Internet DRAFT - draft-heizer-cifs-v1-spec
draft-heizer-cifs-v1-spec
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Network Working Group I. Heizer
Request for Comments: DRAFT P. Leach
Category: Informational D. Perry
Title: draft-heizer-cifs-v1-spec-00.txt Microsoft
June 13, 1996
Common Internet File System Protocol (CIFS/1.0)
Status of this Memo
This document is an Internet-Draft. 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 made obsolete 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".
To learn the current status of any Internet-Draft, please check the
"1id-abstracts.txt" listing contained in the Internet-Drafts Shadow
Directories on ftp.is.co.za (Africa), nic.nordu.net (Europe),
munnari.oz.au (Pacific Rim), ds.internic.net (US East Coast), or
ftp.isi.edu (US West Coast).
Distribution of this document is unlimited. Please send comments to the
authors at <cifs@microsoft.com>.
Abstract
This document describes the CIFS file sharing protocol. Client systems
use this protocol to request file and print services from server
systems over a network. It is based on the Server Message Block protocol
widely in use by personal computers and workstations running a wide
variety of operating systems.
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Table of Contents
1. INTRODUCTION 6
1.1 Summary of features 6
1.1.1 File and printer access 7
1.1.2 File and record locking 7
1.1.3 Safe caching, read-ahead, and write-behind 7
1.1.4 File change notification 7
1.1.5 Protocol version negotiation 7
1.1.6 Extended attributes 7
1.1.7 Distributed replicated virtual volumes 8
1.1.8 Server name resolution via DNS 8
1.1.9 Batched requests 8
2. PROTOCOL OPERATION OVERVIEW 9
2.1 Server Name Determination 9
2.2 Server Name Resolution 9
2.3 SAMPLE MESSAGE FLOW 10
2.4 MESSAGE FORMAT 12
2.5 SMB PROTOCOL DIALECT NEGOTIATION 14
2.6 Message Transport 14
2.6.1 Reliable Connection Oriented Transports 15
2.6.2 Connectionless Transports 16
2.7 OPPORTUNISTIC LOCKS 20
2.7.1 Exclusive Oplocks 20
2.7.2 Batch Oplocks 22
2.7.3 Level II Oplocks 24
2.8 Security Model 25
2.9 Resource Share/Access Example 26
2.10 Authentication 28
2.10.1 Pre NT LM 0.12 29
2.10.2 NT LM 0.12 29
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2.11 DISTRIBUTED FILESYSTEM (DFS) SUPPORT 30
3. SMB MESSAGES AND FORMATS 31
3.1 SMB HEADER 31
3.1.1 Flags field 32
3.1.2 Flags2 Field 33
3.1.3 Tid Field 34
3.1.4 Pid Field 35
3.1.5 Mid Field 35
3.1.6 Status Field 35
3.1.7 Timeouts 36
3.1.8 Data Buffer (BUFFER) and String Formats 36
3.2 FILE NAMES 37
3.3 WILDCARDS 38
3.4 DFS PATHNAMES 38
3.5 TIME AND DATE ENCODING 39
3.6 ACCESS MODE ENCODING 40
3.7 FILE ATTRIBUTE ENCODING 42
3.8 "ANDX" SMB MESSAGES 43
3.9 SMB MESSAGES 45
3.9.1 Valid SMB Messages by Negotiated Dialect 45
3.9.2 NEGOTIATE: Negotiate Protocol 47
3.9.3 SESSION_SETUP_ANDX: Session Setup And X 53
3.9.4 LOGOFF_ANDX: User Logoff And X 59
3.9.5 TREE_CONNECT: Tree Connect 60
3.9.6 TREE_CONNECT_ANDX: Tree Connect And X 62
3.9.7 TREE_DISCONNECT: Tree Disconnect 65
3.9.8 CREATE_DIRECTORY: Create Directory 66
3.9.9 DELETE_DIRECTORY: Delete Directory 67
3.9.10 CHECK_DIRECTORY: Check Directory 67
3.9.11 OPEN: Open File 68
3.9.12 CREATE: Create File 71
3.9.13 CLOSE: Close File 72
3.9.14 FLUSH: Flush File 73
3.9.15 DELETE: Delete File 74
3.9.16 RENAME: Rename File 75
3.9.17 QUERY_INFORMATION: Get File Attributes 77
3.9.18 SET_INFORMATION: Set File Attributes 78
3.9.19 READ: Read File 79
3.9.20 WRITE: Write Bytes 81
3.9.21 LOCK_BYTE_RANGE: Lock Bytes 83
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3.9.22 UNLOCK_BYTE_RANGE: Unlock Bytes 85
3.9.23 CREATE_TEMPORARY: Create Temporary File 85
3.9.24 CREATE_NEW: Create File 87
3.9.25 PROCESS_EXIT: Process Exit 88
3.9.26 SEEK: Seek in File 89
3.9.27 SMB_QUERY_INFORMATION_DISK: Get Disk Attributes 90
3.9.28 SEARCH: Search Directory 92
3.9.29 OPEN_PRINT_FILE: Create Print Spool file 95
3.9.30 WRITE_PRINT_FILE: Write to Print File 96
3.9.31 CLOSE_PRINT_FILE: Close and Spool Print Job 98
3.9.32 GET_PRINT_QUEUE: Get Printer Queue Entries 98
3.9.33 LOCK_AND_READ: Lock and Read Bytes 101
3.9.34 WRITE_AND_UNLOCK: Write Bytes and Unlock Range 102
3.9.35 READ_RAW: Read Raw 104
3.9.36 READ_MPX: Read Block Multiplex 107
3.9.37 WRITE_RAW: Write Raw Bytes 109
3.9.38 WRITE_MPX: Write Block Multiplex 114
3.9.39 SET_INFORMATION2: Set File Information 117
3.9.40 QUERY_INFORMATION2: Get File Information 118
3.9.41 LOCKING_ANDX: Lock or UnLock Bytes 119
3.9.42 MOVE: Rename File 124
3.9.43 COPY: Copy File 126
3.9.44 ECHO: Ping the Server 128
3.9.45 WRITE_AND_CLOSE: Write Bytes and Close File 130
3.9.46 OPEN_ANDX: Open File And X 132
3.9.47 NT_CREATE_ANDX: Create File 137
3.9.48 READ_ANDX: Read Data 140
3.9.49 WRITE_ANDX: Write Bytes to file or resource 144
3.9.50 TRANSACTIONS 147
3.9.51 NT_CANCEL: Cancel request 218
3.9.52 FIND_CLOSE2: Close Search 218
4. SMB COMMAND CODES 220
5. ERROR CODES AND CLASSES 223
6. LEGAL NOTICE 230
7. REFERENCES 230
8. SECURITY CONSIDERATIONS 231
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8.1 Share level protection 231
8.2 Plaintext Password Authentication 231
8.3 LANMAN 2.1 (and earlier) Challenge/Response 231
8.3.1 Known Plaintext Attacks 232
8.3.2 Small Key Space 232
8.3.3 Chosen Plaintext Attacks 232
8.3.4 Dictionary Attacks 232
8.3.5 Badly Chosen Passwords 232
8.4 NT LM 0.12 Challenge/Response 232
8.5 Other attacks 233
8.5.1 Hijack connections 233
8.5.2 Downgrade attack 233
8.5.3 Spoofing by Counterfeit Servers 233
8.5.4 Storing Passwords Safely 234
9. AUTHOR'S ADDRESSES 234
10. APPENDICES 235
10.1 APPENDIX A: SMB PROTOCOL DIALECT CONSTANTS 235
10.2 APPENDIX B: IPX ON CONNECTIONLESS TRANSPORT 236
10.2.1 Naming On Ipx 237
10.3 APPENDIX C: NAMED PIPES 238
10.3.1 Named Pipe Features 239
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1. Introduction
This document describes the file and print sharing protocol for a
proposed Common Internet File System (CIFS). CIFS is intended to provide
an open cross-platform mechanism for client systems to request file and
print services from server systems over a network. It is based on the
standard Server Message Block (SMB) protocol widely in use by personal
computers and workstations running a wide variety of operating systems.
An earlier version of this protocol was documented as part of the X/OPEN
(now Open Group) CAE series of standards [7]; this document updates the
specification to include the latest shipping versions, and is published
to allow the creation of implementations that interoperate with those
implementations.
Use of the Internet and the World Wide Web has been characterized by
read-only access. Existing protocols such as FTP are good solutions for
one-way file transfer. However, new read/write interfaces will become
increasingly necessary as the Internet becomes more interactive and
collaborative. Adoption of a common file sharing protocol having modern
semantics such as shared files, byte-range locking, coherent caching,
change notification, replicated storage, etc. would provide important
benefits to the Internet community.
1.1 Summary of features
The protocol supports the following features:
o File and printer access
o File and record locking
o Safe caching, read-ahead, and write-behind
o File change notification
o Protocol version negotiation
o Extended attributes
o Distributed replicated virtual volumes
o Server name resolution using DNS
o Batched requests
o Operates over connection-oriented or connection-less transports
o Unicode file names
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1.1.1 File and printer access
The protocol supports the usual set of file operations: open, close,
read, write, and seek. Opening a printer resources as a file and writing
to it causes a print job to be queued.
1.1.2 File and record locking
The protocol supports file and record locking, as well as unlocked
access to files. Applications that lock files can not be improperly
interfered with by applications that do not; once a file or record is
locked, non-locking applications are denied access to the file.
1.1.3 Safe caching, read-ahead, and write-behind
The protocol supports caching, read-ahead, and write-behind, even for
unlocked files, as long as they are safe. All these optimizations are
safe as long as only one client is accessing a file; read-caching and
read-ahead are safe with many clients accessing a file as long as all
are just reading. If many clients are writing a file simultaneously,
then none are safe, and all file operations have to go to the server.
The protocol notifies all clients accessing a file of changes in the
number and access mode of clients accessing the file, so that they can
use the most optimized safe access method.
1.1.4 File change notification
Applications can register with a server to be notified if and when file
or directory contents are modified. They can use this to (for example)
know when a display needs to be refreshed, without having to constantly
poll the server.
1.1.5 Protocol version negotiation
There are several different versions and sub-versions of this protocol;
a particular version is referred to as a dialect. When two machines
first come into network contact they negotiate the dialect to be used.
Different dialects can include both new messages as well as changes to
the fields and semantics of existing messages in other dialects.
1.1.6 Extended attributes
In addition to many built-in file attributes, such as creation and
modification times, non-file system attributes can be added by
applications, such as the author's name, content description, etc.
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1.1.7 Distributed replicated virtual volumes
The protocol supports file system subtrees which look like to clients as
if they are on a single volume and server, but which actually span
multiple volumes and servers. The files and directories of such a
subtree can be physically moved to different servers, and their names do
not have to change, isolating clients from changes in the server
configuration. These subtrees can also be transparently replicated for
load sharing and fault tolerance. When a client requests a file, the
protocol uses referrals to transparently direct a client to the server
that stores it.
1.1.8 Server name resolution via DNS
The protocol supports resolving server names using the DNS, permitting
access to the file systems of other organizations over the Internet, or
hierarchical organization of servers' names within an organization.
Earlier versions of the protocol only supported a flat server name
space.
1.1.9 Batched requests
The protocol supports the batching of multiple requests into a single
message, in order to minimize round trip latencies, even when a later
request depends on the results of an earlier one.
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2. Protocol Operation Overview
In order to access a file on a server, a client has to:
o Parse the full file name to determine the server name, and the
relative name within that server.
o Resolve the server name to a transport address (this may be cached)
o Make a connection to the server (if using a connection-oriented
transport and no connection has yet been made)
o Exchange SMB messages (see below for an example)
This process may be repeated as many times as desired. Once the
connection has been idle for a while, it may be torn down.
2.1 Server Name Determination
How the client determines the name of the server and the relative name
within the server is outside of the scope of this specification.
However, just for expository purposes, here are three examples.
In the URL "file://fs.megacorp.com/users/fred/stuff.txt", the client
could take the part between the leading double slashes and the next
slash as the server name and the remainder as the relative name -- in
this example "fs.megacorp.com" and "/users/fred/stuff.txt",
respectively.
In the path name "\\corpserver\public\policy.doc" the client could take
the part between the leading double backslashes and the next slash as
the server name, and the remainder as the relative name -- in this
example, "corpserver" and "\public\policy.doc" respectively.
In the path name "x:\policy.doc" the client could use "x" as an index
into a table that contains a server name and a file name prefix. If the
contents of such a table for "x" were "corpserver" and "\public", then
the server name and relative name would be the same as in the previous
example.
2.2 Server Name Resolution
Once the server name has been determined, then the client needs to
resolve that name to a transport address. This specification defines
three ways of doing so: using the Domain Name System (DNS) [1,2],
NETBIOS name resolution (see RFC 1001 and RFC 1002 [3,4]), or IPX naming
(see appendix B). Which method is used is configuration dependent; the
default is DNS to encourage interoperability over the Internet. The name
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resolution mechanism used will place constraints on the form of the
server name. In the case of NETBIOS, the server name must be 15
characters or less, and be upper case.
The server name can also be specified as the string form an IPv4 address
in the usual dotted notation, e.g., "157.33.135.101" In this case,
"resolution" consists of converting to the 32 bit IPv4 address.
2.3 SAMPLE MESSAGE FLOW
The following illustrates a typical message exchange sequence for a
client connecting to a user level server, opening a file, reading its
data, closing the file, and disconnecting from the server. Note: using
the SMB request batching mechanism (called the "AndX" mechanism), the
second to sixth messages in this sequence can be combined into one, so
there are really only three round trips in the sequence, and the last
one can be done asynchronously by the client.
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Client Command Server Response
========================== =========================================
SMB_COM_NEGOTIATE Must be the first message sent by client
to the server. Includes a list of SMB
dialects supported by the client. Server
response indicates which SMB dialect
should be used.
SMB_COM_SESSION_SETUP_ANDX Transmits the user's name and credentials
to the server for verification.
Successful server response has Uid field
set in SMB header used for subsequent
SMBs on behalf of this user.
SMB_COM_TREE_CONNECT Transmits the name of the disk share the
client wants to access. Successful
server response has Tid field set in SMB
header used for subsequent SMBs referring
to this resource.
SMB_COM_OPEN Transmits the name of the file, relative
to Tid, the client wants to open.
Successful server response includes a
file id (Fid) the client should supply
for subsequent operations on this file.
SMB_COM_READ Client supplies Tid, Fid, file offset,
and number of bytes to read. Successful
server response includes the requested
file data.
SMB_COM_CLOSE Client closes the file represented by Tid
and Fid. Server responds with success
code.
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SMB_COM_TREE_DISCONNECT Client disconnects from resource
represented by Tid.
2.4 MESSAGE FORMAT
Clients exchange messages with a server to access resources on that
server. These messages are called Server Message Blocks (SMBs), and
every SMB message has a common format. Multi-byte values are always
transmitted least significant byte first.
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typedef unsigned char UCHAR; // 8 unsigned bits
typedef unsigned short USHORT; // 16 unsigned bits
typedef unsigned long ULONG; // 32 unsigned bits
typedef struct {
ULONG LowPart;
LONG HighPart;
} LARGE_INTEGER; // 64 bits of data
typedef struct {
ULONG LowTime;
LONG HighTime;
} TIME;
typedef struct {
UCHAR Protocol[4]; // Contains 0xFF,'SMB'
UCHAR Command; // Command code
union {
struct {
UCHAR ErrorClass; // Error class
UCHAR Reserved; // Reserved for future use
USHORT Error; // Error code
} DosError;
ULONG NtStatus; // NT-style 32-bit error code
} Status;
UCHAR Flags; // Flags
USHORT Flags2; // More flags
union {
USHORT Pad[6]; // Ensure this section is 12
// bytes long
struct {
USHORT PidHigh; // High part of PID
// (NT Create And X)
ULONG Unused; // Not used
USHORT Sid; // Session ID
USHORT SequenceNumber; // Sequence number
} Connectionless; // IPX
};
USHORT Tid; // Tree identifier
USHORT Pid; // Caller's process id
USHORT Uid; // Unauthenticated user id
USHORT Mid; // multiplex id
UCHAR WordCount; // Count of parameter words
USHORT ParameterWords[ WordCount ]; // The parameter words
USHORT ByteCount; // Count of bytes
UCHAR Buffer[ ByteCount ]; // The bytes
} SMB_HEADER;
All SMBs have identical format up to the PARAMETERWORDS fields.
Different SMBs have a different number and interpretation of
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PARAMETERWORDS and BUFFER. All reserved fields in the SMB header must
be zero. All quantities are sent in native Intel format.
o COMMAND is the operation code which this SMB is requesting, or
responding to.
o STATUS.DOSERROR.ERRORCLASS and STATUS.DOSERROR.ERROR are set by the
server and combine to give the error code of any failed server
operation. If the client is capable of receiving 32 bit error
returns, the status is returned in STATUS.NTSTATUS instead. When an
error is returned, the server may choose to return only the header
portion of the response SMB.
o FLAGS and FLAGS2 contain bits which, depending on the negotiated
protocol dialect, indicate various client capabilities.
o PIDHIGH is used in the NTCREATEANDX request SMB
o CONNECTIONLESS. SID, and CONNECTIONLESS.SEQUENCENUMBER are used when
the client to server connection is on a datagram oriented protocol
such as IPX.
o TID identifies the subdirectory, or "tree", on the server which the
client is accessing. SMBs which do not reference a particular tree
should set TID to 0xFFFF
o PID is the caller's process id, and is generated by the client to
uniquely identify a process within the client computer.
o MID is reserved for multiplexing multiple messages on a single
Virtual Circuit (VC). A response message will always contain the
same value as the corresponding request message.
2.5 SMB PROTOCOL DIALECT NEGOTIATION
The first message sent from an SMB client to an SMB server must be one
whose COMMAND field is SMB_COM_NEGOTIATE. The format of this client
request includes an array of NULL terminated strings indicating the
dialects of the SMB protocol which the client supports. The server
compares this list against the list of dialects the server supports and
returns the index of the chosen dialect in the response message.
2.6 Message Transport
Clients and servers can exchange messages over a NETBIOS reliable
connection oriented transport, or a connectionless transport.
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2.6.1 Reliable Connection Oriented Transports
When using a reliable connection oriented transport, the SMB protocol
makes no higher level attempts to ensure sequenced delivery of messages
between the client and server. The transport must have some mechanism
to detect failures of either the client or server node, and to deliver
such an indication to the client or server software so they can clean up
state. When a reliable transport connection from a client terminates,
all work in progress by that client is terminated by the server and all
resources open by that client on the server are closed.
