Network Working Group                                            J. Case
Request for Comments: 2262                           SNMP Research, Inc.
Category: Standards Track                                  D. Harrington
                                                 Cabletron Systems, Inc.
                                                              R. Presuhn
                                                      BMC Software, Inc.
                                                               B. Wijnen
                                               IBM T. J. Watson Research
                                                            January 1998


               Message Processing and Dispatching for the
               Simple Network Management Protocol (SNMP)

Status of this Memo

   This document specifies an Internet standards track protocol for the
   Internet community, and requests discussion and suggestions for
   improvements.  Please refer to the current edition of the "Internet
   Official Protocol Standards" (STD 1) for the standardization state
   and status of this protocol.  Distribution of this memo is unlimited.

Copyright Notice

   Copyright (C) The Internet Society (1997).  All Rights Reserved.

Abstract

   This document describes the Message Processing and Dispatching for
   SNMP messages within the SNMP architecture [RFC2261].  It defines the
   procedures for dispatching potentially multiple versions of SNMP
   messages to the proper SNMP Message Processing Models, and for
   dispatching PDUs to SNMP applications.  This document also describes
   one Message Processing Model - the SNMPv3 Message Processing Model.

Table of Contents

   1. Introduction ...............................................    2
   2. Overview ...................................................    3
   2.1. The Dispatcher. ..........................................    5
   2.2. Message Processing Subsystem .............................    5
   3. Elements of Message Processing and Dispatching .............    6
   3.1. messageProcessingModel ...................................    6
   3.2. pduVersion ...............................................    6
   3.3. pduType ..................................................    7
   3.4. sendPduHandle ............................................    7
   4. Dispatcher Elements of Procedure ...........................    7
   4.1. Sending an SNMP Message to the Network ...................    7



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   4.1.1. Sending a Request or Notification ......................    7
   4.1.2. Sending a Response to the Network ......................    9
   4.2. Receiving an SNMP Message from the Network ...............   10
   4.2.1. Message Dispatching of received SNMP Messages ..........   10
   4.2.2. PDU Dispatching for Incoming Messages ..................   11
   4.2.2.1. Incoming Requests and Notifications ..................   12
   4.2.2.2. Incoming Responses ...................................   13
   4.3. Application Registration for Handling PDU types ..........   14
   4.4. Application Unregistration for Handling PDU Types ........   14
   5. Definitions ................................................   15
   5.1. Definitions for SNMP Message Processing and Dispatching ..   15
   6. The SNMPv3 Message Format ..................................   18
   6.1. msgVersion ...............................................   19
   6.2. msgID ....................................................   19
   6.3. msgMaxSize ...............................................   19
   6.4. msgFlags .................................................   20
   6.5. msgSecurityModel .........................................   22
   6.6. msgSecurityParameters ....................................   22
   6.7. scopedPduData ............................................   22
   6.8. scopedPDU ................................................   22
   6.8.1. contextEngineID ........................................   22
   6.8.2. contextName ............................................   23
   6.8.3. data ...................................................   23
   7. Elements of Procedure for v3MP .............................   23
   7.1. Prepare an Outgoing SNMP Message .........................   24
   7.2. Prepare Data Elements from an Incoming SNMP Message ......   29
   8. Intellectual Property ......................................   34
   9. Acknowledgements ...........................................   35
   10. Security Considerations ...................................   36
   11. References ................................................   36
   12. Editors' Addresses ........................................   38
   13. Full Copyright Statement ..................................   39

1.  Introduction

   The Architecture for describing Internet Management Frameworks
   [RFC2261] describes that an SNMP engine is composed of:

        1) a Dispatcher
        2) a Message Processing Subsystem,
        3) a Security Subsystem, and
        4) an Access Control Subsystem.

   Applications make use of the services of these subsystems.

   It is important to understand the SNMP architecture and its
   terminology to understand where the Message Processing Subsystem and
   Dispatcher described in this document fit into the architecture and



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   interact with other subsystems within the architecture.  The reader
   is expected to have read and understood the description of the SNMP
   architecture, defined in [RFC2261].

   The Dispatcher in the SNMP engine sends and receives SNMP messages.
   It also dispatches SNMP PDUs to SNMP applications. When an SNMP
   message needs to be prepared or when data needs to be extracted from
   an SNMP message, the Dispatcher delegates these tasks to a message
   version-specific Message Processing Model within the Message
   Processing Subsystem.

   A Message Processing Model is responsibile for processing a SNMP
   version-specific message and for coordinating the interaction with
   the Security Subsystem to ensure proper security is applied to the
   SNMP message being handled.

   Interactions between the Dispatcher, the Message Processing
   Subsystem, and applications are modelled using abstract data elements
   and abstract service interface primitives defined by the SNMP
   architecture.

   Similarly, interactions between the Message Processing Subsystem and
   the Security Subsystem are modelled using abstract data elements and
   abstract service interface primitives as defined by the SNMP
   architecture.

   The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
   "SHOULD", "SHOULD NOT", "RECOMMENDED",  "MAY", and "OPTIONAL" in this
   document are to be interpreted as described in RFC 2119.

2.  Overview

   The following illustration depicts the Message Processing in relation
   to  SNMP applications, the Security Subsystem and Transport Mappings.

















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   +-------------------------------------------------------------------+
   | SNMP Entity                                                       |
   |                                                                   |
   | +---------------------------------------------------------------+ |
   | | Applications                                                  | |
   | | +-----------+  +--------------+                               | |
   | | | Command   |  | Notification |                               | |
   | | | Generator |  | Originator   | +-----------+ +--------------+| |
   | | +-----------+  +--------------+ | Proxy     | | Other         | |
   | | +-----------+  +--------------+ | Forwarder | |Application(s)|| |
   | | | Command   |  | Notification | +-----------+ +--------------+| |
   | | | Responder |  | Receiver     |                               | |
   | | +-----------+  +--------------+                               | |
   | +---------------------------------------------------------------+ |
   |        ^                ^               ^           ^             |
   |        |                |               |           |             |
   |        v                v               v           v             |
   |        +--------+-------+---------------+-----------+             |
   |                 ^                                                 |
   |                 |    +---------------------+  +-----------------+ |
   |                 |    | Message Processing  |  | Security        | |
   | Dispatcher      v    | Subsystem           |  | Subsystem       | |
   | +------------------+ |     +------------+  |  |                 | |
   | | PDU Dispatcher   | |  +->| v1MP     * |<--->| +-------------+ | |
   | |                  | |  |  +------------+  |  | | Other       | | |
   | |                  | |  |  +------------+  |  | | Security    | | |
   | |                  | |  +->| v2cMP    * |<--->| | Model       | | |
   | | Message          | |  |  +------------+  |  | +-------------+ | |
   | | Dispatcher  <-------->+                  |  |                 | |
   | |                  | |  |  +------------+  |  | +-------------+ | |
   | |                  | |  +->| v3MP     * |<--->| | User-based  | | |
   | | Transport        | |  |  +------------+  |  | | Security    | | |
   | | Mapping          | |  |  +------------+  |  | | Model       | | |
   | | (e.g RFC1906)    | |  +->| otherMP  * |<--->| +-------------+ | |
   | +------------------+ |     +------------+  |  |                 | |
   |          ^           +---------------------+  +-----------------+ |
   |          |                                                        |
   +----------|--------------------------------------------------------+
              v
     +------------------+
     |   Network        |
     +------------------+









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2.1.  The Dispatcher.

   The Dispatcher is a key piece of an SNMP engine. There is only one in
   an SNMP engine, and its job is to dispatch tasks to the multiple
   version-specific Message Processing Models, and to dispatch PDUs to
   various applications.

   For outgoing messages, an application provides a PDU to be sent, plus
   the data needed to prepare and send the message, and the application
   specifies which version-specific Message Processing Model will be
   used to prepare the message with the desired security processing.
   Once the message is prepared, the Dispatcher sends the message.

   For incoming messages, the Dispatcher determines the SNMP version of
   the incoming message and passes the message to the version-specific
   Message Processing Model to extract the components of the message and
   to coordinate the processing of security services for the message.
   After version-specific processing, the PDU Dispatcher determines
   which application, if any, should receive the PDU for processing and
   forwards it accordingly.

