsmith have to attr3 of o=XYZ, c=US? Read access; write is denied (deny has precedence over grant). Example #4 dn: o=XYZ, c=US ldapACI: subtree#grant:w#attr4 #authzID-dn:cn=jsmith,ou=ABC,o=XYZ,c=US Stokes, et al Expires 14 January 2001 [Page 30]  Internet-Draft Access Control Model 14 July 2000 ldapACI: subtree#grant:r#attr4#subtree:ou=ABC,ou=XYZ,c=US What rights does cn=jsmith have to attr4 of o=XYZ, c=US? Write (w); rights given to an authzID take precedence over those given to a subtree. Example #5 dn: o=XYZ, c=US ldapACI: subtree#grant:m#OID.attr5 #authzID-dn:cn=jsmith,o=ABC,c=US ldapACI: subtree#grant:m#OID.cn #authzID-dn:cn=jsmith,o=ABC,c=US ldapACI: subtree#grant:m#OID.sn #authzID-dn:cn=jsmith,o=ABC,c=US ldapACI: subtree#grant:a#[entry] #authzID-dn:#cn=jsmith,o=ABC,c=US What rights does cn=jsmith have to o=XYZ, c=US? Make(m) on attributes attr5, cn, and sn and Add(a) on the entry. These are the minimal yet sufficient permissions to create a new object, cn=New, o=XYZ, c=US with values for the attr5, cn, and sn attributes. This example illustrates how the "m" permission can be used to limit the attributes that can be created on a new entry. Example #6 dn: c=US ldapACI: subtree#grant:m#[all]#subtree:c=US dn: o=XYZ, c=US ldapACI: subtree#grant:a#[entry]# authzID-dn:cn=jsmith,o=ABC,c=US What rights does cn=jsmith have to o=XYZ, c=US? Make(m) on attributes all attributes and Add(a) on the entry. These are sufficient permissions to create a new object, cn=New, o=XYZ, c=US with values any desired attributes. For administrators who do not wish to limit the attributes that can be created on new entries, this example shows how a single ldapACI at the top of the domain solves the problem. 9. Operational Semantics of Access Control Operations The semantics of access control operations described in this document are defined operationally in terms of "histories". A history is a sequence of actions (x1, x2, ..., xN). Stokes, et al Expires 14 January 2001 [Page 31]  Internet-Draft Access Control Model 14 July 2000 9.1 Types of actions We consider five types of actions: - LDAP Access Control Policy Update actions: invocations of ldap modify when used to add, delete, or replace the aci attribute; invocations of ldap add when used to add an entry with an aci attribute. A LDAP Access Control Policy Update action may replace the policy (by completely replacing the aci attribute with new policy information) or it may grant or deny specific rights while leaving others unaffected. - LDAP Access Control Policy Query operations: invocations of ldap search when used to retrieve the aci attribute; invocations of ldap search with the getEffectiveRightsRequest control; invocations of the ldapGetEffectiveRightsRequest extended operation. - Datastore Access Control Policy Update Actions: any operation implemented by the server which LDAP is using as its datastore which changes the access policy enforced with respect to attempts to access LDAP directory entries and their attributes. - LDAP Access Request operations: invocations of LDAP entry or attribute access operations (Read, Update, Search, Compare, etc...). - Other operations: anything else, including Datastore operations which do not change the access policy enforced by the server. 9.2 Semantics of Histories The semantics of histories are defined as follows: - LDAP Update (Replace), LDAP Query The Query will show that the subject has all rights granted by the Update operation, and no rights not granted by the Update operation. - LDAP Update (Grant), LDAP Query The Query will show that the subject has all rights granted by the Update operation. The Query may show that the subject also has other rights not granted by the Update operation, depending on the policy in force before the Update operation. Stokes, et al Expires 14 January 2001 [Page 32]  Internet-Draft Access Control Model 14 July 2000 - LDAP Update (Deny), LDAP Query The Query will show that the subject does not have any right denied by the Update operation. The Query may show that the subject has rights not denied by the Update operation, depending on the policy in force before the Update operation. - LDAP Update (Replace), LDAP Access Request The Request will succeed if it requires only rights granted to the requesting subject by the Update operation. The Request will fail if it requires any right not granted by the Update operation. - LDAP Update (Grant), LDAP Access Request The Request will succeed if