2.6.1.1 Connection Establishment
How the connection gets established depends on how the server name was
resolved to the transport address: with DNS, with an explicit IP
address, or with NETBIOS.
2.6.1.1.1 DNS
When using DNS, the server name is mapped onto an IP address and the
connection is established by using the session establishment protocol as
outlined in RFC 1001 and RFC 1002. The client should initiate the
session setup using a called name which is obtained by taking the first
component of the server name, converting it to upper case, and padding
it up to a length of 16 with banks (hex 20 value).
2.6.1.1.2 Explicit IP Address
The connection is established by using the session establishment
protocol as outlined in RFC 1001 and RFC 1002; the client should use
"*SMBSERVER " as the called name in the session establishment
protocol (since it does not know the server name).
2.6.1.1.3 NETBIOS
When using NETBIOS name resolution, the NETBIOS session establishment
protocol as outlined in RFC 1001 and RFC 1002 must also be used. The
NETBIOS name used for session establishment is the server name converted
to upper case and padded to a length of 16 with blanks (hex 20 value).
Server-side Connection Procedures
The server should register a listen on at least one of the following
names on the network using the NETBIOS name registration services. If
the server wishes to support clients that use NETBIOS name resolution,
it registers a 16 character name that is obtained by padding the server
machine name with additional blanks if required. If the server wishes
to support clients that use DNS name resolution, the name to register is
obtained by taking the first component of the server name and padding it
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up to a length of 16 with blanks, and the 16th character of the name
must be a blank (20 hex). Note: while the local server name and the
registered DNS server name may differ, it usually makes administration
easier to have them the same.
If servers wish to allow access via explicit IP address, they should
register the name "*SMBSERVER " (padded to 16 characters with
blanks) as a local name in NETBIOS. This name must not be defended on
the network.
2.6.1.2 Connection Management
Once a connection is established, the rules for reliable transport
connection dissolution are:
o If a server receives a transport establishment request from a client
with which it is already conversing, the server may terminate all
other transport connections to that client. This is to recover from
the situation where the client was suddenly rebooted and was unable
to cleanly terminate its resource sharing activities with the server.
o A server may drop the transport connection to a client at any time if
the client is generating malformed or illogical requests. However,
wherever possible the server should first return an error code to the
client indicating the cause of the abort.
o If a server gets a hard error on the transport (such as a send
failure) the transport connection to that client may be aborted.
o A server may terminate the transport connection when the client has
no open resources on the server, however, we recommend that the
termination be performed only after some time has passed or if
resources are scarce on the server. This will help performance in
that the transport connection will not need to be reestablished if
activity soon begins anew. Client software is expected to be able to
automatically reconnect to the server if this happens..
2.6.2 Connectionless Transports
The SMB protocol can be run over connectionless transports such as IPX
and UDP/IP. Since connectionless transports do not support reliable
delivery, this has to be implemented in the SMB protocol itself when
utilizing such transports.
Unlike a traditional transport protocol, the connectionless SMB protocol
is asymmetric. Wherever possible, processing overhead has been moved
from the server to the client so that the server can scale to a large
number of clients efficiently. For example, the server does not
initiate retransmission of lost responses. It is entirely up to the
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client to resend the request in the case of lost packets in either
direction.
The SMB header includes two fields specifically designed for use on
connectionless transports. "Sid" is the server's session ID and
"SequenceNumber" is the message sequence number. The Sid value is
generated by the server, and returned to the client in the
NegotiateProtocol response. The client must use this Sid value in all
future SMB exchanges with this server during this resource sharing
session. SequenceNumber is supplied by the client. A valid
SequenceNumber is either zero or one greater than the previous sequence
number sent by the client.
For sequenced commands, the server requires that the sequence numbers
progress in order, S, S+1, S+2, ... The sequence number wraps to one
(1) not zero. The wrap around progression is: 65534, 65535, 1, 2, ...
Out of sequence commands are ignored by the server.
For unsequenced commands (i.e. SequenceNumber is 0) the redirector must
use the Mid field to identify SMB responses. The redirector should take
steps to generate relatively unique values for Mid for each request. In
particular, the client must ensure that it never has two or more
distinct requests outstanding to the server whose SequenceNumbers are 0
and whose Mids are identical.
The client must limit the negotiated buffer size to the maximum MTU of
the connectionless transport. If desired, the client could dynamically
determine the maximum packet size by sending echo SMBs to the server
using various packet sizes and then selecting the largest size which
worked correctly.
For SMB operation over connectionless transports, commands are divided
into two classes: sequenced commands and unsequenced commands. Sequenced
commands are used for operations which cause a state change on the
server that cannot be repeated, and which have relatively few bytes in
the response. For example, file open/close or record locking.
Unsequenced commands are used for operations which can be performed as
many times as necessary with the same result each time or which have
multi-packet responses. For example, reading or writing to a disk file.
The client should must send all commands with a large response size as
unsequenced; such commands include file read and file search.
2.6.2.1 Errors specific to connectionless transport operation
If the response to a sequenced command is too large, the server will
fail the request with a Status.DosError.ErrorClass set to
SMB_ERR_CLASS_SERVER and Status.DosError.Error set to ERRerror. If the
Sid value is incorrect, the server will fail the request with a
Status.DosError.ErrorClass set to SMB_ERR_CLASS_SERVER and
Status.DosError.Error set to SMB_ERR_BAD_SID. If the server has an SMB
in progress which matches either SequenceNumber for sequenced commands
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or Mid for unsequenced commands, it will respond with
Status.DosError.ErrorClass set to SMB_ERR_CLASS_SERVER and
Status.DosError.Error set to SMB_ERR_WORKING.
2.6.2.2 Transaction SMBs
The exceptions to the "large response requires unsequenced" rule are
transaction SMBs. These SMBs are used both to retrieve bulk data from
the server (EG: enumerate shares, etc.) and to change the server's state
(EG: add a new share, change file permissions, etc.) Transaction
requests are also unusual because they can have a multiple part request
and/or a multiple part response. For this reason, transactions are
handled as a set of sequenced commands to the server. Each part of a
request is sent as a sequenced command using the same Mid value and an
increasing Seq value. The server responds to each request piece except
the last one with a response indicating that the server is ready for the
next piece. The last piece is responded to with the first piece of the
result data. The client then sends a transaction secondary SMB with
ParameterDisplacement set to the number of parameter bytes received so
far and DataDisplacement set to the number of data bytes received so far
and ParameterCount, ParameterOffset, DataCount, and DataOffset set to
zero (0). The server responds with the next piece of the transaction
result. The process is repeated until all of the response information
has been received. When the transaction has been completed, the
redirector must send another sequenced command (an echo SMB will do
fine) to the server to allow the server to know that the final piece was
received and that resources allocated to the transaction command may be
released.
The flow is as follows, where (S) is the SequenceNumber, (N) is the
number of request packets to be sent from the client to the server, and
(M) is the number of response packets to be sent by the server to the
client:
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Client <-> Server
======================= === ===========================
SMB(S) Transact ->
<- OK (S) send more data
[ repeat N-1 times:
SMB(S+1) Transact ->
secondary
<- OK (S+1) send more data
SMB(S+N-1)
]
<- OK (S+N-1) transaction
response (1)
[ repeat M-1 times:
SMB(S+N) Transact ->
secondary
<- OK (S+N) transaction
response (2)
SMB(S+N+M-2) Transact ->
secondary
<- OK (S+N+M-2] transaction
response (M)
]
SMB(S+N+M-1) Echo ->
<- OK (S+N+M-1) echoed
In order to allow the server to detect clients which have been powered
off, have crashed, etc., the client must send commands to the server
periodically if it has resources open on the server. If nothing has
been received from a client for awhile, the server will assume that the
client is no longer running and disconnect the client. This includes
closing any files that the client had open at the time and releasing any
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resources being used on behalf of the client. Clients should at least
send an echo SMB to the server every four (4) minutes if there is
nothing else to send. The server will disconnect clients after a
configurable amount of time which cannot be less than five (5) minutes.
(Note: the NT server has a default timeout value of 15 minutes.)
2.7 OPPORTUNISTIC LOCKS
Network performance can be increased if the client can locally buffer
file data. For example, the client does not have to write information
into a file on the server if the client knows that no other process is
accessing the data. Likewise, the client can buffer read-ahead data
from the file if the client knows that no other process is writing the
data.
The mechanism which allows clients to dynamically alter their buffering
strategy in a consistent manner is knows as "opportunistic locks", or
OPLOCKS for short. Versions of the SMB file sharing protocol including
and newer than the LANMAN1.0 dialect support oplocks.
There are three different types of oplocks:
o An EXCLUSIVE oplock allows a client to open a file for exclusive
access and allows the client to perform arbitrary buffering
o A BATCH oplock allows a client to keep a file open on the server even
though the local accessor on the client machine has closed the file.
o A LEVEL II oplock indicates there are multiple readers of a file, and
no writers. Level II oplocks are supported if the negotiated dialect
is NT LM 0.12 or later.
When a client opens a file, it requests the server to grant it a
particular type of oplock on the file. The response from the server
indicates the type of oplock granted to the client. The client uses the
granted oplock type to adjust its buffering policy.
The SMB_COM_LOCKING_ANDX SMB is used to convey oplock break and response
information.
Oplocks are not supported over connectionless transports.
2.7.1 Exclusive Oplocks
If a client is granted an exclusive oplock, it may buffer lock
information, read-ahead data, and write data on the client because the
client knows that it is the only accessor to the file. The basic
protocol is that the redirector on the client opens the file requesting
that an oplock be given to the client. If the file is open by anyone
else, then the client is refused the oplock and no local buffering may
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be performed on the local client. This also means that no readahead may
be performed to the file, unless the redirector knows that it has the
read ahead range locked. If the server grants the exclusive oplock, the
client can perform certain optimizations for the file such as buffering
lock, read, and write data.
The exclusive oplock protocol is:
Client <-> Server
A B
============== =========== === ================================
Open ("foo") ->
<- Open OK. Exclusive oplock
granted.
Open("foo") ->
<- oplock break to A
lock(s) ->
<- lock(s) response(s)
write(s) ->
<- write(s) response(s)
close or done ->
<- open response to B
As can be seen, when client A opens the file, it can request an
exclusive oplock. Provided no one else has the file open on the server,
then the oplock is granted to client A. If, at some point in the
future, another client, such as client B, requests an open to the same
file, then the server must have client A break its oplock. Breaking the
oplock involves client A sending the server any lock or write data that
it has buffered, and then letting the server know that it has
acknowledged that the oplock has been broken. This synchronization
message informs the server that it is now permissible to allow client B
to complete its open.
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Client A must also purge any readahead buffers that it has for the file.
This is not shown in the above diagram since no network traffic is
needed to do this.
2.7.2 Batch Oplocks
Batch oplocks are used where common programs on a client behave in such
a way that causes the amount of network traffic on a wire to go beyond
an acceptable level for the functionality provided by the program.
For example, the command processor executes commands from within a
command procedure by performing the following steps:
o Opening the command procedure.
o Seeking to the "next" line in the file.
o Reading the line from the file.
o Closing the file.
o Executing the command.
This process is repeated for each command executed from the command
procedure file. As is obvious, this type of programming model causes an
inordinate amount of processing of files, thereby creating a lot of
network traffic that could otherwise be curtailed if the program were to
simply open the file, read a line, execute the command, and then read
the next line.
Batch oplocking curtails the amount of network traffic by allowing the
client to skip the extraneous open and close requests. When the command
processor then asks for the next line in the file, the client can either
ask for the next line from the server, or it may have already read the
data from the file as readahead data. In either case, the amount of
network traffic from the client is greatly reduced.
If the server receives either a rename or a delete request for the file
that has a batch oplock, it must inform the client that the oplock is to
be broken. The client can then change to a mode where the file is
repeatedly opened and closed.
The batch oplock protocol is:
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Client <-> Server
A B
=========== ============ ==== ===============================
Open("foo") ->
<- Open OK. Batch oplock granted.
Read ->
<- data
<close>
<open>
<seek>
-> read
<- data
<close>
Open("foo") ->
<- Oplock break to A
Close ->
<- Close OK to A
<- Open OK to B
When client A opens the file, it can request an oplock. Provided no one
else has the file open on the server, then the oplock is granted to
client A. Client A, in this case, keeps the file open for its caller
across multiple open/close operations. Data may be read ahead for the
caller and other optimizations, such as buffering locks, can also be
performed.
When another client requests an open, rename, or delete operation to the
server for the file, however, client A must cleanup its buffered data
and synchronize with the server. Most of the time this involves
actually closing the file, provided that client A's caller actually
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believes that he has closed the file. Once the file is actually closed,
client B's open request can be completed.
2.7.3 Level II Oplocks
Level II oplocks allow multiple clients to have the same file open,
providing that no client is performing write operations to the file.
This is important for many environments because most compatibility mode
opens from down-level clients map to an open request for shared
read/write access to the file. While it makes sense to do this, it also
tends to break oplocks for other clients even though neither client
actually intends to write to the file.
The Level II oplock protocol is:
Client <-> Server
A B
=========== =========== ==== ====================================
Open("foo") ->
<- Open OK. Exclusive oplock granted.
Read ->
<- data
Open("foo") ->
<- Break to Level II oplock to A
lock(s) ->
<- lock(s) response(s)
done ->
<- Open OK. Oplock II oplock granted
to B
This sequence of events is very much like an exclusive oplock. The
basic difference is that the server informs the client that it should
break to a level II lock when no one has been writing the file. That
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is, client A, for example, may have opened the file for a desired access
of READ, and a share access of READ/WRITE. This means, by definition,
that client A will not performed any writes to the file.
When client B opens the file, the server must synchronize with client A
in case client A has any buffered locks. Once it is synchronized,
client B's open request may be completed. Client B, however, is
informed that he has a level II oplock, rather than an exclusive oplock
to the file.
In this case, no client that has the file open with a level II oplock
may buffer any lock information on the local client machine. This
allows the server to guarantee that if any write operation is performed,
it need only notify the level II clients that the lock should be broken
without having to synchronize all of the accessors of the file.
The level II oplock may be BROKEN TO NONE, meaning that some client that
had the file opened has now performed a write operation to the file.
Because no level II client may buffer lock information, the server is in
a consistent state. The writing client, for example, could not have
written to a locked range, by definition. Read ahead data may be
buffered in the client machines, however, thereby cutting down on the
amount of network traffic required to the file. Once the level II
oplock is broken, however, the buffering client must flush its buffers
and degrade to performing all operations on the file across the network.
No oplock break response is expected from a client when the server
breaks a client from LEVEL II to NONE.
2.8 Security Model
Each server makes a set of resources available to clients on the
network. A resource being shared may be a directory tree, named pipe,
printer, etc. So far as clients are concerned, the server has no
storage or service dependencies on any other servers; a client considers
the server to be the sole provider of the file (or other resource) being
accessed.
The SMB protocol requires server authentication of users before file
accesses are allowed, and each server authenticates its own users. A
client system must send authentication information to the server before
the server will allow access to its resources.
The SMB protocol defines two methods which can be selected by the server
for security: share level and user level:
o A share level server makes some directory on a disk device (or other
resource) available. An optional password may be required to gain
access. Thus any user on the network who knows the name of the
server, the name of the resource and the password has access to the
resource. Share level security servers may use different passwords
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for the same shared resource with different passwords allowing
different levels of access.
o A user level server makes some directory on a disk device (or other
resource) available but in addition requires the client to provide a
user name and corresponding user password to gain access. User level
servers are preferred over share level servers for any new server
implementation, since organizations generally find user level servers
easier to administer as employees come and go. User level servers may
use the account name to check access control lists on individual
files, or may have one access control list that applies to all files
in the directory.
When a user level server validates the account name and password
presented by the client, an identifier representing that authenticated
instance of the user is returned to the client in the Uid field of the
response SMB. This Uid must be included in all further requests made on
behalf of the user from that client. A share level server returns no
useful information in the Uid field.
The user level security model was added after the original dialect of
the SMB protocol was issued, and subsequently some clients may not be
capable of sending account name and passwords to the server. A server
in user level security mode communicating with one of these clients will
allow a client to connect to resources even if the client has not sent
account name and password information:
1. If the client's computer name is identical to an account-name known
on the server, and if the password supplied to connect to the shared
resource matches that account's password, an implicit "user logon" will
be performed using those values.
If the above fails, the server may fail the request or assign a default
account name of its choice.
2. The value of Uid in subsequent requests by the client will be ignored
and all access will be validated assuming the account name selected
above.
2.9 Resource Share/Access Example
The following examples illustrate a possible command line user interface
for a server to offer a disk resource, and for a client to connect to
and use that resource.
a) NET SHARE
The NET SHARE command, when executed on the server, specifies a
directory name to be made available to clients on the network. A share
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name must be given, and this name is presented by clients wishing to
access the directory.
Examples:
NET SHARE src=c:\dir1\src "bonzo"
assigns password BONZO to all files within directory C:\DIR1\SRC
and its subdirectories with the share name SRC being the name used
to connect to this resource.
NET SHARE c=c:\ " " RO
NET SHARE work=c:\work "flipper" RW
offers read-only access to everything on the C drive. Offers read-
write access to all files within the C:\WORK directory and its
subdirectories.
The above example is appropriate for servers operating as a SHARE LEVEL
server. A USER LEVEL server would not require the permissions or
password, since the combination of the client's account name and
specific access control lists on files is sufficient to govern access.
b) NET USE
Clients can gain access to one or more offered directories via the NET
USE command. Once the NET USE command is issued the user can access the
files freely without further special requirements.
Examples:
1. NET USE d: \\Server1\src "bonzo"
gains full access to the files and directories on Server1 matching
the offer defined by the netname SRC with the password of BONZO.
The user may now address files on SERVER1 C:\DIR1\SRC by
referencing d:. E.g. "type d:srcfile1.c".
2. NET USE e: \\Server1\c
3. NET USE f: \\Server1\work "flipper"
Now any read request to any file on that node (drive c) is valid
(e.g. "type e:\bin\foo.bat"). Read-write requests only succeed to
files whose pathnames start with f: (e.g. "copy foo f:foo.tmp"
copies foo to Server1 c:\work\foo.tmp).
For USER LEVEL servers, the client would not provide a password with the
NET USE command.