   The Dispatcher, while sending and receiving SNMP messages, collects
   statistics about SNMP messages and the behavior of the SNMP engine in
   managed objects to make them accessible to remote SNMP entities.
   This document defines these managed objects, the MIB module which
   contains them, and how these managed objects might be used to provide
   useful management.

2.2.  Message Processing Subsystem

   The SNMP Message Processing Subsystem is the part of an SNMP engine
   which interacts with the Dispatcher to handle the version-specific
   SNMP messages. It contains one or more Message Processing Models.

   This document describes one Message Processing Model, the SNMPv3
   Message Processing Model, in Section 6. The SNMPv3 Message Processing
   Model is defined in a separate section to show that multiple
   (independent) Message Processing Models can exist at the same time
   and that such Models can be described in different documents. The
   SNMPv3 Message Processing Model can be replaced or supplemented with
   other Message Processing Models in the future. Two Message Processing
   Models which are expected to be developed in the future are the
   SNMPv1 message format [RFC1157] and the SNMPv2c message format
   [RFC1901].  Others may be developed as needed.







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3.  Elements of Message Processing and Dispatching

   See [RFC2261] for the definitions of
           contextEngineID
           contextName
           scopedPDU
           maxSizeResponseScopedPDU
           securityModel
           securityName
           securityLevel
           messageProcessingModel

   For incoming messages, a version-specific message processing module
   provides these values to the Dispatcher. For outgoing messages, an
   application provides these values to the Dispatcher.

   For some version-specific processing, the values may be extracted
   from received messages; for other versions, the values may be
   determined by algorithm, or by an implementation-defined mechanism.
   The mechanism by which the value is determined is irrelevant to the
   Dispatcher.

   The following additional or expanded definitions are for use within
   the Dispatcher.

3.1.  messageProcessingModel

   The value of messageProcessingModel identifies a Message Processing
   Model.  A Message Processing Model describes the version-specific
   procedures for extracting data from messages, generating messages,
   calling upon a securityModel to apply its security services to
   messages, for converting data from a version-specific message format
   into a generic format usable by the Dispatcher, and for converting
   data from Dispatcher format into a version-specific message format.

3.2.  pduVersion

   The value of pduVersion represents a specific version of protocol
   operation and its associated PDU formats, such as SNMPv1 or SNMPv2
   [RFC1905].  The values of pduVersion are specific to the version of
   the PDU contained in a message, and the PDUs processed by
   applications. The Dispatcher does not use the value of pduVersion
   directly.

   An application specifies the pduVersion when it requests the PDU
   Dispatcher to send a PDU to another SNMP engine. The Dispatcher
   passes the pduVersion to a Message Processing Model, so it knows how
   to handle the PDU properly.



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   For incoming messages, pduVersion is provided to the Dispatcher by a
   version-specific Message Processing module. The PDU Dispatcher passes
   the pduVersion to the application so it knows how to handle the PDU
   properly.  For example, a command responder application needs to know
   whether to use [RFC1905] elements of procedure and syntax instead of
   those specified for SNMPv1.

3.3.  pduType

   A value of pduType represents a specific type of protocol operation.
   The values of pduType are specific to the version of the PDU
   contained in a message.

   Applications register to support particular pduTypes for particular
   contextEngineIDs.

   For incoming messages, pduType is provided to the Dispatcher by a
   version-specific Message Processing module. It is subsequently used
   to dispatch the PDU to the application which registered for the
   pduType for the contextEngineID of the associated scopedPDU.

3.4.  sendPduHandle

   This handle is generated for coordinating the processing of requests
   and responses between the SNMP engine and an application. The handle
   must be unique across all version-specific Message Processing Models,
   and is of local significance only.

4.  Dispatcher Elements of Procedure

   This section describes the procedures followed by the Dispatcher when
   generating and processing SNMP messages.

4.1.  Sending an SNMP Message to the Network

   This section describes the procedure followed by an SNMP engine
   whenever it sends an SNMP message.

4.1.1.  Sending a Request or Notification

   The following procedures are followed by the Dispatcher when an
   application wants to send an SNMP PDU to another (remote)
   application, i.e., to initiate a communication by originating a
   message, such as one containing a request or a trap.

   1) The application requests this using the abstract service
      primitive:




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       statusInformation =              -- sendPduHandle if success
                                        -- errorIndication if failure
         sendPdu(
         IN   transportDomain           -- transport domain to be used
         IN   transportAddress          -- destination network address
         IN   messageProcessingModel    -- typically, SNMP version
         IN   securityModel             -- Security Model to use
         IN   securityName              -- on behalf of this principal
         IN   securityLevel             -- Level of Security requested
         IN   contextEngineID           -- data from/at this entity
         IN   contextName               -- data from/in this context
         IN   pduVersion                -- the version of the PDU
         IN   PDU                       -- SNMP Protocol Data Unit
         IN   expectResponse            -- TRUE or FALSE
              )

   2) If the messageProcessingModel value does not represent a Message
      Processing Model known to the Dispatcher, then an errorIndication
      (implementation-dependent) is returned to the calling application.
      No further processing is performed.

   3) The Dispatcher generates a sendPduHandle to coordinate
      subsequent processing.

   4) The Message Dispatcher sends the request to the version-specific
      Message Processing module identified by messageProcessingModel
      using the abstract service primitive:

      statusInformation =              - success or error indication
        prepareOutgoingMessage(
        IN   transportDomain           -- as specified by application
        IN   transportAddress          -- as specified by application
        IN   messageProcessingModel    -- as specified by application
        IN   securityModel             -- as specified by application
        IN   securityName              -- as specified by application
        IN   securityLevel             -- as specified by application
        IN   contextEngineID           -- as specified by application
        IN   contextName               -- as specified by application
        IN   pduVersion                -- the version of the PDU
        IN   PDU                       -- as specified by application
        IN   expectResponse            -- as specified by application
        IN   sendPduHandle             -- as determined in step 3.
        OUT  destTransportDomain       -- destination transport domain
        OUT  destTransportAddress      -- destination transport address
        OUT  outgoingMessage           -- the message to send
        OUT  outgoingMessageLength     -- the message length
             )




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   5) If the statusInformation indicates an error, the errorIndication
      is returned to the calling application.  No further processing is
      performed.

   6) If the statusInformation indicates success, the sendPduHandle is
      returned to the application, and the outgoingMessage is sent via
      the transport specified by the transportDomain to the address
      specified by the transportAddress.

   Outgoing Message Processing is complete.

4.1.2.  Sending a Response to the Network

   The following procedure is followed when an application wants to
   return a response back to the originator of an SNMP Request.

   1) An application can request this using the abstract service
      primitive:

      returnResponsePDU(
       IN   messageProcessingModel   -- typically, SNMP version
       IN   securityModel            -- Security Model in use
       IN   securityName             -- on behalf of this principal
       IN   securityLevel            -- same as on incoming request
       IN   contextEngineID          -- data from/at this SNMP entity
       IN   contextName              -- data from/in this context
       IN   pduVersion               -- the version of the PDU
       IN   PDU                      -- SNMP Protocol Data Unit
       IN   maxSizeResponseScopedPDU -- maximum size of Response PDU
       IN   stateReference           -- reference to state information
                                     -- as presented with the request
       IN   statusInformation        -- success or errorIndication
       )                             -- (error counter OID and value
                                     -- when errorIndication)

   2) The Message Dispatcher sends the request to the appropriate
      Message Processing Model indicated by the received value of
      messageProcessingModel using the abstract service primitive:

      result =                        -- SUCCESS or errorIndication
       prepareResponseMessage(
       IN   messageProcessingModel   -- specified by application
       IN   securityModel            -- specified by application
       IN   securityName             -- specified by application
       IN   securityLevel            -- specified by application
       IN   contextEngineID          -- specified by application
       IN   contextName              -- specified by application
       IN   pduVersion               -- specified by application



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       IN   PDU                      -- specified by application
       IN   maxSizeResponseScopedPDU -- specified by application
       IN   stateReference           -- specified by application
       IN   statusInformation        -- specified by application
       OUT  destTransportDomain      -- destination transport domain
       OUT  destTransportAddress     -- destination transport address
       OUT  outgoingMessage          -- the message to send
       OUT  outgoingMessageLength    -- the message length
            )

   3) If the result is an errorIndication, the errorIndication is
      returned to the calling application.  No further processing is
      performed.