it requires only rights granted to the requesting subject by the Update operation. The Request may succeed if it requires rights not granted by the Update operation, depending on the policy in force before the Update operation. - LDAP Update (Deny), LDAP Access Request The Request will fail if it requires any right denied to the requesting subject by the Update operation. If the Request requires only rights which were not denied by the Update operation, it may succeed, depending on the policy in force before the Update operation. - LDAP Update (Replace), Other, LDAP Query The Query will show that the subject has all rights granted by the Update operation, and no rights not granted by the Update operation. - LDAP Update (Grant), Other, LDAP Query The Query will show that the subject has all rights granted by the Update operation. The Query may show that the subject also has other rights not granted by the Update operation, depending on the policy in force before the Update operation. - LDAP Update (Deny), Other, LDAP Query The Query will show that the subject does not have any right denied by the Update operation. The Query may show that the subject has rights not denied by the Update operation, depending on the policy in force Stokes, et al Expires 14 January 2001 [Page 33]  Internet-Draft Access Control Model 14 July 2000 before the Update operation. - LDAP Update (Replace), Other, LDAP Access Request The Request will succeed if it requires only rights granted to the requesting subject by the Update operation. The Request will fail if it requires any right not granted by the Update operation. - LDAP Update (Grant), Other, LDAP Access Request The Request will succeed if it requires only rights granted to the requesting subject by the Update operation. The Request may succeed if it requires rights not granted by the Update operation, depending on the policy in force before the Update operation. - LDAP Update (Deny), Other, LDAP Access Request The Request will fail if it requires any right denied to the requesting subject by the Update operation. If the Request requires only rights which were not denied by the Update operation, it may succeed, depending on the policy in force before the Update operation. - LDAP Update (Replace), Datastore Policy Update, LDAP Query The result of the Query is not defined. - LDAP Update (Grant), Datastore Policy Update, LDAP Query The result of the Query is not defined. - LDAP Update (Deny), Datastore Policy Update, LDAP Query The result of the Query is not defined. - LDAP Update (Replace), Datastore Policy Update, LDAP Access Request The result of the Access Request is not defined. - LDAP Update (Grant), Datastore Policy Update, LDAP Access Request The result of the Access Request is not defined. - LDAP Update (Deny), Datastore Policy Update, LDAP Access Request Stokes, et al Expires 14 January 2001 [Page 34]  Internet-Draft Access Control Model 14 July 2000 The result of the Access Request is not defined. 10. Access Control Parameters for LDAP Controls & Extended Operations This section defines the parameters used in the access control LDAP controls and extended operations in this document. targetDN specifies the initial directory entry in DN syntax on which the control or extended operation is performed. whichObject specifies whether the access control information (in the get effective rights control) which is retrieved is for the target directory entry (ENTRY) or the target directory entry and its subtree (SUBTREE). rights in the get effective rights control or extended operation response is of the form specified in the BNF for <rights>. subject is a LDAP string that defines the subject. Access control is get/set on a subject. The syntax of the subject is the same as the subject field in the BNF. 11. Access Control Information (ACI) Controls The access control information controls provide a way to manipulate access control information in conjunction with a LDAP operation. One LDAP control is defined. This control allows access control information to be retrieved while manipulating other directory information for that entry. The control is: - getEffectiveRights to obtain the effective rights for a given directory entry(s) for a given subject during a ldap_search operation 11.1 getEffectiveRights Control 11.1.1 Request Control This control may only be included in the ldap_search message as part of the controls field of the LDAPMessage, as defined in Section 4.1.12 