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The client software must remember the drive identifier supplied with the
NET USE request and associate it with the TID value returned by the
server in the SMB header. Subsequent requests using this TID must
include only the pathname relative to the connected subtree as the
server treats the subtree as the root directory (virtual root). When
the user references one of the remote drives, the client software looks
through its list of drives for that node and includes the tree id
associated with this drive in the TID field of each request.
Note that one shares a directory and all files underneath that directory
are then affected. If a particular file is within the range of multiple
shares, connecting to any of the share ranges gains access to the file
with the permissions specified for the offer named in the NET USE. The
server will not check for nested directories with more restrictive
permissions.
2.10 Authentication
An SMB server keeps an encrypted form of a client's password. To gain
authenticated access to server resources, the server sends a challenge
to the client, which the client responds to in a way that proves it
knows the client's password.
Authentication makes use of DES encryption [5] in block mode. We denote
the DES encryption function as E(K,D), which accepts a seven byte key
(K) and an eight byte data block (D) and produces an eight byte
encrypted data block as its value. If the data to be encrypted is
longer than eight bytes, the encryption function is applied to each
block of eight bytes in sequence and the results are appended together.
If the key is longer than seven bytes, the data is first completely
encrypted using the first seven bytes of the key, then the second seven
bytes, etc., appending the results each time. In other words, to
encrypt the 16 byte quantity D0D1 with the 14 byte key K0K1,
E(K0K1,D0D1) = E(K0,D0)E(K0,D1)E(K1,D0)E(K1,D1)
The EncryptionKey field in the SMB_COM_NEGPROT response contains an 8
byte challenge denoted below as "C8", chosen to be unique to prevent
replay attacks; the client responds with a 24 byte response denoted
"P24", and computed as described below. (Note: the name "EncryptionKey"
is historical -- it doesn't actually hold an encryption key.)
Clients send the response to the challenge in the SMB_COM_TREE_CONNECT,
SMB_COM_TREE_CONNECT_ANDX, and/or SMB_COM_SESSION_SETUP_ANDX request
which follows the SMB_COM_NEGPROT message exchange. The server must
validate the response by performing the same computations the client did
to create it, and ensuring the strings match.
If the comparisons fail, the client system may be incapable of
encryption; if so the string may be the user password in clear text.
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The server should try to validating the string as though it were the
unencrypted password.
The SMB field used to store the response depends upon the request:
o Password in SMB_COM_TREE_CONNECT
o Password in SMB_COM_TREE_CONNECT_ANDX
o AccountPassword in SMB_COM_SESSION_SETUP_ANDX
(Note: again, the names are historical, and do not reflect this usage.)
The contents of the response to the challenge depends on the SMB
dialect, as outlined in the following sections:
2.10.1 Pre NT LM 0.12
o The client and server both compute
P16 = E(P14,S8)
and
P24 = E(P21,C8)
where:
o P14 is a 14 byte string containing the user's password in clear text,
upper cased, padded with spaces
o S8 is an eight byte string whose value is available from Microsoft
upon request.
o P21 is a twenty one byte string obtained by appending five null bytes
to the string P16, just computed
o C8 is the value of the challenge sent in the EncryptionKey field in
the SMB_COM_NEGPROT response for this connection.
2.10.2 NT LM 0.12
The client and server both compute
P16 = MD4(U(PN))
and
P24 = E(P21, C8)
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where:
o PN is a string containing the user's password in clear text, case
sensitive, no maximum length
o U(x) of an ASCII string "x" is that string converted to Unicode
o MD4(x) of an octet string "x" is the 16 byte MD4 message digest [6]
of that string
o P21 and C8 are as above.
2.11 DISTRIBUTED FILESYSTEM (DFS) SUPPORT
Protocol dialects of NT LM 0.12 and later support distributed filesystem
operations. The distributed filesystem gives a way for this protocol to
use a single consistent file naming scheme which may span a collection
of different servers and shares. The distributed filesystem model
employed is a referral - based model. This protocol specifies the manner
in which clients receive referrals.
The client can set a flag in the request SMB header indicating that the
client wants the server to resolve this SMB's paths within the Dfs known
to the server. The server attempts to resolve the requested name to a
file contained within the local directory tree indicated by the TID of
the request and proceeds normally. If the request pathname resolves to a
file on a different system, the server returns the following error:
STATUS_DFS_PATH_NOT_COVERED - the server does not support the part
of the Dfs namespace needed to resolved the pathname in the request.
The client should request a referral from this server for further
information.
A client asks for a referral with the TRANS2_DFS_GET_REFERRAL request
containing the Dfs pathname of interest. The response from the server
indicates how the client should proceed.
The method by which the topological knowledge of the Dfs is stored and
maintained by the servers is not specified by this protocol.
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3. SMB Messages And Formats
This section describes the entire set of SMB commands and responses
exchanged between SMB clients and servers. It also details which SMBs
are introduced into the protocol as higher dialect levels are
negotiated.
3.1 SMB HEADER
While each SMB command has specific encodings, there are some fields in
the SMB header which have meaning to all SMBs. These fields and
considerations are described in the following sections.
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3.1.1 Flags field
This field contains 8 individual flags, numbered from least significant
to most significant, and have the following meanings:
Bit Meaning Earliest
Dialect
=== ================================================ ============
0 When set (returned) from the server in the LANMAN1.0
SMB_COM_NEGOTIATE response SMB, this bit
indicates that the server supports the "sub
dialect" consisting of the LockandRead and
WriteandUnlock protocols defined later in this
document.
1 When on (on an SMB request being sent to the
server), the client guarantees that there is a
receive buffer posted such that a send without
acknowledgement can be used by the server to
respond to the client's request.
2 Reserved (must be zero).
3 When on, all pathnames in this SMB must be
treated as caseless. When off, the pathnames LANMAN1.0
are case sensitive.
4 When on (in SMB_COM_SESSION_SETUP_ANDX defined LANMAN1.0
later in this document), all paths sent to the
server by the client are already canonicalized.
This means that file/directory names are in
upper case, are valid characters, . and .. have
been removed, and single backslashes are used as
separators.
5 When on (in SMB_COM_OPEN, SMB_COM_CREATE and LANMAN1.0
SMB_COM_CREATE_NEW), this indicates that the
client is requesting that the file be
"opportunistically" locked if this process is
the only process which has the file open at the
time of the open request. If the server
"grants" this oplock request, then this bit
should remain set in the corresponding response
SMB to indicate to the client that the oplock
request was granted. See the discussion of
"oplock" in the sections defining the
SMB_COM_OPEN_ANDX and SMB_COM_LOCKING_ANDX
protocols later in this document (this bit has
the same function as bit 1 of Flags if the
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SMB_COM_OPEN_ANDX SMB).
6 When on (in core protocols SMB_COM_OPEN_ANDX, LANMAN1.0
SMB_COM_CREATE and SMB_COM_CREATE_NEW), this
indicates that the server should notify the
client on any action which can modify the file
(delete, setattrib, rename, etc.) by another
client. If not set, the server need only notify
the client about another open request by a
different client. See the discussion of
"oplock" in the sections defining the
SMB_COM_OPEN_ANDX and SMB_COM_LOCKING_ANDX SMBs
later in this document (this bit has the same
function as bit 2 of smb_flags of the
SMB_COM_OPEN_ANDX SMB). Bit6 only has meaning
if bit5 is set..
7 When on, this SMB is being sent from the server PC NETWORK
in response to a client request. The Command PROGRAM 1.0
field usually contains the same value in a
protocol request from the client to the server
as in the matching response from the server to
the client. This bit unambiguously
distinguishes the command request from the
command response.
3.1.2 Flags2 Field
This field contains six individual flags, numbered from least
significant bit to most significant bit, which are defined below. Flags
which not defined must be set to zero.
Bit Meaning Earliest
Dialect
=== =============================================== ============
0 If set, the client knows how to handle names
which do not conform to the MS-DOS 8.3 naming
convention.
1 If set, the client is aware of extended
attributes
2 If set, SMB_FLAGS2_IS_LONG_NAME
12 If set, any request pathnames in this SMB NT LM 0.12
should be resolved in the Distributed File
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System
13 If set, indicates that a read will be permitted
if the client does not have read permission but
does have execute permission. This flag is
only useful on a read request.
14 If set, specifies that the returned error code
is a 32 bit error code in Status.NtStatus.
Otherwise the Status.DosError.ErrorClass and
Status.DosError.Error fields contain the DOS-
style error information. When passing NT
status codes is negotiated, this flag should be NT LM 0.12
set for every SMB.
15 If set, any strings in this SMB message are NT LM 0.12
encoded as UNICODE. Otherwise, all strings are
in ASCII.
3.1.3 Tid Field
TID represents an instance of an authenticated connection to a server
resource. TID is returned by the server to the client when the client
successfully connects to a resource, and the client uses TID in
subsequent requests referring to the resource.
If the server is executing in a SHARE LEVEL security mode, TID is the
only thing used to allow access to the shared resource. Thus if the user
is able to perform a successful connection to the server specifying the
appropriate netname and passwd (if any) the resource may be accessed
according to the access rights associated with the shared resource (same
for all who gained access this way).
If however the server is executing in USER LEVEL security mode, access
to the resource is based on the UID (validated on the
SMB_COM_SESSION_SETUP_ANDX request) and the TID is NOT associated with
access control but rather merely defines the resource (such as the
shared directory tree).
In most SMB requests, TID must contain a valid value. Exceptions include
prior to getting a TID established including SMB_COM_NEGOTIATE,
SMB_COM_TREE_CONNECT, SMB_COM_ECHO, and SMB_COM_SESSION_SETUP_ANDX.
0xFFFF should be used for Tid for these situations. The server is
always responsible for enforcing use of a valid TID where appropriate.
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3.1.4 Pid Field
PID uniquely identifies a client process. Clients inform servers of the
creation of a new process by simply introducing a new PID value into the
dialogue for new processes.
In the core protocol, the SMB_COM_PROCESS_EXIT SMB was used to indicate
the catastrophic termination of a process on the client. In the single
tasking DOS system, it was possible for hard errors to occur causing the
destruction of the process with files remaining open. Thus a
SMB_COM_PROCESS_EXIT SMB was sent for this occurrence to allow the
server to close all files opened by that process.
In the LANMAN 1.0 and newer dialects, no SMB_COM_PROCESS_EXIT SMB is
sent. The client operating system must ensure that the appropriate
close and cleanup SMBs will be sent when the last process referencing
the file closes it. From the server's point of view, there is no
concept of FIDs "belonging to" processes. A FID returned by the server
to one process may be used by any other process using the same transport
connection and TID. There is no process creation SMB sent to the
server; it is up to the client to ensure only valid client processes
gain access to FIDs (and TIDs). On SMB_COM_TREE_DISCONNECT (or when the
client and server session is terminated) the server will invalidate any
files opened by any process on that client.
3.1.5 Mid Field
Clients using the LANMAN 1.0 and newer dialects will typically be
multitasked and allow multiple asynchronous input/output requests per
task. Therefore a multiplex ID (MID) is used along with PID to allow
multiplexing the single client and server connection among the client's
multiple processes, threads, and requests per thread.
Regardless of negotiated dialect, the server is responsible for ensuring
that every response contains the same MID and PID values as its request.
The client may then use the MID and PID values for associating requests
and responses and may have up to the negotiated number of requests
outstanding at any time to a particular server.
3.1.6 Status Field
An SMB returns error information to the client in the STATUS field.
Protocol dialects prior to NT LM 0.12 return status to the client using
the combination of STATUS.DOSERROR.ERRORCLASS and STATUS.DOSERROR.ERROR.
Beginning with NT LM 0.12 SMB servers can return 32 bit error
information to clients using STATUS.NTSTATUS if the incoming client SMB
has bit 14 set in the FLAGS2 field of the SMB header. Any valid NT
status code may be returned in this case. The contents of response
parameters is not guaranteed in the case of an error return, and must be
ignored. For write behind activity, a subsequent write or close of the
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file may return the fact that a previous write failed. Normally write
behind failures are limited to hard disk errors and device out of space.
3.1.7 Timeouts
In general, SMBs are not expected to block at the server; they should
return "immediately". But some SMB requests do indicate timeout periods
for the completion of the request on the server. If a server
implementation can not support timeouts, then an error can be returned
just as if a timeout had occurred if the resource is not available
immediately upon request.
3.1.8 Data Buffer (BUFFER) and String Formats
The data portion of SMBs typically contains the data to be read or
written, file paths, or directory paths. The format of the data portion
depends on the message. All fields in the data portion have the same
format. In every case it consists of an identifier byte followed by the
data.
Identifier Description Value
=============== ========================= =====
Data Block See Below 1
Dialect Null terminated String 2
Pathname Null terminated String 3
ASCII Null terminated String 4
Variable block See Below 5
When the identifier indicates a data block or variable block then the
format is a word indicating the length followed by the data.
In all dialects prior to NT LM 0.12, all strings are encoded in ASCII.
If the agreed dialect is NT LM 0.12 or later, Unicode strings may be
exchanged. Unicode strings include file names, resource names, and user
names. This applies to null-terminated strings, length specified
strings and the type-prefixed strings. In all cases where a string is
passed in Unicode format, the Unicode string must be word-aligned with
respect to the beginning of the SMB. Should the string not naturally
fall on a two-byte boundary, a null byte of padding will be inserted,
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and the Unicode string will begin at the next address. In the
description of the SMBs, items that may be encoded in Unicode or ASCII
are labeled as STRING. If the encoding is ASCII, even if the negotiated
string is Unicode, the quantity is labeled as UCHAR.
For type-prefixed Unicode strings, the padding byte is found after the
type byte. The type byte is 4 (indicating SMB_FORMAT_ASCII) independent
of whether the string is ASCII or Unicode. For strings whose start
addresses are found using offsets within the fixed part of the SMB (as
opposed to simply being found at the byte following the preceding
field,) it is guaranteed that the offset will be properly aligned.
Strings that are never passed in Unicode are:
o The protocol strings in the Negotiate SMB request.
o The service name string in the Tree Connect And X SMB.
When Unicode is negotiated, bit 15 should be set in the FLAGS2 field of
every SMB header.
Despite the flexible encoding scheme, no field of a data portion may be
omitted or included out of order. In addition, neither an WORDCOUNT nor
BYTECOUNT of value 0 at the end of a message may be omitted.
3.2 FILE NAMES
File names in the SMB protocol consist of components separated by a
backslash ('\'). Early clients of the SMB protocol required that the
name components adhere to an 8.3 format name. These names consist of
two parts: a basename of no more than 8 characters, and an extension of
no more than 3 characters. The basename and extension are separated by
a '.'. All characters are legal in the basename and extension EXCEPT
the space character (0x20) and:
" . / \[]:+|<>=;,*?
If the client has indicated long name support by setting BIT2 in the
FLAGS2 field of the SMB header, this indicates that the client is not
bound by the 8.3 convention. Specifically this indicates that any SMB
which returns file names to the client may return names which do not
adhere to the 8.3 convention, and have a total length of up to 255
characters. This capability was introduced with the LM1.2X002 protocol
dialect.
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3.3 WILDCARDS
Some SMB requests allow wildcards to be given for the filename. The
wildcard allows a number of files to be operated on as a unit without
having to separately enumerate the files and individually operate on
each one from the client.
If the client is using 8.3 names, each part of the name ( base (8) or
extension (3) ) is treated separately. For long filenames the . in the
name is significant even though there is no longer a restriction on the
size of each of the components.
The ? character is a wild card for a single character. If a filename
part commences with one or more "?"s then exactly that number of
characters will be matched by the wildcards, e.g., "??x" equals "abx"
but not "abcx" or "ax". When a filename part has trailing "?"s then it
matches the specified number of characters or less, e.g., "x??" matches
"xab", "xa" and "x", but not "xabc". If only "?"s are present in the
filename part, then it is handled as for trailing "?"s
The * character matches an entire part of the name, as does an empty
specification for that part. A part consisting of * means that the rest
of the component should be filled with ? and the search should be
performed with this wildcard character. For example, "*.abc" or ".abc"
match any file with an extension of "abc". "*.*", "*" or "null" match
all files in a directory.
If the negotiated dialect is NT LM 0.12 or later, and the client
requires MS-DOS wildcard matching semantics, UNICODE wildcards should
be translated according to the following rules:
Translate the ? literal to >
Translate the . literal to " if it is followed by a ? or a *
Translate the * literal to < if it is followed by a .
The translation can be performed in-place.
3.4 DFS PATHNAMES
A Dfs pathname adheres to the standard described in the FileNames
section. A Dfs enabled client accessing a Dfs share should set the
FLAGS2 bit 12 in all name based SMB Headers indicating to the server
that the enclosed pathname should be resolved in the Distributed File
System namespace. The pathname should always have the full file name,
including the server name and share name. If the server can resolve the
Dfs name to a piece of local storage, the local storage will be
accessed. If the server determines that the Dfs name actually maps to a
different server share, the access to the name will fail with the
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distinguished error STATUS_PATH_NOT_COVERED (SMB Status code
0xC0000257).
On receiving this error, the Dfs enabled client should ask the server
for a REFERRAL (see TRANS2_GET_DFS_REFERRAL). The referral request
should contain the full file name.
The response to the request will contain a list of server and share
names to try, and the part of the request file name that junctions to
the list of server shares. If the ServerType field of the referral is
set to 1 (SMB server), then the client should resubmit the request with
the ORIGINAL file name to one of the server shares in the list, once
again setting the Flags2 bit 12 bit in the SMB. If the ServerType field
is not 1, then the client should strip off the part of the file name
that junctions to the server share before resubmitting the request to
one of servers in the list.
A response to a referral request may elicit a response that does NOT
have the StorageServers bit set. In that case, the client should
resubmit the REFERRAL REQUEST to one of the servers in the list, until
it finally obtains a referral response that has the StorageServers bit
set, at which point the client can resubmit the request SMB to one of
the listed server shares.
If, after getting a referral with the StorageServers bit set and
resubmitting the request to one of the server shares in the list, the
server fails the request with STATUS_PATH_NOT_COVERED, it must be the
case that there is an inconsistency between the view of the Dfs
namespace held by the server granting the referral and the server listed
in that referral. In this case, the client may inform the server
granting the referral of this inconsistency via the
TRANS2_REPORT_DFS_INCONSISTENCY SMB.
3.5 TIME AND DATE ENCODING
When SMB requests or responses encode time values, the following
describes the encoding into 16 bits.
struct {
USHORT Day : 5;
USHORT Month : 4;
USHORT Year : 7;
} SMB_DATE;
The Year field has a range of 0-119, which represents years 1980 - 2099.
The Month is encoded as 1-12, and the day ranges from 1-31.