   4) If the result is success, the outgoingMessage is sent over the
      transport specified by the transportDomain to the address
      specified by the transportAddress.

   Message Processing is complete.

4.2.  Receiving an SNMP Message from the Network

   This section describes the procedure followed by an SNMP engine
   whenever it receives an SNMP message.

   Please note, that for the sake of clarity and to prevent the text
   from being even longer and more complicated, some details were
   omitted from the steps below.  In particular, The elements of
   procedure do not always explicitly indicate when state information
   needs to be released. The general rule is that if state information
   is available when a message is to be "discarded without further
   processing", then the state information must also be released at that
   same time.

4.2.1.  Message Dispatching of received SNMP Messages

   1) The snmpInPkts counter [RFC1907] is incremented.

   2) The version of the SNMP message is determined in an
      implementation-dependent manner.  If the packet cannot be
      sufficiently parsed to determine the version of the SNMP message,
      then the snmpInASNParseErrs [RFC1907] counter is incremented, and
      the message is discarded without further processing.  If the
      version is not supported, then the snmpInBadVersions [RFC1907]
      counter is incremented, and the message is discarded without
      further processing.





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   3) The origin transportDomain and origin transportAddress are
      determined.

   4) The message is passed to the version-specific Message Processing
      Model which returns the abstract data elements required by the
      Dispatcher.  This is performed using the abstract service
      primitive:

      result =                        -- SUCCESS or errorIndication
        prepareDataElements(
        IN   transportDomain          -- origin as determined in step 3.
        IN   transportAddress         -- origin as determined in step 3.
        IN   wholeMsg                 -- as received from the network
        IN   wholeMsgLength           -- as received from the network
        OUT  messageProcessingModel   -- typically, SNMP version
        OUT  securityModel            -- Security Model to use
        OUT  securityName             -- on behalf of this principal
        OUT  securityLevel            -- Level of Security requested
        OUT  contextEngineID          -- data from/at this entity
        OUT  contextName              -- data from/in this context
        OUT  pduVersion               -- the version of the PDU
        OUT  PDU                      -- SNMP Protocol Data Unit
        OUT  pduType                  -- SNMP PDU type
        OUT  sendPduHandle            -- handle for a matched request
        OUT  maxSizeResponseScopedPDU -- maximum size of Response PDU
        OUT  statusInformation        -- success or errorIndication
                                      -- (error counter OID and value
                                      -- when errorIndication)
        OUT  stateReference           -- reference to state information
                                      -- to be used for a possible
             )                        -- Response

   5) If the result is a FAILURE errorIndication, the message is
      discarded without further processing.

   6) At this point, the abstract data elements have been prepared and
      processing continues as described in Section 4.2.2, PDU
      Dispatching for Incoming Messages.

4.2.2.  PDU Dispatching for Incoming Messages

   The elements of procedure for the dispatching of PDUs depends on the
   value of sendPduHandle.  If the value of sendPduHandle is <none>,
   then this is a request or notification and the procedures specified
   in Section 4.2.2.1 apply.  If the value of snmpPduHandle is not
   <none>, then this is a response and the procedures specified in
   Section 4.2.2.2 apply.




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4.2.2.1.  Incoming Requests and Notifications

   The following procedures are followed for the dispatching of PDUs
   when the value of sendPduHandle is <none>, indicating this is a
   request or notification.

   1) The combination of contextEngineID and pduType is used to
      determine which application has registered for this request or
      notification.

   2) If no application has registered for the combination, then

      a) The snmpUnknownPDUHandlers counter is incremented.

      b) A Response message is generated using the abstract service
         primitive:

         result =                         -- SUCCESS or FAILURE
         prepareResponseMessage(
         IN   messageProcessingModel    -- as provided by MP module
         IN   securityModel             -- as provided by MP module
         IN   securityName              -- as provided by MP module
         IN   securityLevel             -- as provided by MP module
         IN   contextEngineID           -- as provided by MP module
         IN   contextName               -- as provided by MP module
         IN   pduVersion                -- as provided by MP module
         IN   PDU                       -- as provided by MP module
         IN   maxSizeResponseScopedPDU  -- as provided by MP module
         IN   stateReference            -- as provided by MP module
         IN   statusInformation         -- errorIndication plus
                                        -- snmpUnknownPDUHandlers OID
                                        -- value pair.
         OUT  transportDomain           -- destination transportDomain
         OUT  transportAddress          -- destination transportAddress
         OUT  outgoingMessage           -- the message to send
         OUT  outgoingMessageLength     -- its length
         )

      c) If the result is SUCCESS, then the prepared message is sent to
         the originator of the request as identified by the
         transportDomain and transportAddress.

      d) The incoming message is discarded without further processing.
         Message Processing for this message is complete.

   3) The PDU is dispatched to the application, using the abstract
      service primitive:




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      processPdu(                     -- process Request/Notification
        IN   messageProcessingModel   -- as provided by MP module
        IN   securityModel            -- as provided by MP module
        IN   securityName             -- as provided by MP module
        IN   securityLevel            -- as provided by MP module
        IN   contextEngineID          -- as provided by MP module
        IN   contextName              -- as provided by MP module
        IN   pduVersion               -- as provided by MP module
        IN   PDU                      -- as provided by MP module
        IN   maxSizeResponseScopedPDU -- as provided by MP module
        IN   stateReference           -- as provided by MP module
                                      -- needed when sending response
             )

      Message processing for this message is complete.

4.2.2.2.  Incoming Responses

   The following procedures are followed for the dispatching of PDUs
   when the value of sendPduHandle is not <none>, indicating this is a
   response.

      1) The value of sendPduHandle is used to determine, in an
         implementation-defined manner, which application is waiting for
         a response PDU associated with this sendPduHandle.

      2) If no waiting application is found, the message is discarded
         without further processing, and the stateReference is released.
         The snmpUnknownPDUHandlers counter is incremented.  Message
         Processing is complete for this message.

      3) Any cached information, including stateReference, about the
         message is discarded.

      4) The response is dispatched to the application using the
         abstract service primitive:

         processResponsePdu(              -- process Response PDU
           IN   messageProcessingModel    -- provided by the MP module
           IN   securityModel             -- provided by the MP module
           IN   securityName              -- provided by the MP module
           IN   securityLevel             -- provided by the MP module
           IN   contextEngineID           -- provided by the MP module
           IN   contextName               -- provided by the MP module
           IN   pduVersion                -- provided by the MP module
           IN   PDU                       -- provided by the MP module





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           IN   statusInformation         -- provided by the MP module
           IN   sendPduHandle             -- provided by the MP module
                )

         Message Processing is complete for this message.

4.3.  Application Registration for Handling PDU types

   Applications that want to process certain PDUs must register with the
   PDU Dispatcher. Applications specify the combination of
   contextEngineID and pduType(s) for which they want to take
   responsibility

   1) An application registers according to the abstract interface
      primitive:

      statusInformation =           -- success or errorIndication
        registerContextEngineID(
        IN   contextEngineID        -- take responsibility for this one
        IN   pduType                -- the pduType(s) to be registered
             )

      Note: implementations may provide a means of requesting
      registration for simultaneous multiple contextEngineID values,
      e.g., all contextEngineID values, and may also provide means for
      requesting simultaneous registration for multiple values of
      pduType.

   2) The parameters may be checked for validity; if they are not, then
      an errorIndication (invalidParameter) is returned to the
      application.

   3) Each combination of contextEngineID and pduType can be registered
      only once.  If another application has already registered for the
      specified combination, then an errorIndication (alreadyRegistered)
      is returned to the application.

   4) Otherwise, the registration is saved so that SNMP PDUs can be
      dispatched to this application.

4.4.  Application Unregistration for Handling PDU Types

   Applications that no longer want to process certain PDUs must
   unregister with the PDU Dispatcher.

   1) An application unregisters using the abstract service primitive:





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      unregisterContextEngineID(
       IN   contextEngineID        -- give up responsibility for this
       IN   pduType                -- the pduType(s) to be unregistered
             )
      Note: implementations may provide means for requesting
      unregistration for simultaneous multiple contextEngineID values,
      e.g., all contextEngineID values, and may also provide means for
      requesting simultaneous unregistration for multiple values of
      pduType.