of [LDAPv3]. Stokes, et al Expires 14 January 2001 [Page 35]  Internet-Draft Access Control Model 14 July 2000 The controlType is set to <OID to be assigned>. The criticality MAY be either TRUE or FALSE (where absent is also equivalent to FALSE) at the client's option. The controlValue is an OCTET STRING, whose value is the BER encoding of a value of the following SEQUENCE: getEffectiveRightsRequest ::= SEQUENCE { effectiveRightsRequest SEQUENCE OF SEQUENCE { whichObject ENUMERATED { LDAP_ENTRY (1), LDAP_SUBTREE (2) }, subject <see <subject > in BNF> | "*" } } The effectiveRightsRequest is a set of sequences that state the whichObject (entry or entry plus subtree) and specifics of the control request to be performed. A "*" in the subject field specifies that all DN types are to be used in returning the effective rights. This control is applied to the filter and scope set by the ldap_search operation, i.e. base, one-level, subtree. So the attributes/values returned are defined by the ldap_search operation. 11.1.2 Response Control This control is included in the ldap_search_response message as part of the controls field of the LDAPMessage, as defined in Section 4.1.12 of [LDAPv3]. The controlType is set to <OID to be assigned>. There is no need to set the criticality on the response. The controlValue is an OCTET STRING, whose value is the BER encoding of a value of the following SEQUENCE: getEffectiveRightsResponse ::= { result ENUMERATED { success (0), operationsError (1), unavailableCriticalExtension (12), noSuchAttribute (16), undefinedAttributeType (17), invalidAttributeSyntax (21), insufficientRights (50), unavailable (52), unwillingToPerform (53), other (80) } } Stokes, et al Expires 14 January 2001 [Page 36]  Internet-Draft Access Control Model 14 July 2000 The effective rights returned are returned with each entry returned by the search result. The control response for ldap_search is: PartialEffectiveRightsList ::= SEQUENCE OF SEQUENCE { rights <see <rights> in BNF>, whichObject ENUMERATED { LDAP_ENTRY (1), LDAP_SUBTREE (2) }, subject < see <subject> in BNF > } Although this extends the search operation, there are no incompatibilities between versions. LDAPv2 cannot send a control, hence the above structure cannot be returned to a LDAPv2 client. A LDAPv3 client cannot send this request to a LDAPv2 server. A LDAPv3 server not supporting this control cannot return the additional data. 11.1.3 Client-Server Interaction The getEffectiveRightsRequest control requests the rights that MUST be in effect for requested directory entry/attribute based on the subject DN. The server that consumes the search operation looks up the rights for the returned directory information based on the subject DN and returns that rights information. There are six possible scenarios that may occur as a result of the getEffectiveRights control being included on the search request: 1. If the server does not support this control and the client specified TRUE for the control's criticality field, then the server MUST return unavailableCriticalExtension as a return code in the searchResponse message and not send back any other results. This behavior is specified in section 4.1.12 of [LDAPv3]. 2. If the server does not support this control and the client specified FALSE for the control's criticality field, then the server MUST ignore the control and process the request as if it were not present. This behavior is specified in section 4.1.12 of [LDAPv3]. 3. If the server supports this control but for some reason such as cannot process specified family and the client specified TRUE for the control's criticality Stokes, et al Expires 14 January 2001 [Page 37]  Internet-Draft Access Control Model 14 July 2000 field, then the server SHOULD do the following: return unavailableCriticalExtension as a return code in the searchResult message. 4. If the server supports this control but for some reason such as cannot process specified family and the client specified FALSE for the control's criticality field, then the server should process as 'no rights returned for that family' and include the result Unavailable in the getEffectiveRightsResponse control in the searchResult message. 5. If the server supports this control and can return the rights per the family information, then it should include the getEffectiveRightsResponse control in the searchResult message with a result of success. 