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struct {
USHORT TwoSeconds : 5;
USHORT Minutes : 6;
USHORT Hours : 5;
} SMB_TIME;
Hours ranges from 0-23, Minutes range from 0-59, and TwoSeconds ranges
from 0-29 representing two second increments within the minute.
typedef struct {
ULONG LowTime;
LONG HighTime;
} TIME;
TIME indicates a signed 64-bit integer representing either an absolute
time or a time interval. Times are specified in units of 100ns. A
positive value expresses an absolute time, where the base time (the 64-
bit integer with value 0) is the beginning of the year 1601 AD in the
Gregorian calendar. A negative value expresses a time interval relative
to some base time, usually the current time.
3.6 ACCESS MODE ENCODING
Various client requests and server responses, such as SMB_COM_OPEN, pass
file access modes encoded into a USHORT. The encoding of these is as
follows:
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1111 11
5432 1098 7654 3210
rWrC rLLL rSSS rAAA
where:
W - Write through mode. No read ahead or write behind allowed on
this file or device. When the response is returned, data is
expected to be on the disk or device.
S - Sharing mode:
0 - Compatibility mode
1 - Deny read/write/execute (exclusive)
2 - Deny write
3 - Deny read/execute
4 - Deny none
A - Access mode
0 - Open for reading
1 - Open for writing
2 - Open for reading and writing
3 - Open for execute
rSSSrAAA = 11111111 (hex FF) indicates FCB open
C - Cache mode
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0 - Normal file
1 - Do not cache this file
L - Locality of reference
0 - Locality of reference is unknown
1 - Mainly sequential access
2 - Mainly random access
3 - Random access with some locality
4 to 7 - Currently undefined
3.7 FILE ATTRIBUTE ENCODING
When SMB messages exchange file attribute information, it is encoded in
16 bits as:
Value Description
======= =====================
0x01 Read only file
0x02 Hidden file
0x04 System file
0x08 Volume
0x10 Directory
0x20 Archive file
others Reserved - must be 0
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3.8 "ANDX" SMB MESSAGES
LANMAN1.0 and later dialects of the SMB protocol allow multiple SMB
requests to be sent in one message to the server. Messages of this type
are called AndX SMBs, and they obey the following rules:
o The embedded command does not repeat the SMB header information.
Rather the next SMB starts at the WORDCOUNT field.
o All multiple (chained) requests must fit within the negotiated
transmit size. For example, if SMB_COM_TREE_CONNECT_ANDX included
OPENandX SMB_COM_OPEN_ANDX which included SMB_COM_WRITE were sent,
they would all have to fit within the negotiated buffer size. This
would limit the size of the write.
o There is one message sent containing the chained requests and there
is one response message to the chained requests. The server may NOT
elect to send separate responses to each of the chained requests.
o All chained responses must fit within the negotiated transmit size.
This limits the maximum value on an embedded SMB_COM_READ for
example. It is the client's responsibility to not request more bytes
than will fit within the multiple response.
o The server will implicitly use the result of the first command in the
"X" command. For example the TID obtained via
SMB_COM_TREE_CONNECT_ANDX would be used in the embedded
SMB_COM_OPEN_ANDX and the FID obtained in the SMB_COM_OPEN_ANDX would
be used in the embedded SMB_COM_READ.
o Each chained request can only reference the same FID and TID as the
other commands in the combined request. The chained requests can be
thought of as performing a single (multi-part) operation on the same
resource.
o The first COMMAND to encounter an error will stop all further
processing of embedded commands. The server will not back out
commands that succeeded. Thus if a chained request contained
SMB_COM_OPEN_ANDX and SMB_COM_READ and the server was able to open
the file successfully but the read encountered an error, the file
would remain open. This is exactly the same as if the requests had
been sent separately.
o If an error occurs while processing chained requests, the last
response (of the chained responses in the buffer) will be the one
which encountered the error. Other unprocessed chained requests will
have been ignored when the server encountered the error and will not
be represented in the chained response. Actually the last valid
ANDXCOMMAND (if any) will represent the SMB on which the error
occurred. If no valid ANDXCOMMAND is present, then the error
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occurred on the first request/response and COMMAND contains the
command which failed. In all cases the error information are
returned in the SMB header at the start of the response buffer.
o Each chained request and response contains the offset (from the start
of the SMB header) to the next chained request/response (in the
ANDXOFFSET field in the various "and X" protocols defined later e.g.
SMB_COM_OPEN_ANDX). This allows building the requests unpacked.
There may be space between the end of the previous request (as
defined by WORDCOUNT and BYTECOUNT) and the start of the next chained
request. This simplifies the building of chained protocol requests.
Note that because the client must know the size of the data being
returned in order to post the correct number of receives (e.g.
SMB_COM_TRANSACTION, SMB_COM_READ_MPX), the data in each response SMB
is expected to be truncated to the maximum number of 512 byte blocks
(sectors) which will fit (starting at a DWORD boundary) in the
negotiated buffer size with the odd bytes remaining (if any) in the
final buffer.
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3.9 SMB MESSAGES
3.9.1 Valid SMB Messages by Negotiated Dialect
The following SMB messages may be exchanged by SMB clients and servers
if the PC NETWORK PROGRAM 1.0 dialect is negotiated:
SMB_COM_CREATE_DIRECTORY SMB_COM_DELETE_DIRECTORY
SMB_COM_OPEN SMB_COM_CREATE
SMB_COM_CLOSE SMB_COM_FLUSH
SMB_COM_DELETE SMB_COM_RENAME
SMB_COM_QUERY_INFORMATION SMB_COM_SET_INFORMATION
SMB_COM_READ SMB_COM_WRITE
SMB_COM_LOCK_BYTE_RANGE SMB_COM_UNLOCK_BYTE_RANGE
SMB_COM_CREATE_TEMPORARY SMB_COM_CREATE_NEW
SMB_COM_CHECK_DIRECTORY SMB_COM_PROCESS_EXIT
SMB_COM_SEEK SMB_COM_TREE_CONNECT
SMB_COM_TREE_DISCONNECT SMB_COM_NEGOTIATE
SMB_COM_QUERY_INFORMATION_DISK SMB_COM_SEARCH
SMB_COM_OPEN_PRINT_FILE SMB_COM_WRITE_PRINT_FILE
SMB_COM_CLOSE_PRINT_FILE SMB_COM_GET_PRINT_QUEUE
If the LANMAN 1.0 dialect is negotiated, all of the messages in the
previous list must be supported. Clients negotiating LANMAN 1.0 and
higher dialects will probably no longer send SMB_COM_PROCESS_EXIT, and
the response format for SMB_COM_NEGOTIATE is modified as well. New
messages introduced with the LANMAN 1.0 dialect are:
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SMB_COM_LOCK_AND_READ SMB_COM_WRITE_AND_UNLOCK
SMB_COM_READ_RAW SMB_COM_READ_MPX
SMB_COM_WRITE_MPX SMB_COM_WRITE_RAW
SMB_COM_WRITE_COMPLETE SMB_COM_WRITE_MPX_SECONDARY
SMB_COM_SET_INFORMATION2 SMB_COM_QUERY_INFORMATION2
SMB_COM_LOCKING_ANDX SMB_COM_TRANSACTION
SMB_COM_TRANSACTION_SECONDARY SMB_COM_IOCTL
SMB_COM_IOCTL_SECONDARY SMB_COM_COPY
SMB_COM_MOVE SMB_COM_ECHO
SMB_COM_WRITE_AND_CLOSE SMB_COM_OPEN_ANDX
SMB_COM_READ_ANDX SMB_COM_WRITE_ANDX
SMB_COM_SESSION_SETUP_ANDX SMB_COM_TREE_CONNECT_ANDX
SMB_COM_FIND SMB_COM_FIND_UNIQUE
SMB_COM_FIND_CLOSE
The LM1.2X002 dialect introduces these new SMBs:
SMB_COM_TRANSACTION2 SMB_COM_TRANSACTION2_SECONDARY
SMB_COM_FIND_CLOSE2 SMB_COM_LOGOFF_ANDX
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NT LM 0.12 dialect introduces:
SMB_COM_NT_TRANSACT SMB_COM_NT_TRANSACT_SECONDARY
SMB_COM_NT_CREATE_ANDX SMB_COM_NT_CANCEL
SMB_COM_NT_RENAME SMB_COM_READ_BULK
SMB_COM_WRITE_BULK SMB_COM_WRITE_BULK_DATA
3.9.2 NEGOTIATE: Negotiate Protocol
Client Request Description
============================ =======================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes; min = 2
struct {
UCHAR BufferFormat; 0x02 -- Dialect
UCHAR DialectName[]; ASCII null-terminated string
} Dialects[];
The Client sends a list of dialects that it can communicate with. The
response is a selection of one of those dialects (numbered 0 through n)
or -1 (hex FFFF) indicating that none of the dialects were acceptable.
The negotiate message is binding on the virtual circuit and must be
sent. One and only one negotiate message may be sent, subsequent
negotiate requests will be rejected with an error response and no action
will be taken.
The protocol does not impose any particular structure to the dialect
strings. Implementers of particular protocols may choose to include,
for example, version numbers in the string.
If the server does not understand any of the dialect strings, or if PC
NETWORK PROGRAM 1.0 is the chosen dialect, the response format is
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Server Response Description
============================ =======================================
UCHAR WordCount; Count of parameter words = 1
USHORT DialectIndex; Index of selected dialect
USHORT ByteCount; Count of data bytes = 0
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If the chosen dialect is greater than core up to and including
LANMAN2.1, the protocol response format is
Server Response Description
============================ =======================================
UCHAR WordCount; Count of parameter words = 13
USHORT DialectIndex; Index of selected dialect
USHORT SecurityMode; Security mode:
bit 0: 0 = share, 1 = user
bit 1: 1 = encrypt passwords
USHORT MaxBufferSize; Max transmit buffer size (>= 1024)
USHORT MaxMpxCount; Max pending multiplexed requests
USHORT MaxNumberVcs; Max VCs between client and server
USHORT RawMode; Raw modes supported:
bit 0: 1 = Read Raw supported
bit 1: 1 = Write Raw supported
ULONG SessionKey; Unique token identifying this session
SMB_TIME ServerTime; Current time at server
SMB_DATE ServerDate; Current date at server
USHORT ServerTimeZone; Current time zone at server
USHORT EncryptionKeyLength; MBZ if this is not LM2.1
USHORT Reserved; MBZ
USHORT ByteCount Count of data bytes
UCHAR EncryptionKey[]; The challenge encryption key
STRING PrimaryDomain[]; The server's primary domain
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MAXBUFFERSIZE is the size of the largest message which the client can
legitimately send to the server
If BIT0 of the FLAGS field is set in the negotiate response, this
indicates the server supports the SMB_COM_LOCK_AND_READ and
SMB_COM_WRITE_AND_UNLOCK client requests.
If the SECURITYMODE field indicates the server is running in USER MODE,
the client must send appropriate SMB_COM_SESSION_SETUP_ANDX requests
before the server will allow the client to access resources. If the
SECURITYMODE fields indicates the client should encrypt passwords, the
client should use the ENCRYPTIONKEY to encrypt transmitted passwords.
Current servers specify an ENCRYPTIONKEYLENGTH of 8.
Clients should submit no more than MAXMPXCOUNT distinct unanswered SMBs
to the server.
MICROSOFT NETWORKS 1.03 clients use a different form of raw reads than
documented here, and servers are better off setting RAWMODE in this
response to 0 for such sessions.
If the negotiated dialect is DOS LANAMN2.1 or LANMAN2.1, then
PRIMARYDOMAIN string should be included in this response.
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If the negotiated dialect is NT LM 0.12, the response format is
Server Response Description
========================== =========================================
UCHAR WordCount; Count of parameter words = 17
USHORT DialectIndex; Index of selected dialect
UCHAR SecurityMode; Security mode:
bit 0: 0 = share, 1 = user
bit 1: 1 = encrypt passwords
USHORT MaxMpxCount; Max pending multiplexed requests
USHORT MaxNumberVcs; Max VCs between client and server
ULONG MaxBufferSize; Max transmit buffer size
ULONG MaxRawSize; Maximum raw buffer size
ULONG SessionKey; Unique token identifying this session
ULONG Capabilities; Server capabilities
ULONG SystemTimeLow; System (UTC) time of the server (low).
ULONG SystemTimeHigh; System (UTC) time of the server (high).
USHORT ServerTimeZone; Time zone of server (min from UTC)
UCHAR EncryptionKeyLength; Length of encryption key.
USHORT ByteCount; Count of data bytes
UCHAR EncryptionKey[]; The challenge encryption key
UCHAR OemDomainName[]; The name of the domain (in OEM chars)
In addition to the definitions above, MAXBUFFERSIZE is the size of the
largest message which the client can legitimately send to the server.
If the client is using a connectionless protocol, MAXBUFFERSIZE must be
set to the smaller of the server's internal buffer size and the amount
of data which can be placed in a response packet.
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MAXRAWSIZE specifies the maximum message size the server can send or
receive for SMB_COM_WRITE_RAW or SMB_COM_READ_RAW
Connectionless clients must set SID to 0 in the SMB request header.
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CAPABILITIES allows the server to tell the client what it supports. The
bit definitions are:
Capability Name Encoding Meaning
==================== ======== =====================================
CAP_RAW_MODE 0x0001 The server supports SMB_COM_READ_RAW
and SMB_COM_WRITE_RAW
CAP_MPX_MODE 0x0002 The server supports SMB_COM_READ_MPX
and SMB_COM_WRITE_MPX
CAP_UNICODE 0x0004 The server supports Unicode strings
CAP_LARGE_FILES 0x0008 The server supports large files with
64 bit offsets
CAP_NT_SMBS 0x0010 The server supports the SMBs
particular to the NT LM 0.12 dialect
CAP_RPC_REMOTE_APIS 0x0020 The sever supports remote API
requests via RPC
CAP_NT_STATUS 0x0040 The server can respond with 32 bit
status codes in Status.NtStatus
CAP_LEVEL_II_OPLOCKS 0x0080 The server supports level 2 oplocks
CAP_LOCK_AND_READ 0x0100 The server supports the
SMB_COM_LOCK_AND_READ SMB
CAP_NT_FIND 0x0200
CAP_DFS 0x1000 This server is DFS aware
CAP_LARGE_READX 0x4000 The server supports SMB_COM_READ_ANDX
requests which exceed the negotiated
buffer size
3.9.3 SESSION_SETUP_ANDX: Session Setup And X
This SMB is used to further "Set up" the session normally just
established via the negotiate protocol.
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One primary function is to perform a "user logon" in the case where the
server is in USER LEVEL security mode. The UID in the SMB header is set
by the client to be the userid desired for the ACCOUNTNAME and validated
by the ACCOUNTPASSWORD.
If the negotiated protocol is prior to NT LM 0.12, the format of
SMB_COM_SESSION_SETUP_ANDX is:
Client Request Description
============================== =====================================
UCHAR WordCount; Count of parameter words = 10
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT MaxBufferSize; Client maximum buffer size
USHORT MaxMpxCount; Actual maximum multiplexed pending
requests
USHORT VcNumber; 0 = first (only), nonzero=additional
VC number
ULONG SessionKey; Session key (valid iff VcNumber != 0)
USHORT PasswordLength; Account password size
ULONG Reserved; Must be 0
USHORT ByteCount; Count of data bytes; min = 0
UCHAR AccountPassword[]; Account Password
STRING AccountName[]; Account Name
STRING PrimaryDomain[]; Client's primary domain
STRING NativeOS[]; Client's native operating system
STRING NativeLanMan[]; Client's native LAN Manager type
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and the response is:
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 3
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Action; Request mode:
bit0 = logged in as GUEST
USHORT ByteCount; Count of data bytes
STRING NativeOS[]; Server's native operating system
STRING NativeLanMan[]; Server's native LAN Manager type
STRING PrimaryDomain[]; Server's primary domain
Because ACCOUNTPASSWORD may be encrypted, it is a variable length field
with the length specified by PASSWORDLENGTH (if password encryption is
not being used, ACCOUNTPASSWORD should be a null terminated ASCII string
with PASSWORDLENGTH set to the string size including the null). The
password is case insensitive.
The server validates the name and password supplied and if valid, it
registers the user identifier on this session as representing the
specified ACCOUNTNAME. The UID field in the SMB header will then be
used to validate access on subsequent SMB requests. The SMB requests
where permission checks are required are those which refer to a
symbolically named resource such as SMB_COM_OPEN, SMB_COM_RENAME,
SMB_COM_DELETE, etc.. The value of the UID is relative to a specific
client/server session so it is possible to have the same UID value
represent two different users on two different sessions at the server.
Multiple session setup commands may be sent to register additional users
on this session. If the server receives an additional
SMB_COM_SESSION_SETUP_ANDX, only the UID, ACCOUNTNAME and
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ACCOUNTPASSWORD fields need contain valid values (the server will ignore
the other fields).
The client writes the name of its domain in PRIMARYDOMAIN if it knows
what the domain name is. If the domain name is unknown, the client
either encodes it as a NULL string, or as a question mark.
If the server is in "share level security mode", the account name and
passwd should be ignored by the server.
If BIT0 of ACTION is set, this informs the client that although the
server did not recognize the ACCOUNTNAME, it logged the user in as a
guest. This is optional behavior by the server, and in any case one
would ordinarily expect guest privileges to limited.
Another function of the Session Set Up protocol is to inform the server
of the maximum values which will be utilized by this client. Here
MAXBUFFERSIZE is the maximum message size which the client can receive.
Thus although the server may support 16k buffers (as returned in the
SMB_COM_NEGOTIATE response), if the client only has 4k buffers, the
value of MAXBUFFERSIZE here would be 4096. The minimum allowable value
for MAXBUFFERSIZE is 1024. The SMB_COM_NEGOTIATE response includes the
server buffer size supported. Thus this is the maximum SMB message size
which the client can send to the server. This size may be larger than
the size returned to the server from the client via the
SMB_COM_SESSION_SETUP_AND X protocol which is the maximum SMB message
size which the server may send to the client. Thus if the server's
buffer size were 4k and the client's buffer size were only 2K, the
client could send up to 4k (standard) write requests but must only
request up to 2k for (standard) read requests.
The field, MAXMPXCOUNT informs the server of the maximum number of
requests which the client will have outstanding to the server
simultaneously.
The VCNUMBER field specifies whether the client wants this to be the
first VC or an additional VC.
The values for MAXBUFFERSIZE, MAXMPXCOUNT, and VCNUMBER must be less
than or equal to the maximum values supported by the server as returned
in the SMB_COM_NEGOTIATE response.