   2) If the contextEngineID and pduType combination has been
      registered, then the registration is deleted.

      If no such registration exists, then the request is ignored.

5.  Definitions

5.1.  Definitions for SNMP Message Processing and Dispatching

   SNMP-MPD-MIB DEFINITIONS ::= BEGIN

   IMPORTS
       MODULE-COMPLIANCE, OBJECT-GROUP         FROM SNMPv2-CONF
       MODULE-IDENTITY, OBJECT-TYPE,
       snmpModules, Counter32                  FROM SNMPv2-SMI;

   snmpMPDMIB MODULE-IDENTITY
       LAST-UPDATED "9711200000Z"              -- 20 November 1997
       ORGANIZATION "SNMPv3 Working Group"
       CONTACT-INFO "WG-email:   snmpv3@tis.com
                     Subscribe:  majordomo@tis.com
                                 In message body:  subscribe snmpv3

                     Chair:      Russ Mundy
                                 Trusted Information Systems
                     postal:     3060 Washington Road
                                 Glenwood, MD 21738
                                 USA
                     email:      mundy@tis.com
                     phone:      +1 301-854-6889

                     Co-editor:  Jeffrey Case
                                 SNMP Research, Inc.
                     postal:     3001 Kimberlin Heights Road
                                 Knoxville, TN 37920-9716
                                 USA
                     email:      case@snmp.com
                     phone:      +1 423-573-1434



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                     Co-editor   Dave Harrington
                                 Cabletron Systems, Inc.
                     postal:     Post Office Box 5005
                                 MailStop: Durham
                                 35 Industrial Way
                                 Rochester, NH 03867-5005
                                 USA
                     email:      dbh@ctron.com
                     phone:      +1 603-337-7357

                     Co-editor:  Randy Presuhn
                                 BMC Software, Inc.
                     postal:     1190 Saratoga Ave, Suite 190
                                 San Jose, CA 95120
                                 USA
                     email:      rpresuhn@bmc.com
                     phone:      +1 408-556-0720

                     Co-editor:  Bert Wijnen
                                 IBM T. J. Watson Research
                     postal:     Schagen 33
                                 3461 GL Linschoten
                                 Netherlands
                     email:      wijnen@vnet.ibm.com
                     phone:      +31 348-432-794

                    "
       DESCRIPTION  "The MIB for Message Processing and Dispatching"
       ::= { snmpModules 3 }

   -- Administrative assignments ***************************************

   snmpMPDAdmin           OBJECT IDENTIFIER ::= { snmpMPDMIB 1 }
   snmpMPDMIBObjects      OBJECT IDENTIFIER ::= { snmpMPDMIB 2 }
   snmpMPDMIBConformance  OBJECT IDENTIFIER ::= { snmpMPDMIB 3 }

   -- Statistics for SNMP Messages *************************************

   snmpMPDStats           OBJECT IDENTIFIER ::= { snmpMPDMIBObjects 1 }

   snmpUnknownSecurityModels OBJECT-TYPE
       SYNTAX       Counter32
       MAX-ACCESS   read-only
       STATUS       current
       DESCRIPTION "The total number of packets received by the SNMP
                    engine which were dropped because they referenced a
                    securityModel that was not known to or supported by
                    the SNMP engine.



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                   "
       ::= { snmpMPDStats 1 }

   snmpInvalidMsgs OBJECT-TYPE
       SYNTAX       Counter32
       MAX-ACCESS   read-only
       STATUS       current
       DESCRIPTION "The total number of packets received by the SNMP
                    engine which were dropped because there were invalid
                    or inconsistent components in the SNMP message.
                   "
       ::= { snmpMPDStats 2 }

   snmpUnknownPDUHandlers OBJECT-TYPE
       SYNTAX       Counter32
       MAX-ACCESS   read-only
       STATUS       current
       DESCRIPTION "The total number of packets received by the SNMP
                    engine which were dropped because the PDU contained
                    in the packet could not be passed to an application
                    responsible for handling the pduType, e.g. no SNMP
                    application had registered for the proper
                    combination of the contextEngineID and the pduType.
                   "
       ::= { snmpMPDStats 3 }

   -- Conformance information ******************************************

   snmpMPDMIBCompliances OBJECT IDENTIFIER ::= {snmpMPDMIBConformance 1}
   snmpMPDMIBGroups      OBJECT IDENTIFIER ::= {snmpMPDMIBConformance 2}

   -- Compliance statements

   snmpMPDCompliance MODULE-COMPLIANCE
       STATUS       current
       DESCRIPTION "The compliance statement for SNMP entities which
                    implement the SNMP-MPD-MIB.
                   "

       MODULE    -- this module

           MANDATORY-GROUPS { snmpMPDGroup }

       ::= { snmpMPDMIBCompliances 1 }

   snmpMPDGroup OBJECT-GROUP
       OBJECTS {
                 snmpUnknownSecurityModels,



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                 snmpInvalidMsgs,
                 snmpUnknownPDUHandlers
               }
       STATUS       current
       DESCRIPTION "A collection of objects providing for remote
                    monitoring of the SNMP Message Processing and
                    Dispatching process.
                   "
       ::= { snmpMPDMIBGroups 1 }

   END

6.  The SNMPv3 Message Format

   This section defines the SNMPv3 message format and the corresponding
   SNMP version 3 Message Processing Model (v3MP).

   SNMPv3MessageSyntax DEFINITIONS IMPLICIT TAGS ::= BEGIN

       SNMPv3Message ::= SEQUENCE {
           -- identify the layout of the SNMPv3Message
           -- this element is in same position as in SNMPv1
           -- and SNMPv2c, allowing recognition
           msgVersion INTEGER { snmpv3 (3) },
           -- administrative parameters
           msgGlobalData HeaderData,
           -- security model-specific parameters
           -- format defined by Security Model
           msgSecurityParameters OCTET STRING,
           msgData  ScopedPduData
       }

       HeaderData ::= SEQUENCE {
           msgID      INTEGER (0..2147483647),
           msgMaxSize INTEGER (484..2147483647),

           msgFlags   OCTET STRING (SIZE(1)),
                      --  .... ...1   authFlag
                      --  .... ..1.   privFlag
                      --  .... .1..   reportableFlag
                      --              Please observe:
                      --  .... ..00   is OK, means noAuthNoPriv
                      --  .... ..01   is OK, means authNoPriv
                      --  .... ..10   reserved, must NOT be used.
                      --  .... ..11   is OK, means authPriv

           msgSecurityModel INTEGER (0..2147483647)
       }



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       ScopedPduData ::= CHOICE {
           plaintext    ScopedPDU,
           encryptedPDU OCTET STRING  -- encrypted scopedPDU value
       }

       ScopedPDU ::= SEQUENCE {
           contextEngineID  OCTET STRING,
           contextName      OCTET STRING,
           data             ANY -- e.g., PDUs as defined in RFC1905
       }
   END

6.1.  msgVersion

   The msgVersion field is set to snmpv3(3) and identifies the message
   as an SNMP version 3 Message.

6.2.  msgID

   The msgID is used between two SNMP entities to coordinate request
   messages and responses, and by the v3MP to coordinate the processing
   of the message by different subsystem models within the architecture.

   Values for msgID should be generated in a manner that avoids re-use
   of any outstanding values.  Doing so provides protection against some
   replay attacks.  One possible implementation strategy would be to use
   the low-order bits of snmpEngineBoots [RFC2261] as the high-order
   portion of the msgID value and a monotonically increasing integer for
   the low-order portion of msgID.

   Note that the request-id in a PDU is used by SNMP applications to
   identify the PDU; the msgID is used by the engine to identify the
   message which carries a PDU. The engine may need to identify the
   message even if decrypting of the PDU (and request-id) fails. No
   assumption should be made that the value of the msgID and the value
   of the request-id are equivalent.

6.3.  msgMaxSize

   The msgMaxSize field of the message conveys the maximum message size
   supported by the sender of the message, i.e., the maximum message
   size that the sender can accept when another SNMP engine sends an
   SNMP message (be it a response or any other message) to the sender of
   this message.