6. If the search request failed for any other reason, then the server SHOULD omit the getEffectiveRightsResponse control from the searchResult message. The client application is assured that the correct rights are returned for scope of the search operation if and only if the getEffectiveRightsResponse control returns the rights. If the server omits the getEffectiveRightsResponse control from the searchResult message, the client SHOULD assume that the control was ignored by the server. The getEffectiveRightsResponse control, if included by the server in the searchResponse message, should have the getEffectiveRightsResult set to either success if the rights are returned or set to the appropriate error code as to why the rights could not be returned. The server may not be able to return a right because it may not exist in that directory object's attribute; in this case, the rights request is ignored with success. 12. Access Control Extended Operation An extended operation, get effective rights, is defined to obtain the effective rights for a given directory entry for a given subject. This operation may help with the management of access control information independent of manipulating other directory information. Stokes, et al Expires 14 January 2001 [Page 38]  Internet-Draft Access Control Model 14 July 2000 12.1 LDAP Get Effective Rights Operation ldapGetEffectiveRightsRequest ::= [APPLICATION 23] SEQUENCE { requestName [0] <OID to be assigned>, requestValue [1] OCTET STRING OPTIONAL } where requestValue ::= SEQUENCE { targetDN LDAPDN, updates SEQUENCE OF SEQUENCE { whichObject ENUMERATED { LDAP_ENTRY (1), LDAP_SUBTREE (2) }, attr SEQUENCE { attr <see <attr> in BNF > }, subject < see <subject> in BNF > | "*" } } The requestName is a dotted-decimal representation of the OBJECT IDENTIFIER corresponding to the request. The requestValue is information in a form defined by that request, encapsulated inside an OCTET STRING. The server will respond to this with an LDAPMessage containing the ExtendedResponse which is a rights list. ldapGetEffectiveRightsResponse ::= [APPLICATION 24] SEQUENCE { COMPONENTS OF LDAPResult, responseName [10] <OID to be assigned> OPTIONAL, effectiveRights [11] OCTET STRING OPTIONAL } where effectiveRights ::= SEQUENCE OF SEQUENCE { rights <see <rights> in BNF>, whichObject ENUMERATED { LDAP_ENTRY (1), LDAP_SUBTREE (2) }, subject < see <subject> in BNF > } If the server does not recognize the request name, it MUST return only the response fields from LDAPResult, containing Stokes, et al Expires 14 January 2001 [Page 39]  Internet-Draft Access Control Model 14 July 2000 the protocolError result code. 13. Security Considerations This document proposes protocol elements for transmission of security policy information. Security considerations are discussed throughout this draft. Because subject security attribute information is used to evaluate decision requests, it is security-sensitive information and must be protected against unauthorized modification whenever it is stored or transmitted. Interaction of access control with other directory functions (other than the ones defined in this document) are not defined in this document, but instead in the documents where those directory functions are defined. For example, the directory replication documents should address the interaction of access control with the replication function. 14. References [LDAPv3] M. Wahl, T. Howes, S. Kille, "Lightweight Directory Access Protocol (v3)", RFC 2251, December 1997. [ECMA] ECMA, "Security in Open Systems: A Security Framework" ECMA TR/46, July 1988. [REQTS] Stokes, Byrne, Blakley, "Access Control Requirements for LDAP", RFC 2820, May 2000. [ATTR] M.Wahl, A, Coulbeck, T. Howes, S. Kille, "Lightweight Directory Access Protocol (v3)": Attribute Syntax Definitions, RFC 2252, December 1997. [UTF] M. Wahl, S. Kille, "Lightweight Directory Access Protocol (v3)": A UTF-8 String Representation of Distinguished Names", RFC 2253, December 1997. [Bradner97] Bradner, Scott, "Key Words for use in RFCs to Indicate Requirement Levels", RFC 2119. [AuthMeth] Wahl, M., Alvestrand, H., Hodges, J. and R. Morgan, "Authentication Methods for LDAP", RFC 2829, May 2000. [ABNF] D. Crocker, P. Overell, "Augmented BNF for Syntax Specifications: ABNF", RFC 2234, November 1997. Stokes, et al Expires 14 January 2001 [Page 40]  Internet-Draft Access Control Model 14 July 2000 ACKNOWLEDGEMENT This is to acknowledge the numerous companies and individuals who have contributed