If the server gets a SMB_COM_SESSION_SETUP_ANDX request with VCNUMBER of
0 and other VCs are still connected to that client, they will be aborted
thus freeing any resources held by the server. This condition could
occur if the client was rebooted and reconnected to the server before
the transport level had informed the server of the previous VC
termination.
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If the negotiated SMB dialect is NT LM 0.12 or later, the format of the
response SMB is unchanged, but the request is:
Client Request Description
============================== =====================================
UCHAR WordCount; Count of parameter words = 13
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT MaxBufferSize; Client's maximum buffer size
USHORT MaxMpxCount; Actual maximum multiplexed pending
requests
USHORT VcNumber; 0 = first (only), nonzero=additional
VC number
ULONG SessionKey; Session key (valid iff VcNumber != 0)
USHORT Account password size, ANSI
CaseInsensitivePasswordLength;
USHORT Account password size, Unicode
CaseSensitivePasswordLength;
ULONG Reserved; must be 0
ULONG Capabilities; Client capabilities
USHORT ByteCount; Count of data bytes; min = 0
UCHAR Account Password, ANSI
CaseInsensitivePassword[];
UCHAR CaseSensitivePassword[]; Account Password, Unicode
STRING AccountName[]; Account Name, Unicode
STRING PrimaryDomain[]; Client's primary domain, Unicode
STRING NativeOS[]; Client's native operating system,
Unicode
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STRING NativeLanMan[]; Client's native LAN Manager type,
Unicode
The client expresses its capabilities to the server encoded in the
CAPABILITIES field:
Capability Name Encoding Description
======================== ========= ================================
CAP_UNICODE 0x0004 The client can use UNICODE
strings
CAP_LARGE_FILES 0x0008 The client can deal with files
having 64 bit offsets
CAP_NT_SMBS 0x0010 The client understands the SMBs
introduced with the NT LM 0.12
dialect. Implies CAP_NT_FIND.
CAP_NT_FIND 0x0200
CAP_NT_STATUS 0x0040 The client can receive 32 bit
errors encoded in
STATUS.NTSTATUS
CAP_LEVEL_II_OPLOCKS 0x0080 The client understands Level II
oplocks
The entire message sent and received including the optional ANDX SMB
must fit in the negotiated maximum transfer size. The following are the
only valid SMB commands for ANDXCOMMAND for SMB_COM_SESSION_SETUP_ANDX
SMB_COM_TREE_CONNECT_ANDX SMB_COM_OPEN
SMB_COM_OPEN_ANDX SMB_COM_CREATE
SMB_COM_CREATE_NEW SMB_COM_CREATE_DIRECTORY
SMB_COM_DELETE SMB_COM_DELETE_DIRECTORY
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SMB_COM_FIND SMB_COM_FIND_UNIQUE
SMB_COM_COPY SMB_COM_RENAME
SMB_COM_NT_RENAME SMB_COM_CHECK_DIRECTORY
SMB_COM_QUERY_INFORMATION SMB_COM_SET_INFORMATION
SMB_COM_NO_ANDX_COMMAND SMB_COM_OPEN_PRINT_FILE
SMB_COM_GET_PRINT_QUEUE SMB_COM_TRANSACTION
3.9.4 LOGOFF_ANDX: User Logoff And X
This SMB is the inverse of SMB_COM_SESSION_SETUP_ANDX.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT ByteCount; Count of data bytes = 0
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
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USHORT AndXOffset; Offset to next command WordCount
USHORT ByteCount; Count of data bytes = 0
The user represented by UID in the SMB header is logged off. The server
closes all files currently open by this user, and invalidates any
outstanding requests with this UID.
SMB_COM_SESSION_SETUP_ANDX is the only valid ANDXCOMMAND. for this SMB.
3.9.5 TREE_CONNECT: Tree Connect
When a client connects to a server resource, an SMB_COM_TREE_CONNECT
message is generated to the server.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes; min = 4
UCHAR BufferFormat1; 0x04
STRING Path[]; Server name and share name
UCHAR BufferFormat2; 0x04
STRING Password[]; Password
UCHAR BufferFormat3; 0x04
STRING Service[]; Service name
The serving machine verifies the combination and returns an error code
or an identifier. The full name is included in this request message and
the identifier identifying the connection is returned in the TID field
of the SMB header. The TID field in the client request is ignored. The
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meaning of this identifier (TID) is server specific; the client must not
associate any specific meaning to it.
If the negotiated dialect is prior to LANMAN1.0 and the client has not
sent a successful
SMB_COM_SESSION_SETUP_ANDX request when the tree connect arrives, a user
level server must nevertheless validate the client's credentials as
discussed earlier in this document. If the negotiated dialect is
LANMAN1.0 and later, then it is a protocol violation for the client to
send this message prior to a successful SMB_COM_SESSION_SETUP_ANDX.
Having received an SMB_COM_SESSION_SETUP_AND_X, the server ignores
PASSWORD.
PATH follows UNC style syntax, that is to say it is encoded as
\\server\share and it indicates the name of the resource the client
wishes to connect to.
If the server is paused, administrative privilege is required to connect
to any share; if the server is not paused, admin privilege is required
only for administrative shares (C$, etc.). Of course, the server can
enforce whatever policy it desires to govern share access. Such
policies may include valid times of day, software usage license limits,
number of simultaneous server users or share users, etc.
The Service component indicates the type of resource the client intends
to access. Valid values are:
Service Description Earliest Dialect Allowed
======== ======================== ================================
A: disk share PC NETWORK PROGRAM 1.0
LPT1: printer PC NETWORK PROGRAM 1.0
IPC named pipe MICROSOFT NETWORKS 3.0
COMM communications device MICROSOFT NETWORKS 3.0
????? any type of device MICROSOFT NETWORKS 3.0
The SMB server responds with:
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Server Response Description
================================ =================================
UCHAR WordCount; Count of parameter words = 2
USHORT MaxBufferSize; Max size message the server handles
USHORT Tid; Tree ID
USHORT ByteCount; Count of data bytes = 0
If the negotiated dialect is MICROSOFT NETWORKS 1.03 or earlier,
MaxBufferSize in the response message indicates the maximum size message
that the server can handle. The client should not generate messages,
nor expect to receive responses, larger than this. This must be
constant for a given server. For newer dialects, this field is ignored.
TID should be included in any future SMBs referencing this tree
connection.
3.9.6 TREE_CONNECT_ANDX: Tree Connect And X
Client Request Description
================================= =================================
UCHAR WordCount; Count of parameter words = 4
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Flags; Additional information
bit 0 set = disconnect Tid
USHORT PasswordLength; Length of Password[]
USHORT ByteCount; Count of data bytes; min = 3
UCHAR Password[]; Password
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STRING Path[]; Server name and share name
STRING Service[]; Service name
This message generally functions just as SMB_COM_TREE_CONNECT, except it
allows an AndXCommand to follow. Because PASSWORD may be encrypted, it
is a variable length field with the length specified by PASSWORDLENGTH.
If password encryption is not being used, PASSWORD should be a null
terminated ASCII string with PASSWORDLENGTH set to the string size
including the terminating null.
SERVICE is as described for SMB_COM_TREE_CONNECT.
If BIT0 of FLAGS is set, the tree connection to TID in the SMB header
should be disconnected. If this tree disconnect fails, the error should
be ignored.
If the negotiated dialect is earlier than DOS LANMAN2.1, the response to
this SMB is:
Server Response Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 2
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT ByteCount; Count of data bytes; min = 3
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If the negotiated is DOS LANMAN2.1 or later, the response to this SMB
is:
Server Response Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 3
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT OptionalSupport; Optional support bits
USHORT ByteCount; Count of data bytes; min = 3
UCHAR Service[]; Service type connected to. Always
ANSII
STRING NativeFileSystem[]; Native file system for this tree
NATIVEFILESYSTEM is the name of the filesystem; values to be expected
include FAT, NTFS, etc.
OPTIONALSUPPORT bits has the encoding:
Name Encoding Description
============================= ========= ==========================
SMB_SUPPORT_SEARCH_BITS 0x0001
SMB_SHARE_IS_IN_DFS 0x0002
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Some servers negotiate DOS LANMAN2.1 or later and still send the
"downlevel" (i.e. wordcount==2) response. Valid AndX following commands
are
SMB_COM_OPEN SMB_COM_OPEN_ANDX
SMB_COM_CREATE SMB_COM_CREATE_NEW
SMB_COM_CREATE_DIRECTORY SMB_COM_DELETE
SMB_COM_DELETE_DIRECTORY SMB_COM_FIND
SMB_COM_FIND_UNIQUE SMB_COM_COPY
SMB_COM_RENAME SMB_COM_NT_RENAME
SMB_COM_CHECK_DIRECTORY SMB_COM_QUERY_INFORMATION
SMB_COM_SET_INFORMATION SMB_COM_GET_PRINT_QUEUE
SMB_COM_OPEN_PRINT_FILE SMB_COM_NO_ANDX_COMMAND
SMB_COM_TRANSACTION
3.9.7 TREE_DISCONNECT: Tree Disconnect
This message informs the server that the client no longer wishes to
access the resource connected to with a prior SMB_COM_TREE_CONNECT or
SMB_COM_TREE_CONNECT_ANDX.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
The resource sharing connection identified by TID in the SMB header is
logically disconnected from the server. TID is invalidated; it will not
be recognized if used by the client for subsequent requests. All locks,
open files, etc. created on behalf of TID are released.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.8 CREATE_DIRECTORY: Create Directory
The create directory message is sent to create a new directory. The
appropriate TID and additional pathname are passed. The directory must
not exist for it to be created.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING DirectoryName[]; Directory name
Servers require clients to have at least CREATE permission for the
subtree containing the directory in order to create a new directory.
The creator's access rights to the new directory are be determined by
local policy on the server.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
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3.9.9 DELETE_DIRECTORY: Delete Directory
The delete directory message is sent to delete an empty directory. The
appropriate TID and additional pathname are passed. The directory must
be empty for it to be deleted.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING DirectoryName[]; Directory name
The directory to be deleted cannot be the root of the share specified by
TID.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.10 CHECK_DIRECTORY: Check Directory
This SMB is used to verify that a path exists and is a directory. No
error is returned if the given path exists and the client has read
access to it. Client machines which maintain a concept of a "working
directory" will find this useful to verify the validity of a "change
working directory" command. Note that the servers do NOT have a concept
of working directory for a particular client. The client must always
supply full pathnames relative to the TID in the SMB header.
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Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING DirectoryPath[]; Directory path
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
DOS clients, in particular, depend on the SMB_ERR_BAD_PATH return code
if the directory is not found.
3.9.11 OPEN: Open File
This message is sent to obtain a file handle for a data file. This
returned FID is used in subsequent client requests such as read, write,
close, etc.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
USHORT DesiredAccess; Mode - read/write/share
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USHORT SearchAttributes;
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING FileName[]; File name
FILENAME is the fully qualified file name, relative to the root of the
share specified in the TID field of the SMB header. If TID in the SMB
header refers to a print share, this SMB creates a new file which will
be spooled to the printer when closed. In this case, FILENAME is
ignored.
SEARCHATTRIBUTES specifies the type of file desired. The encoding is
described in the "File Attribute Encoding" section.
DESIREDACCESS controls the mode under which the file is opened, and the
file will be opened only if the client has the appropriate permissions.
The encoding of DESIREDACCESS is discussed in the section entitled
"Access Mode Encoding".
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 7
USHORT Fid; File handle
USHORT FileAttributes; Attributes of opened file
SMB_DATE LastWriteTime; Time file was last written
SMB_TIME LastWriteDate; Date file was last written
ULONG DataSize; File size
USHORT GrantedAccess; Access allowed
USHORT ByteCount; Count of data bytes = 0
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FID is the handle value which should be used for subsequent file
operations.
FILEATTRIBUTES specifies the type of file obtained. The encoding is
described in the "File Attribute Encoding" section.
GRANTEDACCESS indicates the access permissions actually allowed, and may
have one of the following values:
0 read-only
1 write-only
2 read/write
File Handles (FIDs) are scoped per client. A PID may reference any FID
established by itself or any other PID on the client (so far as the
server is concerned). The actual accesses allowed through the FID
depends on the open and deny modes specified when the file was opened
(see below).
The MS-DOS compatibility mode of file open provides exclusion at the
client level. A file open in compatibility mode may be opened (also in
compatibility mode) any number of times for any combination of reading
and writing (subject to the user's permissions) by any PID on the same
client. If the first client has the file open for writing, then the
file may not be opened in any way by any other client. If the first
client has the file open only for reading, then other clients may open
the file, in compatibility mode, for reading.. The above
notwithstanding, if the filename has an extension of .EXE, .DLL, .SYM,
or .COM other clients are permitted to open the file regardless of
read/write open modes of other compatibility mode opens. However, once
multiple clients have the file open for reading, no client is permitted
to open the file for writing and no other client may open the file in
any mode other than compatibility mode
The other file exclusion modes (Deny read/write, Deny write, Deny read,
Deny none) provide exclusion at the file level. A file opened in any
"Deny" mode may be opened again only for the accesses allowed by the
Deny mode (subject to the user's permissions). This is true regardless
of the identity of the second opener -a different client, a PID from the
same client, or the PID that already has the file open. For example, if
a file is open in "Deny write" mode a second open may only obtain read
permission to the file.
Although FIDs are available to all PIDs on a client, PIDs other than the
owner may not have the full access rights specified in the open mode by
the FID's creator. If the open creating the FID specified a deny mode,
then any PID using the FID, other than the creating PID, will have only
those access rights determined by "anding" the open mode rights and the
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deny mode rights, i.e., the deny mode is checked on all file accesses.
For example, if a file is opened for Read/Write in Deny write mode, then
other clients may only read the file and cannot write; if a file is
opened for Read in Deny read mode, then the other clients can neither
read nor write the file.
3.9.12 CREATE: Create File
This message is sent to create a new data file or truncate an existing
data file to length zero, and open the file. The handle returned can be
used in subsequent read, write, lock, unlock and close messages.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 3
USHORT FileAttributes; New file attributes
SMB_TIME CreationTime; Time file was created
SMB_DATE CreationDate; Date file was created
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING FileName[]; File name
FILENAME is the fully qualified name of the file relative to TID.
FILEATTRIBUTES are encoded as described in the "File Attribute Encoding"
section.
Server support of the CREATIONTIME and CREATIONDATE fields is optional.
Encoding of these fields is discussed in the "Time And Date Encoding"
section.
Server Response Description
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================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes = 0
Clients must have write permission on the file's parent directory in
order to create a new file, or write permission on the file itself in
order to truncate it. The access permissions granted on a created file
will be read/write permission for the creator. Access permissions for
truncated files are not modified. The newly created or truncated file
is opened in read/write/compatibility mode.
3.9.13 CLOSE: Close File
The close message is sent to invalidate a file handle for the requesting
process. All locks or other resources held by the requesting process on
the file should be released by the server. The requesting process can
no longer use FID for further file access requests.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 3
USHORT Fid; File handle
SMB_TIME LastWriteTime Time of last write
SMB_DATE LastWriteDate; Date of last write
USHORT ByteCount; Count of data bytes = 0
If LASTWRITETIME and LASTWRITEDATE are 0, the server should allow its
local operating system to set the file's times. Otherwise, the server
should set the time to the values requested. Failure to set the times,
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even if requested by the client in the request message, should not
result in an error response from the server.
If FID refers to a print spool file, the file should be spooled to the
printer at this time.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.14 FLUSH: Flush File
The flush SMB is sent to ensure all data and allocation information for
the corresponding file has been written to stable storage. When the FID
has a value -1 (hex FFFF) the server performs a flush for all file
handles associated with the client and PID. The response is not sent
until the writes are complete.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes = 0
This client request is probably expensive to perform at the server,
since the server's operating system is generally scheduling disk writes
is a way which is optimal for the system's read and write activity
integrated over the entire population of clients. This message from a
client "interferes" with the server's ability to optimally schedule the
disk activity; clients are discouraged from overuse of this SMB request.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.15 DELETE: Delete File
The delete file message is sent to delete a data file. The appropriate
TID and additional pathname are passed. Read only files may not be
deleted, the read-only attribute must be reset prior to file deletion.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT SearchAttributes;
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING FileName[]; File name
Multiple files may be deleted in response to a single request as
SMB_COM_DELETE supports wildcards
SEARCHATTRIBUTES indicates the attributes that the target file(s) must
have. If the attribute is zero then only normal files are deleted. If
the system file or hidden attributes are specified then the delete is
inclusive -both the specified type(s) of files and normal files are
deleted. Attributes are described in the "Attribute Encoding" section
of this document.
If BIT0 of the FLAGS2 field of the SMB header is set, a pattern is
passed in, and the file has a long name, then the passed pattern much
match the long file name for the delete to succeed. If BIT0 is clear, a
pattern is passed in, and the file has a long name, then the passed
pattern must match the file's short name for the deletion to succeed.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.16 RENAME: Rename File
The rename file message is sent to change the name of a file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT SearchAttributes; Target file attributes
USHORT ByteCount; Count of data bytes; min = 4
UCHAR BufferFormat1; 0x04
STRING OldFileName[]; Old file name
UCHAR BufferFormat2; 0x04
STRING NewFileName[]; New file name
Files OLDFILENAME must exist and NEWFILENAME must not. Both pathnames
must be relative to the TID specified in the request. Open files may be
renamed.
Multiple files may be renamed in response to a single request as Rename
File supports wildcards in the file name (last component of the
pathname).
SEARCHATTRIBUTES indicates the attributes that the target file(s) must
have. If SEARCHATTRIBUTES is zero then only normal files are renamed.
If the system file or hidden attributes are specified then the rename is
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inclusive -both the specified type(s) of files and normal files are
renamed. The encoding of SEARCHATTRIBUTES is described in the
"Attribute Encoding" section of this document.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
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3.9.17 QUERY_INFORMATION: Get File Attributes
This request is sent to obtain information about a file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING FileName[]; File name
FILENAME is the fully qualified name of the file relative to the TID in
the header.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 10
USHORT FileAttributes;
SMB_TIME LastWriteTime; Time of last write
SMB_DATE LastWriteDate; Date of last write
ULONG FileSize; File size
USHORT Reserved [5]; Reserved - client should ignore
USHORT ByteCount; Count of data bytes = 0
FILEATTRIBUTES are as described in the "Attributes Encoding" section of
this document.