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   When an SNMP message is being generated, the msgMaxSize is provided
   by the SNMP engine which generates the message.  At the receiving
   SNMP engine, the msgMaxSize is used to determine how big the Response
   to a Request message can be.

6.4.  msgFlags

   The msgFlags field of the message contains several bit fields which
   control processing of the message.

   When the reportableFlag is one, a Report PDU must be returned to the
   sender under those conditions which can cause the generation of
   Report PDUs.  When the reportableFlag is zero, then a Report PDU must
   not be sent.  The reportableFlag must always be zero when the message
   contains a Report PDU, a response-type PDU (such as a Response PDU),
   or an unacknowledged notification-type PDU (such as an SNMPv2-trap
   PDU).  The reportableFlag must always be one for a request-type PDU
   (such as a Get PDU) and an acknowledged notification-type PDU (such
   as an Inform PDU).

   If the reportableFlag is set to one for a message containing a Report
   PDU, a response-type PDU (such as a Response PDU), or an
   unacknowledged notification-type PDU (such as an SNMPv2-trap PDU),
   then the receiver of that message must process it as though the
   reportableFlag had been set to zero.

   If the reportableFlag is set to zero for a message containing a
   request-type PDU (such as a Get PDU) or an acknowledged notification-
   type PDU (such as an Inform PDU), then the receiver of that message
   must process it as though the reportableFlag had been set to one.

   Report PDUs are engine-to-engine communications and are processed
   directly by the SNMPv3 Message Processing Model, and are generally
   not passed to applications for processing, unlike all other PDU
   types.

   Note that the reportableFlag is a secondary aid in determining
   whether a Report PDU must be sent.  It is only used in cases where
   the PDU portion of a message cannot be decoded, due to, for example,
   an incorrect ecryption key.  If the PDU can be decoded, the PDU type
   forms the basis for decisions on sending Report PDUs.

   The authFlag and privFlag portions of the msgFlags field are set by
   the sender to indicate the securityLevel that was applied to the
   message before it was sent on the wire.  The receiver of the message
   must apply the same securityLevel when the message is received and
   the contents are being processed.




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   There are three securityLevels, namely noAuthNoPriv, which is less
   than authNoPriv, which is in turn less than authPriv.  See the SNMP
   architecture document [RFC2261] for details about the securityLevel.

   a) authFlag

      If the authFlag is set to one, then the securityModel used by the
      SNMP engine which sent the message must identify the securityName
      on whose behalf the SNMP message was generated and must provide,
      in a securityModel-specific manner, sufficient data for the
      receiver of the message to be able to authenticate that
      identification.  In general, this authentication will allow the
      receiver to determine with reasonable certainty that the message
      was:

      -  sent on behalf of the principal associated with the
         securityName,

      -  was not redirected,

      -  was not modified in transit, and

      -  was not replayed.

      If the authFlag is zero, then the securityModel used by the SNMP
      engine which sent the message must identify the securityName on
      whose behalf the SNMP message was generated but it does not need
      to provide sufficient data for the receiver of the message to
      authenticate the identification, as there is no need to
      authenticate the message in this case.

   b) privFlag

      If the privFlag is set, then the securityModel used by the SNMP
      engine which sent the message must also protect the scopedPDU in
      an SNMP message from disclosure, i.e., must encrypt/decrypt the
      scopedPDU. If the privFlag is zero, then the securityModel in use
      does not need to protect the data from disclosure.

      It is an explicit requirement of the SNMP architecture that if
      privacy is selected, then authentication is also required.  That
      means that if the privFlag is set, then the authFlag must also be
      set to one.

      The combination of the authFlag and the privFlag comprises a Level
      of Security as follows:

         authFlag zero, privFlag zero -> securityLevel is noAuthNoPriv



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         authFlag zero, privFlag one  -> invalid combination
         authFlag one,  privFlag zero -> securityLevel is authNoPriv
         authFlag one,  privFlag one  -> securityLevel is authPriv

6.5.  msgSecurityModel

   The v3MP supports the concurrent existence of multiple Security
   Models to provide security services for SNMPv3 messages.  The
   msgSecurityModel field in an SNMPv3 Message identifies which Security
   Model was used by the sender to generate the message and therefore
   which securityModel must be used by the receiver to perform security
   processing for the message.  The mapping to the appropriate
   securityModel implementation within an SNMP engine is accomplished in
   an implementation-dependent manner.

6.6.  msgSecurityParameters

   The msgSecurityParameters field of the SNMPv3 Message is used for
   communication between the Security Model modules in the sending and
   receiving SNMP engines. The data in the msgSecurityParameters field
   is used exclusively by the Security Model, and the contents and
   format of the data is defined by the Security Model.  This OCTET
   STRING is not interpreted by the v3MP, but is passed to the local
   implementation of the Security Model indicated by the
   msgSecurityModel field in the message.

6.7.  scopedPduData

   The scopedPduData field represents either the plain text scopedPDU if
   the privFlag in the msgFlags is zero, or it represents an
   encryptedPDU (encoded as an OCTET STRING) which must be decrypted by
   the securityModel in use to produce a plaintext scopedPDU.

6.8.  scopedPDU

   The scopedPDU contains information to identify an administratively
   unique context and a PDU. The object identifiers in the PDU refer to
   managed objects which are (expected to be) accessible within the
   specified context.

6.8.1.  contextEngineID

   The contextEngineID in the SNMPv3 message, uniquely identifies,
   within an administrative domain, an SNMP entity that may realize an
   instance of a context with a particular contextName.






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   For incoming messages, the contextEngineID is used to determine to
   which application the scopedPDU will be sent for processing.

   For outgoing messages, the v3MP sets the contextEngineID to the value
   provided by the application in the request for a message to be sent.

6.8.2.  contextName

   The contextName field in an SNMPv3 message, in conjunction with the
   contextEngineID field, identifies the particular context associated
   with the management information contained in the PDU portion of the
   message.  The contextName is unique within the SNMP entity specified
   by the contextEngineID, which may realize the managed objects
   referenced within the PDU.  An application which originates a message
   provides the value for the contextName field and this value may be
   used during processing by an application at the receiving SNMP
   Engine.

6.8.3.  data

   The data field of the SNMPv3 Message contains the PDU.  Among other
   things, the PDU contains the PDU type that is used by the v3MP to
   determine the type of the incoming SNMP message.  The v3MP specifies
   that the PDU must be one of those specified in [RFC1905].

7.  Elements of Procedure for v3MP

   This section describes the procedures followed by an SNMP engine when
   generating and processing SNMP messages according to the SNMPv3
   Message Processing Model.

   Please note, that for the sake of clarity and to prevent the text
   from being even longer and more complicated, some details were
   omitted from the steps below.

      a) Some steps specify that when some error conditions are
         encountered when processing a received message, a message
         containing a Report PDU is generated and the received message
         is discarded without further processing.  However, a Report-PDU
         must not be generated unless the reportableFlag is set in the
         received message.

      b) The elements of procedure do not always explicitly indicate
         when state information needs to be released. The general rule
         is that if state information is available when a message is to
         be "discarded without further processing", then the state
         information must also be released at that same time.




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7.1.  Prepare an Outgoing SNMP Message

   This section describes the procedure followed to prepare an SNMPv3
   message from the data elements passed by the Message Dispatcher.

   1) The Message Dispatcher may request that an SNMPv3 message
      containing a GetRequest-PDU, GetNextRequest-PDU, GetBulkRequest-
      PDU, SetRequest-PDU, InformRequest-PDU, or SNMPv2-Trap-PDU be
      prepared for sending.

      a) It makes such a request according to the abstract service
         primitive:

         statusInformation =           -- success or errorIndication
           prepareOutgoingMessage(
           IN   transportDomain        -- requested transport domain
           IN   transportAddress       -- requested destination address
           IN   messageProcessingModel -- typically, SNMP version
           IN   securityModel          -- Security Model to use
           IN   securityName           -- on behalf of this principal
           IN   securityLevel          -- Level of Security requested
           IN   contextEngineID        -- data from/at this entity
           IN   contextName            -- data from/in this context
           IN   pduVersion             -- version of the PDU
           IN   PDU                    -- SNMP Protocol Data Unit
           IN   expectResponse         -- TRUE or FALSE
           IN   sendPduHandle          -- the handle for matching
                                       -- incoming responses
           OUT  destTransportDomain    -- destination transport domain
           OUT  destTransportAddress   -- destination transport address
           OUT  outgoingMessage        -- the message to send
           OUT  outgoingMessageLength  -- the length of the message
           )

      b) A unique msgID is generated.  The number used for msgID should
         not have been used recently, and must not be the same as was
         used for any outstanding request.