their valuable help and insights to the development of this specification. AUTHOR(S) ADDRESS Ellen Stokes Bob Blakley Tivoli Systems Tivoli Systems 6300 Bridgepoint Parkway 6300 Bridgepoint Parkway Austin, TX 78731 Austin, TX 78731 USA USA mail-to: estokes@tivoli.com mail-to: blakley@tivoli.com phone: +1 512 436 9098 phone: +1 512 436 1564 fax: +1 512 436 1199 fax: +1 512 436 1199 Debbie Rinkevich Robert Byrne IBM Sun Microsystems 11400 Burnet Rd 29 Chemin du Vieux Chene Austin, TX 78758 Meylan ZIRST 38240 USA France mail-to: djbrink@us.ibm.com mail-to: rbyrne@france.sun.com phone: +1 512 838 1960 phone: +33 (0)4 76 41 42 05 fax: +1 512 838 8597 Stokes, et al Expires 14 January 2001 [Page 41]  Internet-Draft Access Control Model 14 July 2000 Stokes, et al Expires 14 January 2001 [Page 42]  CONTENTS 1. Introduction....................................... 2 2. The LDAPv3 Access Control Model.................... 2 3. Access Control Mechanism Attributes................ 5 3.1 Root DSE Attribute for Access Control Mechanism.................................... 5 3.2 Root DSE Attribute for Control of Disclosing Errors....................................... 5 3.3 Subentry Class Access Control Mechanism...... 6 4. The Access Control Information Attribute (ldapACI).......................................... 7 4.1 The BNF...................................... 8 4.1.1 ACI String Representation 8 4.1.2 ACI Binary Representation 10 4.2 The Components of ldapACI Attribute.......... 11 4.2.1 Scope 11 4.2.2 Access Rights and Permissions 11 4.2.3 Attributes 14 4.2.4 Subjects and Associated Authentication 15 4.3 Grant/Deny Evaluation Rules.................. 15 5. Required Permissions for each LDAP Operation....... 17 5.1 Bind Operation............................... 18 5.2 Search Operation............................. 18 5.3 Modify Operation............................. 21 5.4 Add Operation................................ 22 5.5 Delete Operation............................. 23 5.6 Modify DN Operation.......................... 23 5.7 Compare Operation............................ 24 5.8 Abandon Operation............................ 25 5.9 Extended Operation........................... 25 6. Required Permissions for Handling Aliases and References......................................... 25 6.1 ACI Distribution............................. 25 6.2 Aliases...................................... 26 6.3 Referrals.................................... 26 7. Controlling Access to Access Control Information........................................ 27 8. ACI Examples....................................... 27 8.1 Attribute Definition......................... 27 8.2 Modifying the ldapACI Values................. 28 8.3 Evaluation................................... 30 - i - 9. Operational Semantics of Access Control Operations......................................... 31 9.1 Types of actions............................. 32 9.2 Semantics of Histories....................... 32 10. Access Control Parameters for LDAP Controls & Extended Operations................................ 35 11. Access Control Information (ACI) Controls.......... 35 11.1 getEffectiveRights Control................... 35 11.1.1 Request Control 35 11.1.2 Response Control 36 11.1.3 Client-Server Interaction 37 12. Access Control Extended Operation.................. 38 12.1 LDAP Get Effective Rights Operation.......... 39 13. Security Considerations............................ 40 14. References......................................... 40 - ii - Full Copyright Statement Copyright (C) The Internet Society (2000).á All Rights Reserved. This document and translations of it may be copied and furnished to others, and derivative works that comment on or otherwise explain it or assist in its implementation may be prepared, copied, published and distributed, in whole or in part, without restriction of any kind, provided that the above copyright notice and this paragraph are included on all such copies and derivative works.á However, this document itself may not be modified in any way, such as by removing the copyright notice or references to the Internet Society or other Internet organizations, except as needed for the purpose of developing Internet standards in which case the procedures for copyrights defined in the Internet Standards process must be followed, or as required to translate it into languages other than English. 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