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Note that FILESIZE is limited to 32 bits, this request is inappropriate
for files whose size is too large.
3.9.18 SET_INFORMATION: Set File Attributes
This message is sent to change the information about a file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 8
USHORT FileAttributes; Attributes of the file
SMB_TIME LastWriteTime; Time of last write
SMB_DATE LastWriteDate; Date of last write
USHORT Reserved [5]; Reserved (must be 0)
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING FileName[]; File name
FILENAME is the fully qualified name of the file relative to the TID.
Support of all parameters is optional. A server which does not
implement one of the parameters will ignore that field. If the
LASTWRITETIME and LASTWRITEDATE fields contain zero then the file's time
is not changed.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.19 READ: Read File
The read message is sent to read bytes of a resource indicated by FID in
the SMB header.
Client Request Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 5
USHORT Fid; File handle
USHORT Count; Count of bytes being requested
ULONG Offset; Offset in file of first byte to read
USHORT Remaining; Estimate of bytes to read if nonzero
USHORT ByteCount; Count of data bytes = 0
COUNT is used to specify the requested number of bytes.
OFFSET specifies the offset in the file of the first byte to be read.
Note that this offset is limited to 32 bits, so this client request is
inappropriate for files having 64 bit offsets.
REMAINING is advisory. If the value is not zero, then it is taken as an
estimate of the total number of bytes that will be read, including those
read by this request. This additional information may be used by the
server to optimize buffer allocation or read-ahead.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 5
USHORT Count; Count of bytes actually returned
USHORT Reserved [4]; Reserved (must be 0)
USHORT ByteCount; Count of data bytes
UCHAR BufferFormat; 0x01 -- Data block
USHORT DataLength; Length of data
BYTECOUNT is the number of bytes actually being returned. If FID refers
to a disk file, BYTECOUNT may be less than the count requested only if a
read specifies bytes beyond the current file size. In this case only
the bytes that exist are returned. A read completely beyond the end of
file results in a response of length zero. This is the only
circumstance when a zero length response is generated. A count returned
which is less than the count requested is the end of file indicator.
If a Read requests more data than can be placed in a message of the
maximum-xmit-size for the TID specified, the server will abort the
connection to the client.
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3.9.20 WRITE: Write Bytes
The write message is sent to write bytes into the resource indicated by
FID in the SMB header.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 5
USHORT Fid; File handle
USHORT Count; Number of bytes to be written
ULONG Offset; Offset in file to begin write
USHORT Remaining; Bytes remaining to satisfy
request
USHORT ByteCount; Count of data bytes
UCHAR BufferFormat; 0x01 -- Data block
USHORT DataLength; Length of data
UCHAR Data[ Count ]; The data to write
COUNT specifies the number of bytes to be written. OFFSET is the offset
in the file of the first byte to be written. Since offset is 32 bits,
this request is inappropriate for general use in a very large file.
REMAINING is advisory: if the value is not zero, then it is taken as an
estimate of the number of bytes that will be written -including those
written by this request. This additional information may be used by the
server to optimize cache behavior.
When FID represents a disk file and the request specifies a byte range
beyond the current end of file, the file will be extended. Any bytes
between the previous end of file and the requested offset are
initialized to 0. When a write specifies a length of zero, the file is
truncated (or extended) to the length specified by the offset.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Count of bytes actually written
USHORT ByteCount; Count of data bytes = 0
COUNT in the response indicates the actual number of bytes written, and
for successful writes will always equal the count in the request
message. If the number of bytes written differs from the number
requested and no error is indicated, then the server has no resources
available with which to satisfy the complete write.
If a Write sends a message of length greater than the MAXBUFFERSIZE for
the TID specified, the server may abort the connection to the client.
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3.9.21 LOCK_BYTE_RANGE: Lock Bytes
The lock record message is sent to lock the given byte range. More than
one non-overlapping byte range may be locked in a given file. Locks
prevent attempts to lock, read or write the locked portion of the file
by other clients or PIDs. Overlapping locks are not allowed. OFFSETs
beyond the current end of file may be locked. Such locks will not cause
allocation of file space.
Since OFFSET is a 32 bit quantity, this request is inappropriate for
general locking within a very large file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 5
USHORT Fid; File handle
ULONG Count; Count of bytes to lock
ULONG Offset; Offset from start of file
USHORT ByteCount; Count of data bytes = 0
Locks may only be unlocked by the PID that performed the lock.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
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This client request does not wait for the lock to be granted. If the
lock can not be immediately granted (within 200-300 ms), the server
should return failure to the client
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3.9.22 UNLOCK_BYTE_RANGE: Unlock Bytes
This message is sent to unlock the given byte range. OFFSET, COUNT, and
PID must be identical to that specified in a prior successful lock. If
an unlock references an address range that is not locked, no error is
generated.
Since OFFSET is a 32 bit quantity, this request is inappropriate for
general locking within a very large file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 5
USHORT Fid; File handle
ULONG Count; Count of bytes to unlock
ULONG Offset; Offset from start of file
USHORT ByteCount; Count of data bytes = 0
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
3.9.23 CREATE_TEMPORARY: Create Temporary File
The server creates a data file in DIRECTORY relative to TID in the SMB
header and assigns a unique name to it.
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Client Request Server Response
================================== =================================
UCHAR WordCount; Count of parameter words = 3
USHORT reserved; Ignored by the server
SMB_TIME CreationTime; New file's time stamp
SMB_DATE CreationDate; New file's date stamp
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING DirectoryName[]; Directory name
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING Filename[]; File name
FID is the returned handle for future file access.
FILENAME is the name of the file which was created within the requested
DIRECTORY. It is opened in compatibility mode with read/write access
for the client.
Support of CREATIONTIME and CREATIONDATE by the server is optional.
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3.9.24 CREATE_NEW: Create File
This message is sent to create a new data file or truncate an existing
data file to length zero, and open the file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 3
USHORT FileAttributes; New file attributes
SMB_TIME CreationTime; Time of created file
SMB_DATE CreationDate; Date for created file
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING FileName[]; File name
FILEATTRIBUTES specify the attributes of the newly created file, their
encoding is described in the "Attribute Encoding" section of this
document.
CREATIONTIME and CREATIONDATE are the timestamp the file should be
given, server support for these is optional.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes = 0
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The returned FID can be used in subsequent FID-related messages.
The access permissions granted on a created file are read/write
permission for the creator. Access permissions for truncated files are
not modified. The newly created or truncated file is opened in
read/write/compatibility mode.
3.9.25 PROCESS_EXIT: Process Exit
This command informs the server that a client process has terminated.
The server must close all files opened by PID in the SMB header. This
must automatically release all locks the process holds.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
This SMB should not generate any errors from the server, unless the
server is a USER MODE server and UID in the SMB header is invalid.
Clients are not required to send this SMB, they can do all cleanup
necessary by sending close SMBs to the server to release resources. In
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fact, clients who have negotiated LANMAN 1.0 and later probably do not
send this message at all.
3.9.26 SEEK: Seek in File
The seek message is sent to set the current file pointer for FID.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 4
USHORT Fid; File handle
USHORT Mode; Seek mode:
0 = from start of file
1 = from current position
2 = from end of file
LONG Offset; Relative offset
USHORT ByteCount; Count of data bytes = 0
The starting point of the seek is set by MODE:
0 seek from start of file
1 seek from current file pointer
2 seek from end of file
The "current position" reflects the offset plus data length specified in
the previous read, write or seek request, and the pointer set by this
command will be replaced by the offset specified in the next read, write
or seek command.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
ULONG Offset; Offset from start of file
USHORT ByteCount; Count of data bytes = 0
The response returns the new file pointer in OFFSET which is expressed
as the offset from the start of the file, and may be beyond the current
end of file. An attempt to seek to before the start of file sets the
current file pointer to start of the file.
This request should generally only be issued by clients wishing to find
the size of a file, since all read and write requests include the read
or write file position as part of the SMB. This request is
inappropriate for very large files, as the offsets specified are only
32 bits. A seek which results in an Offset which can not be expressed
in 32 bits returns the least significant .
3.9.27 SMB_QUERY_INFORMATION_DISK: Get Disk Attributes
This command is used to determine the capacity and remaining free space
on the drive hosting the directory structure indicated by TID in the SMB
header.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
Server Response Description
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================================== =================================
UCHAR WordCount; Count of parameter words = 5
USHORT TotalUnits; Total allocation units per server
USHORT BlocksPerUnit; Blocks per allocation unit
USHORT BlockSize; Block size (in bytes)
USHORT FreeUnits; Number of free units
USHORT Reserved; Reserved (client should ignore)
USHORT ByteCount; Count of data bytes = 0
The blocking/allocation units used in this response may be independent
of the actual physical or logical blocking/allocation algorithm(s) used
internally by the server. However, they must accurately reflect the
amount of space on the server.
This SMB only returns 16 bits of information for each field, which may
not be large enough for some disk systems. In particular TOTALUNITS is
commonly > 64K. Fortunately, it turns out the all the client cares
about is the total disk size, in bytes, and the free space, in bytes.
So, it is reasonable for a server to adjust the relative values of
BLOCKSPERUNIT and BLOCKSIZE to accommodate. If after all adjustment,
the numbers are still too high, the largest possible values for
TotalUnit or FreeUnits (i.e. 0xFFFF) should be returned.
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3.9.28 SEARCH: Search Directory
This command is used to search directories.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
USHORT MaxCount; Number of dir. entries to return
USHORT SearchAttributes;
USHORT ByteCount; Count of data bytes; min = 5
UCHAR BufferFormat1; 0x04 -- ASCII
UCHAR FileName[]; File name, may be null
UCHAR BufferFormat2; 0x05 -- Variable block
USHORT ResumeKeyLength; Length of resume key, may be 0
UCHAR ResumeKey[]; Resume key
FILENAME specifies the file to be sought. SEARCHATTRIBUTES indicates
the attributes that the file must have, and is described in the "File
Attribute Encoding" section of this document. If SEARCHATTRIBUTES is
zero then only normal files are returned. If the system file, hidden or
directory attributes are specified then the search is inclusive-both the
specified type(s) of files and normal files are returned. If the volume
label attribute is specified then the search is exclusive, and only the
volume label entry is returned.
MAXCOUNT specifies the number of directory entries to be returned.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Number of entries returned
USHORT ByteCount; Count of data bytes; min = 3
UCHAR BufferFormat; 0x05 -- Variable block
USHORT DataLength; Length of data
UCHAR DirectoryInformationData[]; Data
The response will contain one or more directory entries as determined by
the COUNT field. No more than MAXCOUNT entries will be returned. Only
entries that match the sought FILENAME and SEARCHATTRIBUTES combination
will be returned.
RESUMEKEY must be null (length = 0) on the initial search request.
Subsequent search requests intended to continue a search must contain
the RESUMEKEY field extracted from the last directory entry of the
previous response. RESUMEKEY is self-contained, for on calls containing
a non-zero RESUMEKEY neither the SEARCHATTRIBUTES or FILENAME fields
will be valid in the request. RESUMEKEY has the following format:
Resume Key Field Description
================================== =================================
UCHAR Reserved; bit 7 - consumer use
bits 5,6 - system use (must
preserve)
bits 0-4 - server use (must
preserve)
UCHAR FileName[11]; Name of the returned file
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UCHAR ReservedForServer[5]; Client must not modify
UCHAR ReservedForConsumer[4]; Server must not modify
FILENAME is 8.3 format, with the three character extension left
justified into FILENAME[9-11]. If the client is prior to the LANMAN1.0
dialect, the returned FILENAME should be uppercased.
SMB_COM_SEARCH terminates when either the requested maximum number of
entries that match the named file are found, or the end of directory is
reached without the maximum number of matches being found. A response
containing no entries indicates that no matching entries were found
between the starting point of the search and the end of directory.
There may be multiple matching entries in response to a single request
as SMB_COM_SEARCH supports wildcards in the last component of FILENAME
of the initial request.
Returned directory entries in the DIRECTORYINFORMATIONDATA field of the
response each have the following format:
Directory Information Field Description
================================== =================================
SMB_RESUME_KEY ResumeKey; Described above
UCHAR FileAttributes; Attributes of the found file
SMB_TIME LastWriteTime; Time file was last written
SMB_DATE LastWriteDate; Date file was last written
ULONG FileSize; Size of the file
UCHAR FileName[13]; ASCII, space-filled null
terminated
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FILENAME must conform to 8.3 rules, and is padded after the extension
with 0x20 characters if necessary. If the client has negotiated a
dialect prior to the LANMAN1.0 dialect, or if BIT0 of the FLAGS2 SMB
header field of the request is clear, the returned FILENAME should be
uppercased.
As can be seen from the above structure, SMB_COM_SEARCH can not return
long filenames, and can not return UNICODE filenames. Files which have
a size greater than 2^32 bytes should have the least significant 32 bits
of their size returned in FILESIZE.
3.9.29 OPEN_PRINT_FILE: Create Print Spool file
This message is sent to create a new printer file which will be deleted
once it has been closed and printed.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
USHORT SetupLength; Length of printer setup data
USHORT Mode; 0 = Text mode (DOS expands TABs)
1 = Graphics mode
USHORT ByteCount; Count of data bytes; min = 2
UCHAR BufferFormat; 0x04
STRING IdentifierString[]; Identifier string
TID in the SMB header must refer to a printer resource type.
SETUPLENGTH is the number of bytes in the first part of the resulting
print spool file which contains printer-specific control strings.
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MODE can have the following values:
0 Text mode. The server may optionally
expand tabs to a series of spaces.
1 Graphics mode. No conversion of data
should be done by the server.
IDENTIFIERSTRING can be used by the server to provide some sort of per-
client identifying component to the print file.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes = 0
FID is the returned handle which may be used by subsequent write and
close operations. When the file is finally closed, it will be sent to
the spooler and printed.
3.9.30 WRITE_PRINT_FILE: Write to Print File
This message is sent to write bytes into a print spool file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
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USHORT ByteCount; Count of data bytes; min = 4
UCHAR BufferFormat; 0x01 -- Data block
USHORT DataLength; Length of data
UCHAR Data[]; Data
FID indicates the print spool file to be written, it must refer to a
print spool file.
BYTECOUNT specifies the number of bytes to be written, and must be less
than MAXBUFFERSIZE for the Tid specified.
DATA contains the bytes to append to the print spool file. The first
SETUPLENGTH bytes in the resulting print spool file contain printer
setup data. SETUPLENGTH is specified in the SMB_COM_OPEN_PRINT_FILE SMB
request.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
Servers which negotiate a protocol dialect of LANMAN1.0 or later also
support the application of normal write requests to print spool files.
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3.9.31 CLOSE_PRINT_FILE: Close and Spool Print Job
This message invalidates the specified file handle and queues the file
for printing.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes = 0
FID refers to a file previously created with SMB_COM_OPEN_PRINT_FILE.
On successful completion of this request, the file is queued for
printing by the server.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
Servers which negotiate dialects of LANMAN1.0 and newer allow all the
other types of FID closing requests to invalidate the FID and begin
spooling.
3.9.32 GET_PRINT_QUEUE: Get Printer Queue Entries
This message obtains a list of the elements currently in the print queue
on the server.
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Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
USHORT MaxCount; Max number of entries to return
USHORT StartIndex; First queue entry to return
USHORT ByteCount; Count of data bytes = 0
STARTINDEX specifies the first entry in the queue to return.
MAXCOUNT specifies the maximum number of entries to return, this may be
a positive or negative number. A positive number requests a forward
search, a negative number indicates a backward search.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
USHORT Count; Number of entries returned
USHORT RestartIndex; Index of entry after last
returned
USHORT ByteCount; Count of data bytes; min = 3
UCHAR BufferFormat; 0x01 -- Data block
USHORT DataLength; Length of data
UCHAR Data[]; Queue elements
COUNT indicates how many entries were actually returned. RESTARTINDEX
is the index of the entry following the last entry returned; it may be
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used as the STARTINDEX in a subsequent request to resume the queue
listing.
The format of each returned queue element is:
Queue Element Member Description
================================ ===================================
SMB_DATE FileDate; Date file was queued
SMB_TIME FileTime; Time file was queued
UCHAR Status; Entry status. One of:
01 = held or stopped
02 = printing
03 = awaiting print
04 = in intercept
05 = file had error
06 = printer error
07-FF = reserved
USHORT SpoolFileNumber; Assigned by the spooler
ULONG SpoolFileSize; Number of bytes in spool file
UCHAR Reserved;
UCHAR SpoolFileName[16]; Client which created the spool file
SMB_COM_GET_PRINT_QUEUE will return less than the requested number of
elements only when the top or end of the queue is encountered.
Support for this SMB is server optional. In particular, no current
Microsoft client software issues this request.
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3.9.33 LOCK_AND_READ: Lock and Read Bytes
This request is used to lock and "read ahead" the specified bytes of
the file indicated by FID in the SMB header
Client Request Description
============================== =====================================
UCHAR WordCount; Count of parameter words = 5
USHORT Fid; File handle
USHORT Count; Count of bytes being requested
ULONG Offset; Offset in file of first byte to read
USHORT Remaining; Estimate of bytes to read if nonzero
USHORT ByteCount; Count of data bytes = 0
FID must refer to a disk file. COUNT specifies the requested number of
bytes. OFFSET specifies the offset in the file of the first byte to be
locked then read. Note that this offset is limited to 32 bits, so this
client request is inappropriate for files having 64 bit offsets.
REMAINING is advisory. If the value is not zero, then it is taken as an
estimate of the total number of bytes that will be read, including those
read by this request. This additional information may be used by the
server to optimize buffer allocation or read-ahead. REMAINING is not
included in the byte range to be locked.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 5
USHORT Count; Count of bytes actually returned
USHORT Reserved [4]; Reserved (must be 0)
USHORT ByteCount; Count of data bytes
UCHAR BufferFormat; 0x01 -- Data block
USHORT DataLength; Length of data
BYTECOUNT is the number of bytes actually being returned. BYTECOUNT may
be less than the count requested only if a read specifies bytes beyond
the current file size. In this case only the bytes that exist are
returned. A read completely beyond the end of file results in a
response of length zero. This is the only circumstance when a zero
length response is generated. A count returned which is less than the
count requested is the end of file indicator.
As in the core SMB_LOCK_BYTE_RANGE request, if the lock can not be
immediately granted an error should be returned to the client. If an
error occurs on the lock, the bytes should not be read. If a Read
requests more data than can be placed in a message of the maximum-xmit-
size for the TID specified, the server will abort the connection to the
client.