         * SNMPv3 does not use the values of expectResponse or
         pduVersion.

   2) The Message Dispatcher may request that an SNMPv3 message
      containing a Response-PDU or Report-PDU be prepared for sending.

      a) It makes such a request according to the abstract service
         primitive:





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         result =                        -- SUCCESS or FAILURE
         prepareResponseMessage(
          IN   messageProcessingModel   -- typically, SNMP version
          IN   securityModel            -- same as on incoming request
          IN   securityName             -- same as on incoming request
          IN   securityLevel            -- same as on incoming request
          IN   contextEngineID          -- data from/at this SNMP entity
          IN   contextName              -- data from/in this context
          IN   pduVersion               -- version of the PDU
          IN   PDU                      -- SNMP Protocol Data Unit
          IN   maxSizeResponseScopedPDU -- maximum size of Response PDU
          IN   stateReference           -- reference to state
                                        -- information presented with
                                        -- the request
          IN   statusInformation        -- success or errorIndication
                                        -- error counter OID and value
                                        -- when errorIndication
          OUT  transportDomain          -- destination transport domain
          OUT  transportAddress         -- destination transport address
          OUT  outgoingMessage          -- the message to send
          OUT  outgoingMessageLength    -- the length of the message
          )

      b) The cached information for the original request is retrieved
         via the stateReference, including

                  - msgID,
                  - contextEngineID,
                  - contextName,
                  - securityModel,
                  - securityName,
                  - securityLevel,
                  - securityStateReference,
                  - reportableFlag,
                  - transportDomain, and
                  - transportAddress.

         The SNMPv3 Message Processing Model does not allow cached data
         to be overridden, except by error indications as detailed in
         (3) below.

   3) If statusInformation contains values for an OID/value combination
      (potentially also containing a securityLevel value,
      contextEngineID value, or contextName value), then

      a) If reportableFlag is zero, then the original message is
         discarded, and no further processing is done. A result of
         FAILURE is returned. SNMPv3 Message Processing is complete.



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      b) If a PDU is provided, it is the PDU from the original request.
         If possible, extract the request-id.

      c) A Report PDU is prepared:

         1) the varBindList is set to contain the OID and value from the
            statusInformation

         2) error-status is set to 0

         3) error-index is set to 0.

         4) request-id is set to the value extracted in step b)
            Otherwise, request-id is set to 0

      d) The errorIndication in statusInformation may be accompanied by
         a securityLevel value, a contextEngineID value, or a
         contextName value.

         1) If statusInformation contains a value for securityLevel,
            then securityLevel is set to that value, otherwise it is set
            to noAuthNoPriv.

         2) If statusInformation contains a value for contextEngineID,
            then contextEngineID is set to that value, otherwise it is
            set to the value of this entity's snmpEngineID.

         3) If statusInformation contains a value for contextName, then
            contextName is set to that value, otherwise it is set to the
            default context of "" (zero-length string).

      e) PDU is set to refer to the new Report-PDU.  The old PDU is
         discarded.

      f) Processing continues with step 6) below.

   4) If contextEngineID is not yet determined, then the contextEngineID
      is determined, in an implementation-dependent manner, possibly
      using the transportDomain and transportAddress.

   5) If the contextName is not yet determined, the contextName is set
      to the default context.

   6) A scopedPDU is prepared from the contextEngineID, contextName, and
      PDU.






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   7) msgGlobalData is constructed as follows

      a) The msgVersion field is set to snmpv3(3).

      b) msgID is set as determined in step 1 or 2 above.

      c) msgMaxSize is set to an implementation-dependent value.

      d) msgFlags are set as follows:

         -  If securityLevel specifies noAuthNoPriv, then authFlag and
            privFlag are both set to zero.

         -  If securityLevel specifies authNoPriv, then authFlag is set
            to one and privFlag is set to zero.

         -  If securityLevel specifies authPriv, then authFlag is set to
            one and privFlag is set to one.

         -  If the PDU is a Response-PDU, Report-PDU or SNMPv2-Trap-PDU,
            then the reportableFlag is set to zero.

         -  If the PDU is a GetRequest-PDU, GetNextRequest-PDU,
            GetBulkRequest-PDU, SetRequest-PDU, or InformRequest-PDU
            then the reportableFlag is set to one.

         -  All other msgFlags bits are set to zero.

      e) msgSecurityModel is set to the value of securityModel

   8) If the PDU is a Response-PDU or Report-PDU, then

      a) The specified Security Model is called to generate the message
         according to the primitive:

         statusInformation =
           generateResponseMsg(
           IN   messageProcessingModel -- SNMPv3 Message Processing
                                       -- Model
           IN   globalData             -- msgGlobalData from step 7
           IN   maxMessageSize         -- from msgMaxSize (step 7c)
           IN   securityModel          -- as determined in step 7e
           IN   securityEngineID       -- the value of snmpEngineID
           IN   securityName           -- on behalf of this principal
           IN   securityLevel          -- for the outgoing message
           IN   scopedPDU              -- as prepared in step 6)
           IN   securityStateReference -- as determined in step 2
           OUT  securityParameters     -- filled in by Security Module



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           OUT  wholeMsg               -- complete generated message
           OUT  wholeMsgLength         -- length of generated message
           )

         If, upon return from the Security Model, the statusInformation
         includes an errorIndication, then any cached information about
         the outstanding request message is discarded, and an
         errorIndication is returned, so it can be returned to the
         calling application. SNMPv3 Message Processing is complete.

      b) A SUCCESS result is returned. SNMPv3 Message Processing is
         complete.

   9) If the PDU is a GetRequest-PDU, GetNextRequest-PDU,
      GetBulkRequest-PDU, SetRequest-PDU, InformRequest-PDU, or or
      SNMPv2-Trap-PDU, then

      a) If the PDU is an SNMPv2-Trap-PDU, then securityEngineID is set
         to the value of this entity's snmpEngineID.

         Otherwise, the snmpEngineID of the target entity is determined,
         in an implementation-dependent manner, possibly using
         transportDomain and transportAddress.  The value of
         securityEngineID is set to the value of the target entity's
         snmpEngineID.

      b) The specified Security Model is called to generate the message
         according to the primitive:

         statusInformation =
          generateRequestMsg(
          IN  messageProcessingModel -- SNMPv3 Message Processing Model
          IN  globalData             -- msgGlobalData, from step 7
          IN  maxMessageSize         -- from msgMaxSize in step 7 c)
          IN  securityModel          -- as provided by caller
          IN  securityEngineID       -- authoritative SNMP entity
          IN  securityName           -- as provided by caller
          IN  securityLevel          -- as provided by caller
          IN  snmpEngineID           -- as determined in step 9 a)
          IN  scopedPDU              -- as prepared in step 6
          OUT securityParameters     -- filled in by Security Module
          OUT wholeMsg               -- complete generated message
          OUT wholeMsgLength         -- length of the generated message
          )







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         If, upon return from the Security Model, the statusInformation
         includes an errorIndication, then the message is discarded, and
         the errorIndication is returned, so it can be returned to the
         calling application, and no further processing is done.
         SNMPv3 Message Processing is complete.

      c) Information about the outgoing message is cached, and a
         stateReference is created (implementation-specific).
         Information to be cached includes the values of:

                      - sendPduHandle
                      - msgID
                      - snmpEngineID
                      - securityModel
                      - securityName
                      - securityLevel
                      - contextEngineID
                      - contextName

      d) A SUCCESS result is returned.  SNMPv3 Message Processing is
         complete.

7.2.  Prepare Data Elements from an Incoming SNMP Message

   This section describes the procedure followed to extract data from an
   SNMPv3 message, and to prepare the data elements required for further
   processing of the message by the Message Dispatcher.

   1) The message is passed in from the Message Dispatcher according to
      the abstract service primitive:

       result =                         -- SUCCESS or errorIndication
         prepareDataElements(
         IN  transportDomain          -- origin transport domain
         IN  transportAddress         -- origin transport address
         IN  wholeMsg                 -- as received from the network
         IN  wholeMsgLength           -- as received from the network
         OUT messageProcessingModel   -- typically, SNMP version
         OUT securityModel            -- Security Model to use
         OUT securityName             -- on behalf of this principal
         OUT securityLevel            -- Level of Security requested
         OUT contextEngineID          -- data from/at this entity
         OUT contextName              -- data from/in this context
         OUT pduVersion               -- version of the PDU
         OUT PDU                      -- SNMP Protocol Data Unit
         OUT pduType                  -- SNMP PDU type
         OUT sendPduHandle            -- handle for matched request
         OUT maxSizeResponseScopedPDU -- maximum size of Response PDU



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         OUT statusInformation        -- success or errorIndication
                                      -- error counter OID and value
                                      -- when errorIndication
         OUT stateReference           -- reference to state information
                                      -- to be used for a possible
         )                            -- Response

   2) If the received message is not the serialization (according to
      the conventions of [RFC1906]) of an SNMPv3Message value, then the
      snmpInASNParseErrs counter [RFC1907] is incremented, the message
      is discarded without further processing, and a FAILURE result is
      returned. SNMPv3 Message Processing is complete.

   3) The values for msgVersion, msgID, msgMaxSize, msgFlags,
      msgSecurityModel, msgSecurityParameters, and msgData are extracted
      from the message.

   4) If the value of the msgSecurityModel component does not match a
      supported securityModel, then the snmpUnknownSecurityModels
      counter is incremented, a Report PDU is generated, the message is
      discarded without further processing, and a FAILURE result is
      returned. SNMPv3 Message Processing is complete.

   5) The securityLevel is determined from the authFlag and the
      privFlag bits of the msgFlags component as follows:

      a) If the authFlag is not set and the privFlag is not set, then
         securityLevel is set to noAuthNoPriv.

      b) If the authFlag is set and the privFlag is not set, then
         securityLevel is set to authNoPriv.

      c) If the authFlag is set and the privFlag is set, then
         securityLevel is set to authPriv.

      d) If the authFlag is not set and privFlag is set, then the
         snmpInvalidMsgs counter is incremented, a Report PDU is
         generated, the message is discarded without further processing,
         and a FAILURE result is returned. SNMPv3 Message Processing is
         complete.

   6) The security module implementing the Security Model as specified
      by the securityModel component is called for authentication and
      privacy services.  This is done according to the abstract service
      primitive:

       statusInformation =            -- errorIndication or success
                                      -- error counter OID and



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                                      -- value if error
         processIncomingMsg(
         IN  messageProcessingModel   -- SNMPv3 Message Processing Model
         IN  expectResponse           -- TRUE or FALSE
         IN  maxMessageSize           -- of the sending SNMP entity
         IN  securityParameters       -- for the received message
         IN  securityModel            -- for the received message
         IN  securityLevel            -- Level of Security
         IN  wholeMsg                 -- as received on the wire
         IN  wholeMsgLength           -- length as received on the wire
         OUT securityEngineID         -- authoritative SNMP entity
         OUT securityName             -- identification of the principal
         OUT scopedPDU,               -- message (plaintext) payload
         OUT maxSizeResponseScopedPDU -- maximum size of Response PDU
         OUT securityStateReference   -- reference to security state
         )                            -- information, needed for
                                      -- response

      If an errorIndication is returned by the security module, then

      a) If statusInformation contains values for an OID/value pair,
         then a Report PDU is generated.

         1) If the scopedPDU has been returned from ProcessIncomingMsg
            then determine contextEngineID, contextName, and PDU.

         2) Information about the message is cached and a
            stateReference is created (implementation-specific).
            Information to be cached includes the values of:

                          msgVersion,
                          msgID,
                          securityLevel,
                          msgFlags,
                          msgMaxSize,
                          securityModel,
                          maxSizeResponseScopedPDU,
                          securityStateReference

         3) Request that a Report-PDU be prepared and sent, according
            to the abstract service primitive:

             result =                     -- SUCCESS or FAILURE
             returnResponsePDU(
             IN  messageProcessingModel   -- SNMPv3(3)
             IN  securityModel            -- same as on incoming request
             IN  securityName             -- from ProcessIncomingMsg
             IN  securityLevel            -- same as on incoming request



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             IN  contextEngineID          -- from step 6 a) 1)
             IN  contextName              -- from step 6 a) 1)
             IN  pduVersion               -- SNMPv2-PDU
             IN  PDU                      -- from step 6 a) 1)
             IN  maxSizeResponseScopedPDU -- from ProcessIncomingMsg
             IN  stateReference           -- from step 6 a) 2)
             IN  statusInformation        -- from ProcessIncomingMsg
             OUT transportDomain          -- destination's transport
                                          -- domain
             OUT transportAddress         -- destination's transport
                                          -- address
             OUT outgoingMessage          -- the message to send
             OUT outgoingMessageLength    -- the length of the message
             )

      b) The incoming message is discarded without further processing,
         and a FAILURE result is returned. SNMPv3 Message Processing is
         complete.

   7) The scopedPDU is parsed to extract the contextEngineID, the
      contextName and the PDU.  If any parse error occurs, then the
      snmpInASNParseErrs counter [RFC1907] is incremented, the security
      state information is discarded, the message is discarded without
      further processing, and a FAILURE result is returned. SNMPv3
      Message Processing is complete.

   8) The pduVersion is set to an SNMPv2-PDU.

   9) The pduType is determined, in an implementation-dependent manner,
      to be:

               - a GetRequest-PDU,
               - a GetNextRequest-PDU,
               - a GetBulkRequest-PDU,
               - a SetRequest-PDU,
               - an InformRequest-PDU,
               - an SNMPv2-Trap-PDU,
               - a Response-PDU, or
               - a Report-PDU.

   10) If the pduType is a Response-PDU or Report-PDU, then

       a) The value of the msgID component is used to find the cached
          information for a corresponding outstanding Request message.
          If no such outstanding Request message is found, then the
          security state information is discarded, the message is
          discarded without further processing, and a FAILURE result is
          returned. SNMPv3 Message Processing is complete.



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       b) sendPduHandle is retrieved from the cached information.

       Otherwise, sendPduHandle is set to <none>, an implementation
       defined value.

   11) If the pduType is a Report-PDU, then

       a) statusInformation is created using the contents of the
          Report-PDU, in an implementation-dependent manner. This
          statusInformation will be forwarded to the application
          associated with the sendPduHandle.

       b) Any cached information about the outstanding Request message
          message is discarded.

       c) The security state information for this incoming message is
          discarded.

       d) stateReference is set to <none>

       e) A SUCCESS result is returned. SNMPv3 Message Processing is
           complete.

   12) If the pduType is a Response-PDU, then

       a) The cached data for the outstanding request, referred to by
          stateReference, is retrieved, including

                       - snmpEngineID
                       - securityModel
                       - securityName
                       - securityLevel
                       - contextEngineID
                       - contextName

       b) If the values extracted from the incoming message differ from
          the cached data, then the security state information is
          discarded, any cached information about the outstanding
          Request message is discarded, the incoming message is
          discarded without further processing, and a FAILURE result is
          returned.  SNMPv3 Message Processing is complete.

       c) Otherwise, any cached information about the outstanding
          Request message is discarded, and stateReference is set to
          <none>.

       d) A SUCCESS result is returned. SNMPv3 Message Processing is
          complete.



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   13) If the pduType is a GetRequest-PDU, GetNextRequest-PDU,
       GetBulkRequest-PDU, SetRequest-PDU, or InformRequest-PDU, then

       a) If the value of securityEngineID is not equal to the value of
          snmpEngineID, then the security state information is
          discarded, any cached information about the outstanding
          Request message is discarded, the incoming message is
          discarded without further processing, and a FAILURE result is
          returned.  SNMPv3 Message Processing is complete.

       b) Information about the message is cached and a stateReference
          is created (implementation-specific).  Information to be
          cached includes the values of:

                        msgVersion,
                        msgID,
                        securityLevel,
                        msgFlags,
                        msgMaxSize,
                        securityModel,
                        maxSizeResponseScopedPDU,
                        securityStateReference

       c) A SUCCESS result is returned. SNMPv3 Message Processing is
          complete.