3.9.34 WRITE_AND_UNLOCK: Write Bytes and Unlock Range
This request is used to first write the specified bytes and then unlock
them. The locked portion of a file is "safe" to write behind because no
other process can access the locked bytes until this process unlocks the
bytes. Thus the client can buffer the locked bytes locally while they
are being updated, then when the unlock request is received submit this
protocol to both write and then unlock bytes. Whether or not this SMB
is supported (along with SMB_COM_READ_AND_LOCK) is returned in BIT0 of
the FLAGS field of the negotiate response.
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Client Request Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 5
USHORT Fid; File handle
USHORT Count; Number of bytes to be written
ULONG Offset; Offset in file to begin write
USHORT Remaining; Bytes remaining to satisfy request
USHORT ByteCount; Count of data bytes
UCHAR BufferFormat; 0x01 -- Data block
USHORT DataLength; Length of data
COUNT specifies the number of bytes to be written. OFFSET is the offset
in the file of the first byte to be written. Since offset is 16 bits,
this request is inappropriate for general use in a very large file.
REMAINING is advisory: if the value is not zero, then it is taken as an
estimate of the number of bytes that will be written -including those
written by this request. This additional information may be used by the
server to optimize cache behavior. A value of 0 for COUNT is an error.
If the request specifies a byte range beyond the current end of file,
the file will be extended. Any bytes between the previous end of file
and the requested offset are initialized to 0.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Count of bytes actually written
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USHORT ByteCount; Count of data bytes = 0
COUNT in the response indicates the actual number of bytes written, and
for successful writes will always equal the count in the request
message. If the number of bytes written differs from the number
requested and no error is indicated, then the server has no resources
available with which to satisfy the complete write.
If a Write sends a message of length greater than the MAXBUFFERSIZE for
the TID specified, the server may abort the connection to the client. If
an error occurs on the write, the bytes remain locked.
3.9.35 READ_RAW: Read Raw
The SMB_COM_READ_RAW protocol is used to maximize the performance of
reading a large block of data from the server to the client. This
request can be applied to files and named pipes.
Client Request Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 8
USHORT Fid; File handle
ULONG Offset; Offset in file to begin read
USHORT MaxCount; Max bytes to return (maximum 65535)
USHORT MinCount; Min bytes to return (normally 0)
ULONG Timeout; Wait time if named pipe
USHORT Reserved;
USHORT ByteCount; Count of data bytes = 0
FID identifies the resource being read, and may refer to a disk file or
a named pipe.
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TIMEOUT is the number of milliseconds to wait for completion FID refers
to a named pipe.
When the client issues this request, the client must guarantee that
there is (and will be) no other request to the server for the duration
of the SMB_COM_READ_RAW. The server will respond, in one send, with the
raw data being read. Thus the client is able to request up to 65,535
bytes of data and receive it directly into the user's buffer, since the
server response has no header or trailer. Note that the amount of data
requested is expected to be larger than the negotiated buffer size for
this protocol.
The reason that no other requests can be active on the client's
connection to the server for the duration of the request is that if
other receives are present, there is normally no way to guarantee that
the data will be received into the user space, rather the data may fill
one (or more) of the other buffers.
The number of bytes actually returned is determined by the length of the
message the client receives as reported by the transport layer. If the
request is to read more bytes than are present in the file, the read
response will be of the length actually read from the file.
If none of the requested bytes exist (EOF) or an error occurs on the
read, the server responds with a zero byte send. Upon receipt of a zero
length response, the client should send a different type of request to
the server. The response to that read will then tell the client that
EOF was hit or identify the error condition.
The number of bytes returned may be less than the number requested only
if a read specifies bytes beyond the current file size. In this case
only the bytes that exist are returned. A read completely beyond the
end of file results in a response of zero length. If the number of
bytes returned is less than the number of bytes requested, this
indicates end of file (if reading other than a standard blocked disk
file, only ZERO bytes returned indicates end of file).
The transport layer guarantees delivery of all response bytes to the
client. Thus no SMB level confirmation protocol is required. If an
error should occur at the clients end, all bytes must be received and
thrown away. There is no need to inform the server of the error.
This message was introduced with the LANMAN1.0 SMB dialect. Whether or
not this request is supported is returned in the response to
SMB_COM_NEGOTIATE.
The flow for reading a sequential file using SMB_COM_READ_BOCK_RAW is:
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Client Request Server Response
============================== =====================================
SMB_COM_OPEN file Success
SMB_COM_READ_RAW
raw data returned
SMB_COM_READ_RAW
more raw data returned
SMB_COM_READ_RAW
short (or 0 length) response returned
SMB_COM_READ
0 bytes returned indicating EOF
SMB_COM_CLOSE Success
SMB_COM_READ_RAW has no way to return errors. Because the response is
raw data only, a zero length response indicates EOF, a read error or
that the server is temporarily out of large buffers. The client should
then retry using a different type of read request. This request will
then either return the EOF condition, an error if the read is still
failing, or will work if the problem was due to a temporary server
condition.
If the negotiated dialect is NT LM 0.12 or later, and the response to
the SMB_COM_NEGOTIATE SMB has CAP_LARGE_FILES set in the CAPABILITIES
field, a new format of the SMB_COM_READ_RAW request is allowed which
accommodates very large files having 64 bit offsets.
Client Request Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 10
USHORT Fid; File handle
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ULONG Offset; Offset in file to begin read
USHORT MaxCount; Max bytes to return (maximum 65535)
USHORT MinCount; Min bytes to return (normally 0)
ULONG Timeout; Wait time if named pipe
USHORT Reserved;
ULONG OffsetHigh; Upper 32 bits of offset
USHORT ByteCount; Count of data bytes = 0
This form of the request is differentiated from the previous form of the
request by the WORDCOUNT field. In this case, the final offset to read
from is used by combining OFFSETHIGH and OFFSET, the resulting value can
not be negative or the request will be rejected by the server.
SMB_COM_READ_RAW can not be used over connectionless transports.
3.9.36 READ_MPX: Read Block Multiplex
The Read Block Multiplexed protocol is used to maximize the performance
of reading a large block of data from the server to the client while
still allowing other operations to take place between the client and
server in the meantime. The NT server supports SMB_COM_READ_MPX only
over connectionless transports.
Client Request Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 8
USHORT Fid; File handle
ULONG Offset; Offset in file to begin read
USHORT MaxCount; Max bytes to return (maximum 65535)
USHORT MinCount; Min bytes to return (normally 0)
ULONG Reserved1;
USHORT Reserved2;
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USHORT ByteCount; Count of data bytes = 0
FID identifies the resource being read, and may refer to a disk file or
a spooled printer.
TIMEOUT is the number of milliseconds to wait for completion FID refers
to a named pipe.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 8
ULONG Offset; Offset in file where data read
USHORT Count; Total bytes being returned
USHORT Reserved;
USHORT DataCompactionMode;
USHORT Reserved;
USHORT DataLength; Number of data bytes this buffer
USHORT DataOffset; Offset (from header start) to
data
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Data[]; Data (size = DataLength)
Other requests may be active between the client and server. The server
responds with the one or more response messages as defined above until
the requested data amount has been returned. Each response contains the
PID and MID of the original request and the OFFSET and COUNT of
describing the placement of the data within the file.
The client knows the maximum amount of data bytes which the server may
return (from MAXCOUNT of the request). Thus the client initializes its
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bytes expected variable to this value. The server then informs the
client of the actual amount being returned via each part of the response
in COUNT. The server may reduce the expected bytes by lowering the
total number of bytes expected in COUNT in any response.
When the amount of data bytes received (sum of the DATALENGTH fields)
equals the total amount of data bytes expected (smallest COUNT
received), then the client has received all the data bytes. This
allows the protocol to work even if the responses are received out of
sequence.
Note that DATALENGTH being returned here can not be larger than the
smaller of the client's buffer size (as specified in MAXBUFFERSIZE on
the COM_SESSION_SETUP_AND_X client request SMB) or the server's buffer
size (as specified in MAXBUFFERSIZE of the COM_NEGOTIATE server response
SMB).
As is true in SMB_COM_READ, the total number of bytes returned may be
less than the number requested only if a read specifies bytes beyond the
current file size and FID refers to a disk file. In this case only the
bytes that exist are returned. A read completely beyond the end of file
will result in a single response with a zero value in COUNT. If the
total number of bytes returned is less than the number of bytes
requested, this indicates end of file (if reading other than a standard
blocked disk file, only ZERO bytes returned indicates end of file).
Once started, the Read Block Multiplexed operation is expected to go to
completion. The client is expected to receive all the responses
generated by the server. Conflicting commands (such as file close) must
not be sent to the server while a multiplexed operation is in progress.
The flow for the SMB_COM_READ_MPX protocol is:
client ---------------> Read MPX. request >---------------------> server
client <--------------< Read MPX response 1 with data <---------- server
client <--------------< Read MPX response 2 with data <---------- server
...
client <--------------< Read MPX response n with data <---------- server
3.9.37 WRITE_RAW: Write Raw Bytes
The Write Block Raw protocol is used to maximize the performance of
writing a large block of data from the client to the server. The Write
Block Raw command's scope includes files, Named Pipes, and spooled
output (can be used in place COM_WRITE_PRINT_FILE ).
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Client Request Description
========================== =========================================
UCHAR WordCount; Count of parameter words = 12
USHORT Fid; File handle
USHORT Count; Total bytes, including this buffer
USHORT Reserved;
ULONG Offset; Offset in file to begin write
ULONG Timeout;
USHORT WriteMode; Write mode:
bit 0 - complete write to disk and send
final result response
bit 1 - return Remaining (pipe/dev)
(see WriteAndX for #defines)
ULONG Reserved2;
USHORT DataLength; Number of data bytes this buffer
USHORT DataOffset; Offset (from header start) to data
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Data[]; Data (# = DataLength)
First Server Response Description
============================== =====================================
UCHAR WordCount; Count of parameter words = 1
USHORT Remaining; Bytes remaining to be read if pipe
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USHORT ByteCount; Count of data bytes = 0
Final Server Response Description
================================== =================================
UCHAR Command (in SMB header) SMB_COM_WRITE_COMPLETE
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Total number of bytes written
USHORT ByteCount; Count of data bytes = 0
The first response format will be that of the final server response in
the case where the server gets an error while writing the data sent
along with the request. Thus COUNT is the number of bytes which did get
written any time an error is returned. If an error occurs after the
first response has been sent allowing the client to send the remaining
data, the final response should not be sent unless write through is set.
Rather the server should return this "write behind" error on the next
access to the FID.
The client must guarantee that there is (and will be) no other request
on the connection for the duration of this request. The server will
reserve enough resources to receive the data and respond with a response
SMB as defined above. The client then sends the raw data in one send.
Thus the server is able to receive up to 65,535 bytes of data directly
into the server buffer. The amount of data transferred is expected to
be larger than the negotiated buffer size for this protocol.
The reason that no other requests can be active on the connection for
the duration of the request is that if other receives are present on the
connection, there is normally no way to guarantee that the data will be
received into the correct server buffer, rather the data may fill one
(or more) of the other buffers. Also if the client is sending other
requests on the connection, a request may land in the buffer that the
server has allocated for the this SMB's data.
Whether or not SMB_COM_WRITE_RAW is supported is returned in the
response to SMB_COM_NEGOTIATE. SMB_COM_WRITE_RAW is not supported for
connectionless clients.
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When write through is not specified ((WRITEMODE & 01) == 0) this SMB is
assumed to be a form of write behind. The transport layer guarantees
delivery of all secondary requests from the client. Thus no "got the
data you sent" SMB is needed. If an error should occur at the server
end, all bytes must be received and thrown away. If an error occurs
while writing data to disk such as disk full, the next access of the
file handle (another write, close, read, etc.) will return the fact that
the error occurred.
If write through is specified ((WRITEMODE & 01) != 0), the server will
receive the data, write it to disk and then send a final response
indicating the result of the write. The total number of bytes written
is also returned in this response in the COUNT field.
The flow for the SMB_COM_WRITE_RAW SMB is:
client -----> SMB_COM_WRITE_RAW request (optional data) >-------> server
client <------------------< OK send (more) data <---------------- server
client ----------------------> raw data >----------------------> server
client <---< data on disk or error (write through only) <------- server
This protocol is set up such that the SMB_COM_WRITE_RAW request may also
carry data. This is an optimization in that up to the server's buffer
size (MAXCOUNT from SMB_COM_NEGOTIATE response), minus the size of the
SMB_COM_WRITE_RAW SMB request, may be sent along with the request. Thus
if the server is busy and unable to support the raw write of the
remaining data, the data sent along with the request has been delivered
and need not be sent again. The server will write any data sent in the
request (and wait for it to be on the disk or device if write through is
set), prior to sending the response.
The specific responses error class ERRSRV, error codes ERRusempx and
ERRusestd, indicate that the server is temporarily out of the resources
needed to support the raw write of the remaining data, but that any data
sent along with the request has been successfully written. The client
should then write the remaining data using a different type of SMB write
request, or delay and retry using SMB_COM_WRITE_RAW. If a write error
occurs writing the initial data, it will be returned and the write raw
request is implicitly denied.
The return field REMAINING is returned for named pipes only. It is used
to return the number of bytes currently available in the pipe. This
information can then be used by the client to know when a subsequent
(non blocking) read of the pipe may return some data. Of course when
the read request is actually received by the server there may be more or
less actual data in the pipe (more data has been written to the pipe /
device or another reader drained it). If the information is currently
not available or the request is NOT for a pipe or the server does not
support this feature, a -1 value should be returned.
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If the negotiated dialect is NT LM 0.12 or later, and the response to
the SMB_COM_NEGOTIATE SMB has CAP_LARGE_FILES set in the CAPABILITIES
field, an additional request format is allowed which accommodates very
large files having 64 bit offsets:
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 14
USHORT Fid; File handle
USHORT Count; Total bytes, including this
buffer
USHORT Reserved;
ULONG Offset; Offset in file to begin write
ULONG Timeout;
USHORT WriteMode; Write mode:
bit 0 - complete write to disk
and send final result response
bit 1 - return Remaining
(pipe/dev)
ULONG Reserved2;
USHORT DataLength; Number of data bytes this buffer
USHORT DataOffset; Offset (from header start) to
data
ULONG OffsetHigh; Upper 32 bits of offset
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Data[]; Data (# = DataLength)
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In this case the final offset in the file is formed by combining
OFFSETHIGH and OFFSET, the resulting offset must not be negative.
3.9.38 WRITE_MPX: Write Block Multiplex
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 12
USHORT Fid; File handle
USHORT Count; Total bytes, including this
buffer
USHORT Reserved;
ULONG Offset; Offset in file to begin write
ULONG Timeout; milliseconds to wait for
completion
USHORT WriteMode; Write mode:
bit 0 - complete write to disk
and send final result
response
bit 1 - return Remaining
bit 7 - Connectionless mode
ULONG RequestMask; Connectionless mode mask
USHORT DataLength; Number of data bytes this buffer
USHORT DataOffset; Offset (from header start) to
data
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Data[]; Data (# = DataLength)
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
ULONG ResponseMask; OR of all masks received
USHORT ByteCount; Count of data bytes = 0
SMB_COM_WRITE_MPX is used to maximize the performance of writing a large
block of data from the client to the server. The NT server supports
SMB_COM_WRITE_MPX only over connectionless transports, consequently BIT7
of WRITEMODE in the request must be set.
FID in the request must refer to either a file or a spooled printer.
MASK contains a bit mask indicating where in the transfer that the SMB
belongs. The response which contains the logical OR of all of the MASK
values received and is always generated. All in this exchange use the
same SMB header MID value but only final message is a connectionless
sequenced request (SEQUENCENUMBER is non-zero).
The server keeps a RESPONSEMASK which is the logical or-ing of the
REQUESTMASK value contained in each SMB_COM_WRITE_MPX received since the
last sequenced SMB_COM_WRITE_MPX. The server only responds to the final
(sequenced) command, and this response contains the accumulated
RESPONSEMASK. The client uses the RESPONSEMASK received to determine
which packets, if any, must be retransmitted. The server imposes no
restrictions on the values in the mask nor upon the order or contiguity
of the data being sent. The client uses this behavior to only send the
missing parts in the next write sequence when retransmitting. The next
SMB_COM_WRITE_MPX sequence sent must use a new SEQUENCENUMBER value or
the server will incorrectly respond with the mask from the previous
SMB_COM_WRITE_MPX command.
The flow is:
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Client Sequence <-> Server
Number
================= ========= ==== =====================
SMB_COM_WRITE_MPX 0 ->
SMB_COM_WRITE_MPX 0 ->
...
SMB_COM_WRITE_MPX S ->
S <- SMB_COM_WRITE_MPX OK
SMB_COM_WRITE_MPX 0 ->
SMB_COM_WRITE_MPX 0 ->
....
SMB_COM_WRITE_MPX S+1 ->
S+1 <- SMB_COM_WRITE_MPX OK
Other SMB requests can intervene during this protocol exchange.
A server response will be generated only after the sequenced
SMB_COM_WRITE_MPX has been received unless this SMB is received over a
connection oriented transport (in which case the error response is
immediately sent).
At the time of the request, the client knows the number of data bytes
expected to be sent and passes this information to the server in COUNT.
The server can use this information to reserve buffer space, if
possible.
If BIT0 of WRITEMODE is clear, the request assumed to be a form of write
behind on the part of the client. If an error occurs while writing data
to disk such as disk full, the next access of the file handle (another
write, close, read, etc.) will return the fact that the error occurred.
If BIT0 of WRITEMODE is set, the server will collect all the data, write
it to disk and then send a final response indicating the result of the
write . The total number of bytes written is also returned in this
response.
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3.9.39 SET_INFORMATION2: Set File Information
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 7
USHORT Fid; File handle
SMB_DATE CreationDate;
SMB_TIME CreationTime;
SMB_DATE LastAccessDate;
SMB_TIME LastAccessTime;
SMB_DATE LastWriteDate;
SMB_TIME LastWriteTime;
USHORT ByteCount; Count of data bytes = 0
SMB_COM_SET_INFORMATION2 sets information about the file represented by
FID. The target file is updated from the values specified. A date or
time value or zero indicates to leave that specific date and time
unchanged.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
FID must be open with (at least) write permission.