   14) If the pduType is an SNMPv2-Trap-PDU, then A SUCCESS result is
       returned. SNMPv3 Message Processing is complete.

8.  Intellectual Property

   The IETF takes no position regarding the validity or scope of any
   intellectual property or other rights that might be claimed to
   pertain to the implementation or use of the technology described in
   this document or the extent to which any license under such rights
   might or might not be available; neither does it represent that it
   has made any effort to identify any such rights.  Information on the
   IETF's procedures with respect to rights in standards-track and
   standards-related documentation can be found in BCP-11.  Copies of
   claims of rights made available for publication and any assurances of
   licenses to be made available, or the result of an attempt made to
   obtain a general license or permission for the use of such
   proprietary rights by implementors or users of this specification can
   be obtained from the IETF Secretariat.







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   The IETF invites any interested party to bring to its attention any
   copyrights, patents or patent applications, or other proprietary
   rights which may cover technology that may be required to practice
   this standard.  Please address the information to the IETF Executive
   Director.

9.  Acknowledgements

   This document is the result of the efforts of the SNMPv3 Working
   Group.  Some special thanks are in order to the following SNMPv3 WG
   members:

      Dave Battle (SNMP Research, Inc.)
      Uri Blumenthal (IBM T.J. Watson Research Center)
      Jeff Case (SNMP Research, Inc.)
      John Curran (BBN)
      T. Max Devlin (Hi-TECH Connections)
      John Flick (Hewlett Packard)
      David Harrington (Cabletron Systems Inc.)
      N.C. Hien (IBM T.J. Watson Research Center)
      Dave Levi (SNMP Research, Inc.)
      Louis A Mamakos (UUNET Technologies Inc.)
      Paul Meyer (Secure Computing Corporation)
      Keith McCloghrie (Cisco Systems)
      Russ Mundy (Trusted Information Systems, Inc.)
      Bob Natale (ACE*COMM Corporation)
      Mike O'Dell (UUNET Technologies Inc.)
      Dave Perkins (DeskTalk)
      Peter Polkinghorne (Brunel University)
      Randy Presuhn (BMC Software, Inc.)
      David Reid (SNMP Research, Inc.)
      Shawn Routhier (Epilogue)
      Juergen Schoenwaelder (TU Braunschweig)
      Bob Stewart (Cisco Systems)
      Bert Wijnen (IBM T.J. Watson Research Center)

   The document is based on recommendations of the IETF Security and
   Administrative Framework Evolution for SNMP Advisory Team.  Members
   of that Advisory Team were:

      David Harrington (Cabletron Systems Inc.)
      Jeff Johnson (Cisco Systems)
      David Levi (SNMP Research Inc.)
      John Linn (Openvision)
      Russ Mundy (Trusted Information Systems) chair
      Shawn Routhier (Epilogue)
      Glenn Waters (Nortel)
      Bert Wijnen (IBM T. J. Watson Research Center)



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   As recommended by the Advisory Team and the SNMPv3 Working Group
   Charter, the design incorporates as much as practical from previous
   RFCs and drafts. As a result, special thanks are due to the authors
   of previous designs known as SNMPv2u and SNMPv2*:

   Jeff Case (SNMP Research, Inc.)
   David Harrington (Cabletron Systems Inc.)
   David Levi (SNMP Research, Inc.)
   Keith McCloghrie (Cisco Systems)
   Brian O'Keefe (Hewlett Packard)
   Marshall T. Rose (Dover Beach Consulting)
   Jon Saperia (BGS Systems Inc.)
   Steve Waldbusser (International Network Services)
   Glenn W. Waters (Bell-Northern Research Ltd.)

10.  Security Considerations

   The Dispatcher coordinates the processing of messages to provide a
   level of security for management messages and to direct the SNMP PDUs
   to the proper SNMP application(s).

   A Message Processing Model, and in particular the V3MP defined in
   this document, interacts as part of the Message Processing with
   Security Models in the Security Subsystem via the abstract service
   interface primitives defined in [RFC2261] and elaborated above.

   The level of security actually provided is primarily determined by
   the specific Security Model implementation(s) and the specific SNMP
   application implementation(s) incorporated into this framework.
   Applications have access to data which is not secured. Applications
   should take reasonable steps to protect the data from disclosure, and
   when they send data across the network, they should obey the
   securityLevel and call upon the services of an Access Control Model
   as they apply access control.

   The values for the msgID element used in communication between SNMP
   entities must be chosen to avoid replay attacks.  The values do not
   need to be unpredictable; it is sufficient that they not repeat.

11.  References

   [RFC1901] Case, J., McCloghrie, K., Rose, M., and S. Waldbusser,
      "Introduction to Community-based SNMPv2",
      RFC 1901, January 1996.







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   [RFC1902] Case, J., McCloghrie, K., Rose, M., and S. Waldbusser,
      "Structure of Management Information for
      Version  2 of the Simple Network Management Protocol (SNMPv2)",
      RFC 1902, January 1996.

   [RFC1905] Case, J., McCloghrie, K., Rose, M., and S. Waldbusser,
      "Protocol Operations for Version 2 of the
      Simple Network Management Protocol (SNMPv2)", RFC 1905, January
      1996.

   [RFC1906] Case, J., McCloghrie, K., Rose, M., and S. Waldbusser,
      "Transport Mappings for Version 2 of the
      Simple Network Management Protocol (SNMPv2)", RFC 1906, January
      1996.

   [RFC1907] Case, J., McCloghrie, K., Rose, M., and S. Waldbusser,
      "Management Information Base for Version 2
      of the Simple Network Management Protocol (SNMPv2)", RFC 1907
      January 1996.

   [RFC1908] Case, J., McCloghrie, K., Rose, M., and S. Waldbusser,
      "Coexistence between Version 1 and Version
      2 of the Internet-standard Network Management Framework", RFC
      1908, January 1996.

   [RFC 2028] Hovey, R., and S. Bradner, "The Organizations Involved in
      the IETF Standards Process", BCP 11, RFC 2028, October 1996.

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

   [RFC2261] Harrington, D., Presuhn, R., and B. Wijnen, "An
      Architecture for describing SNMP Management Frameworks",
      RFC 2261, January 1998.

   [RFC2264] Blumenthal, U., and B. Wijnen, "The User-Based
      Security Model for Version 3 of the Simple Network
      Management Protocol (SNMPv3)", RFC 2264, January 1998.

   [RFC2265] Wijnen, B., Presuhn, R., and K. McCloghrie,
      "View-based Access Control Model for the Simple
      Network Management Protocol (SNMP)", RFC 2265, January 1998.

   [RFC2263] Levi, D., Meyer, P., and B. Stewart, "SNMPv3
      Applications", RFC 2263, January 1998.






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12.  Editors' Addresses

   Jeffrey Case
   SNMP Research, Inc.
   3001 Kimberlin Heights Road
   Knoxville, TN 37920-9716
   USA

   Phone:     +1 423-573-1434
   EMail:     case@snmp.com


   Dave Harrington
   Cabletron Systems, Inc
   Post Office Box 5005
   Mail Stop: Durham
   35 Industrial Way
   Rochester, NH 03867-5005
   USA

   Phone:      +1 603-337-7357
   EMail:      dbh@ctron.com


   Randy Presuhn
   BMC Software, Inc.
   1190 Saratoga Avenue
   Suite 130
   San Jose, CA 95129
   USA

   Phone:      +1 408-556-0720
   EMail:      rpresuhn@bmc.com


   Bert Wijnen
   IBM T. J. Watson Research
   Schagen 33
   3461 GL Linschoten
   Netherlands

   Phone:      +31 348-432-794
   EMail:      wijnen@vnet.ibm.com








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13.  Full Copyright Statement

   Copyright (C) The Internet Society (1997).  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.  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.

   The limited permissions granted above are perpetual and will not be
   revoked by the Internet Society or its successors or assigns.

   This document and the information contained herein is provided on an
   "AS IS" basis and THE INTERNET SOCIETY AND THE INTERNET ENGINEERING
   TASK FORCE DISCLAIMS ALL WARRANTIES, EXPRESS OR IMPLIED, INCLUDING
   BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE INFORMATION
   HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED WARRANTIES OF
   MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.
























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