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3.9.40 QUERY_INFORMATION2: Get File Information
This SMB is gets information about the file represented by FID.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 2
USHORT Fid; File handle
USHORT ByteCount; Count of data bytes = 0
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 11
SMB_DATE CreationDate;
SMB_TIME CreationTime;
SMB_DATE LastAccessDate;
SMB_TIME LastAccessTime;
SMB_DATE LastWriteDate;
SMB_TIME LastWriteTime;
ULONG FileDataSize; File end of data
ULONG FileAllocationSize; File allocation size
USHORT FileAttributes;
USHORT ByteCount; Count of data bytes; min = 0
The file being interrogated is specified by FID, which must possess at
least read permission.
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FileAttributes are described in the "File Attribute Encoding" section
elsewhere in this document.
3.9.41 LOCKING_ANDX: Lock or UnLock Bytes
SMB_COM_LOCKING_ANDX allows both locking and/or unlocking of file range(s).
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 8
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Fid; File handle
UCHAR LockType; See LockType table below
UCHAR OplockLevel; The new oplock level
ULONG Timeout; Milliseconds to wait for unlock
USHORT NumberOfUnlocks; Num. unlock range structs
following
USHORT NumberOfLocks; Num. lock range structs following
USHORT ByteCount; Count of data bytes
LOCKING_ANDX_RANGE Unlocks[]; Unlock ranges
LOCKING_ANDX_RANGE Locks[]; Lock ranges
LockType Flag Name Value Description
============================ ===== ================================
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LOCKING_ANDX_SHARED_LOCK 0x01 Read-only lock
LOCKING_ANDX_OPLOCK_RELEASE 0x02 Oplock break notification
LOCKING_ANDX_CHANGE_LOCKTYPE 0x04 Change lock type
LOCKING_ANDX_CANCEL_LOCK 0x08 Cancel outstanding request
LOCKING_ANDX_LARGE_FILES 0x10 Large file locking format
LOCKING_ANDX_RANGE Format
=====================================================================
USHORT Pid; PID of process "owning" lock
ULONG Offset; Offset to bytes to [un]lock
ULONG Length; Number of bytes to [un]lock
Large File LOCKING_ANDX_RANGE Format
=====================================================================
USHORT Pid; PID of process "owning" lock
USHORT Pad; Pad to DWORD align (mbz)
ULONG OffsetHigh; Offset to bytes to [un]lock
(high)
ULONG OffsetLow; Offset to bytes to [un]lock (low)
ULONG LengthHigh; Number of bytes to [un]lock
(high)
ULONG LengthLow; Number of bytes to [un]lock (low)
Server Response Description
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================================== =================================
UCHAR WordCount; Count of parameter words = 2
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT ByteCount; Count of data bytes = 0
Locking is a simple mechanism for excluding other processes read/write
access to regions of a file. The locked regions can be anywhere in the
logical file. Locking beyond end-of-file is permitted. Any process
using the FID specified in this request's FID has access to the locked
bytes, other processes will be denied the locking of the same bytes.
The proper method for using locks is not to rely on being denied read or
write access on any of the read/write protocols but rather to attempt
the locking protocol and proceed with the read/write only if the locks
succeeded.
Locking a range of bytes will fail if any subranges or overlapping
ranges are locked. In other words, if any of the specified bytes are
already locked, the lock will fail.
If NUMBEROFUNLOCKS is non-zero, the UNLOCKS vector contains
NUMBEROFUNLOCKS elements. Each element requests that a lock at OFFSET
of LENGTH be released. If NUMBEROFLOCKS is nonzero, the LOCKS vector
contains NUMBEROFLOCKS elements. Each element requests the acquisition
of a lock at OFFSET of LENGTH.
TIMEOUT is the maximum amount of time to wait for the byte range(s)
specified to become unlocked. A timeout value of 0 indicates that the
server should fail immediately if any lock range specified is locked. A
timeout value of -1 indicates that the server should wait as long as it
takes for each byte range specified to become unlocked so that it may be
again locked by this protocol. Any other value of smb_timeout specifies
the maximum number of milliseconds to wait for all lock range(s)
specified to become available.
If any of the lock ranges timeout because of the area to be locked is
already locked (or the lock fails), the other ranges in the protocol
request which were successfully locked as a result of this protocol will
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be unlocked (either all requested ranges will be locked when this
protocol returns to the client or none).
If LOCKTYPE has the LOCKING_ANDX_SHARED_LOCK flag set, the lock is
specified as a shared lock. Locks for both read and write (where
LOCKING_ANDX_SHARED_LOCK is clear) should be prohibited, but other
shared locks should be permitted. If shared locks can not be supported
by a server, the server should map the lock to a lock for both read and
write. Closing a file with locks still in force causes the locks to be
released in no defined order.
If LOCKTYPE has the LOCKING_ANDX_LARGE_FILES flag set and if the
negotiated protocol is NT LM 0.12 or later, then the Locks and Unlocks
vectors are in the Large File LOCKING_ANDX_RANGE format. This allows
specification of 64 bit offsets for very large files.
If the one and only member of the LOCKS vector has the
LOCKING_ANDX_CANCEL_LOCK flag set in the LOCKTYPE field, the client is
requesting the server to cancel a previously requested, but not yet
responded to, lock.
If LockType has the LOCKING_ANDX_CHANGE_LOCKTYPE flag set, the client is
requesting that the server atomically change the lock type from a shared
lock to an exclusive lock or vice versa. If the server can not do this
in an atomic fashion, the server must reject this request. NT and W95
servers do not support this capability.
Oplocks are described in the "Opportunistic Locks" section elsewhere in
this document. A client requests an oplock by setting the appropriate
bit in the SMB_COM_OPEN_ANDX request when the file is being opened in a
mode which is not exclusive. The server responds by setting the
appropriate bit in the response SMB indicating whether or not the oplock
was granted. By granting the oplock, the server tells the client the
file is currently only being used by this one client process at the
current time. The client can therefore safely do read ahead and write
behind as well as local caching of file locks knowing that the file will
not be accessed/changed in any way by another process while the oplock
is in effect. The client will be notified when any other process
attempts to open or modify the oplocked file.
When another user attempts to open or otherwise modify the file which a
client has oplocked, the server delays the second attempt and notifies
the client via an SMB_LOCKING_ANDX SMB asynchronously sent from the
server to the client. This message has the LOCKING_ANDX_OPLOCK_RELEASE
flag set indicating to the client that the oplock is being broken.
OPLOCKLEVEL indicates the type of oplock the client now owns. If
OPLOCKLEVEL is 0, the client possesses no oplocks on the file at all, if
OPLOCKLEVEL is 1 the client possesses a Level II oplock. The client is
expected to flush any dirty buffers to the server, submit any file locks
and respond to the server with either an SMB_LOCKING_ANDX SMB having the
LOCKING_ANDX_OPLOCK_RELEASE flag set, or with a file close if the file
is no longer in use by the client. If the client sends an
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SMB_LOCKING_ANDX SMB with the LOCKING_ANDX_OPLOCK_RELEASE flag set and
NUMBEROFLOCKS is zero, the server does not send a response. Since a
close being sent to the server and break oplock notification from the
server could cross on the wire, if the client gets an oplock
notification on a file which it does not have open, that notification
should be ignored.
Due to timing, the client could get an "oplock broken" notification in a
user's data buffer as a result of this notification crossing on the wire
with a SMB_COM_READ_RAW request. The client must detect this (use
length of msg, "FFSMB", MID of -1 and COMMAND of SMB_COM_LOCKING_ANDX)
and honor the "oplock broken" notification as usual. The server must
also note on receipt of an SMB_COM_READ_RAW request that there is an
outstanding (unanswered) "oplock broken" notification to the client and
return a zero length response denoting failure of the read raw request.
The client should (after responding to the "oplock broken"
notification), use a standard read protocol to redo the read request.
This allows a file to actually contain data matching an "oplock broken"
notification and still be read correctly.
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The entire message sent and received including the optional second
protocol must fit in the negotiated maximum transfer size. The
following are the only valid SMB commands for ANDXCOMMAND for
SMB_COM_LOCKING_ANDX:
SMB_COM_READ SMB_COM_READ_ANDX
SMB_COM_WRITE SMB_COM_WRITE_ANDX
SMB_COM_FLUSH
3.9.42 MOVE: Rename File
The source file is copied to the destination and the source is
subsequently deleted.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 3
USHORT Tid2; Second (target) file id
USHORT OpenFunction; what to do if target file exists
USHORT Flags; Flags to control move operations:
0 - target must be a file
1 - target must be a directory
2 - reserved (must be 0)
3 - reserved (must be 0)
4 - verify all writes
USHORT ByteCount; Count of data bytes; min = 2
UCHAR Format1; 0x04
STRING OldFileName[]; Old file name
UCHAR FormatNew; 0x04
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STRING NewFileName[]; New file name
OLDFILENAME is copied to NEWFILENAME, then OLDFILENAME is deleted. Both
OLDFILENAME and NEWFILENAME must refer to paths on the same server.
NEWFILENAME can refer to either a file or a directory. All file
components except the last must exist; directories will not be created.
NEWFILENAME can be required to be a file or a directory by the Flags
field.
The TID in the header is associated with the source while TID2 is
associated with the destination. These fields may contain the same or
differing valid values. TID2 can be set to -1 indicating that this is to
be the same TID as in the SMB header. This allows use of the move
protocol with SMB_TREE_CONNECT_ANDX.
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Number of files moved
USHORT ByteCount; Count of data bytes; min = 0
UCHAR ErrorFileFormat; 0x04 (only if error)
STRING ErrorFileName[]; Pathname of file where error
occurred
The source path must refer to an existing file or files. Wildcards are
permitted. Source files specified by wildcards are processed until an
error is encountered. If an error is encountered, the expanded name of
the file is returned in ErrorFileName. Wildcards are not permitted in
NEWFILENAME.
OPENFUNCTION controls what should happen if the destination file exists.
If (OPENFUNCTION & 0x30) == 0, the operation should fail if the
destination exists. If (OPENFUNCTION & 0x30) == 0x20, the destination
file should be overwritten.
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3.9.43 COPY: Copy File
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 3
USHORT Tid2; Second (target) path TID
USHORT OpenFunction; What to do if target file exists
USHORT Flags; Flags to control copy operation:
bit 0 - target must be a file
bit 1 - target must be a dir.
bit 2 - copy target mode:
0 = binary, 1 = ASCII
bit 3 - copy source mode:
0 = binary, 1 = ASCII
bit 4 - verify all writes
bit 5 - tree copy
USHORT ByteCount; Count of data bytes; min = 2
UCHAR SourceFileNameFormat; 0x04
STRING SourceFileName; Pathname of source file
UCHAR TargetFileNameFormat; 0x04
STRING TargetFileName; Pathname of target file
The file at SOURCENAME is copied to TARGETFILENAME, both of which must refer
to paths on the same server.
The TID in the header is associated with the source while TID2 is
associated with the destination. These fields may contain the same or
differing valid values. TID2 can be set to -1 indicating that this is to
be the same TID as in the SMB header. This allows use of the move
protocol with SMB_TREE_CONNECT_ANDX.
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Number of files copied
USHORT ByteCount; Count of data bytes; min = 0
UCHAR ErrorFileFormat; 0x04 (only if error)
STRING ErrorFileName;
The source path must refer to an existing file or files. Wildcards are
permitted. Source files specified by wildcards are processed until an
error is encountered. If an error is encountered, the expanded name of
the file is returned in ErrorFileName. Wildcards are not permitted in
TARGETFILENAME. TARGETFILENAME can refer to either a file or a direc-
tory.
The destination can be required to be a file or a directory by the bits
in FLAGS. If neither BIT0 nor BIT1 are set, the destination may be
either a file or a directory. FLAGS also controls the copy mode. In a
binary copy for the source, the copy stops the first time an EOF
(control-Z) is encountered. In a binary copy for the target, the server
must make sure that there is exactly one EOF in the target file and that
it is the last character of the file.
OPENFUNCTION controls what should happen if the destination file exists,
and has the following bit mapping:
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bits:
1111 11
5432 1098 7654 3210
rrrr rrrr rrrC rrOO
where:
O - Open (action to be taken if destination file exists).
0 - Fail.
1 - Append file.
2 - Truncate file.
r - reserved (must be zero).
C - Create (action to be taken if destination file doesn't
exist).
0 -- Fail.
1 -- Create file.
If the destination is a file and the source contains wildcards, the
destination file will either be truncated or appended to at the start of
the operation depending on bits in OPENFUNCTION . Subsequent files will
then be appended to the file.
If the negotiated dialect is LM1.2X002 or later, BIT5 of FLAGS is used
to specify a tree copy on the remote server. When this option is
selected the destination must not be an existing file and the source
mode must be binary. A request with BIT5 set and either BIT0 or BIT3
set is therefore an error. When the tree copy mode is selected, the
COUNT field in the server response is undefined.
3.9.44 ECHO: Ping the Server
This request is used to test the connection to the server, and to see if
the server is still responding.
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Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT EchoCount; Number of times to echo data back
USHORT ByteCount; Count of data bytes; min = 1
UCHAR Buffer[1]; Data to echo
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT SequenceNumber; Sequence number of this echo
USHORT ByteCount; Count of data bytes; min = 4
UCHAR Buffer[1]; Echoed data
Each response echoes the data sent, though ByteCount may indicate no
data If ECHOCOUNT is zero, no response is sent.
TID in the SMB header is ignored, so this request may be sent to the
server even if there are no valid tree connections to the server.
The flow for the ECHO protocol is:
Client Request <-> Server Response
================================= ==== ============================
Echo Request (EchoCount == n) ->
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<- Echo Response 1
<- Echo Response 2
<- Echo Response n
If a client is communicating to the server over a connectionless
transport, this SMB can be used to ensure there is some activity on the
connection as required in the "Connectionless Transports" section
elsewhere in this document.
3.9.45 WRITE_AND_CLOSE: Write Bytes and Close File
This request is used to first write the specified bytes and then close
the file.
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 6
USHORT Fid; File handle
USHORT Count; Number of bytes to write
ULONG Offset; Offset in file of first byte to
write
SMB_TIME LastWriteTime; Time of last write
USHORT ByteCount; 1 (for pad) + value of Count
UCHAR Pad; To force to doubleword boundary
UCHAR Buffer[ Count ]; Data to write
Client Request Description
================================== =================================
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UCHAR WordCount; Count of parameter words = 12
USHORT Fid; File handle
USHORT Count; Number of bytes to write
ULONG Offset; Offset in file of first byte to
write
SMB_TIME LastWriteTime; Time of last write
SMB_DATE LastWriteDate; Date of last write
ULONG Reserved[3]; Reserved, must be 0
USHORT ByteCount; 1 (for pad) + value of Count
UCHAR Pad; To force to doubleword boundary
UCHAR Buffer[Count]; Data to write
Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 1
USHORT Count; Count of bytes actually written
USHORT ByteCount; Count of data bytes = 0
Since clients can formulate the request in either of two ways, WORDCOUNT
must be used in order to correctly locate the data to be written.
COUNT specifies the number of bytes to be written. OFFSET is the offset
in the file of the first byte to be written. Since OFFSET is 32 bits,
this request is inappropriate for general use in a very large file.
If LASTWRITETIME and LASTWRITEDATE are 0, the server should allow its
local operating system to set the file's times. Otherwise, the server
should set the time to the values requested. Failure to set the times,
even if requested by the client in this message, should not result in an
error response from the server.
If COUNT is 0, the file is truncated (or extended) to OFFSET.
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If an error occurs on the write, the file should still be closed.
3.9.46 OPEN_ANDX: Open File And X
Client Request Description
================================== =================================
UCHAR WordCount; Count of parameter words = 15
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Flags; Additional information: bit set-
0 - return additional info
1 - exclusive oplock requested
2 - batch oplock requested
USHORT DesiredAccess; File open mode
USHORT SearchAttributes;
USHORT FileAttributes;
SMB_TIME CreationTime;
SMB_DATE CreationDate;
USHORT OpenFunction; Action to take if file exists
ULONG AllocationSize; Bytes to reserve on create or
truncate
ULONG Reserved[2]; Must be 0
USHORT ByteCount; Count of data bytes; min = 1
UCHAR BufferFormat 0x04
STRING FileName;
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Server Response Description
================================== =================================
UCHAR WordCount; Count of parameter words = 15
UCHAR AndXCommand; Secondary (X) command; 0xFF =
none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Fid; File handle
USHORT FileAttributes;
SMB_TIME LastWriteTime;
SMB_DATE LastWriteDate;
ULONG DataSize; Current file size
USHORT GrantedAccess; Access permissions actually
allowed
USHORT FileType; Type of file opened
USHORT DeviceState; State of the named pipe
USHORT Action; Action taken
ULONG ServerFid; Server unique file id
USHORT Reserved; Reserved (must be 0)
USHORT ByteCount; Count of data bytes = 0
DESIREDACCESS describes the access the client desires for the file; the
encoding of this field is described in the "Access Mode Encoding"
section elsewhere in this document.
OPENFUNCTION specifies the action to be taken depending on whether or
not the file exists. This word has the following format:
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bits:
1111 11
5432 1098 7654 3210
rrrr rrrr rrrC rrOO
where:
C - Create (action to be taken if file does not exist).
0 -- Fail.
1 -- Create file.
r - reserved (must be zero).
O - Open (action to be taken if file exists).
0 - Fail.
1 - Open file.
2 - Truncate file.
ACTION in the response specifies the action as a result of the Open
request. It has the following format:
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bits:
1111 11
5432 1098 7654 3210
Lrrr rrrr rrrr rrOO
where:
L - Lock (single user total file lock status).
0 -- file opened by another user (or mode not supported
by server).
1 -- file is opened only by this user at the present
time.
r - reserved (must be zero).
O - Open (action taken on Open).
1 - The file existed and was opened.
2 - The file did not exist but was created.
3 - The file existed and was truncated.
SEARCHATTRIBUTES indicates the attributes that the file must have to be
found while searching to see if it exists. The encoding of this field
is described in the "File Attribute Encoding" section elsewhere in this
document. If SEARCHATTRIBUTES is zero then only normal files are
returned. If the system file, hidden or directory attributes are
specified then the search is inclusive -- both the specified type(s) of
files and normal files are returned.
FILETYPE returns the kind of resource actually opened:
Name Value Description
========================== ====== ==================================
FileTypeDisk 0 Disk file or directory as defined
in the attribute field
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FileTypeByteModePipe 1 Named pipe in byte mode
FileTypeMessageModePipe 2 Named pipe in message mode
FileTypePrinter 3 Spooled printer
FileTypeUnknown 0xFFFF Unrecognized resource type
DEVICESTATE is applicable only if the FILETYPE is FileTypeByteModePipe
or FileTypeMessageModePipe and is encoded as follows:
5 4 3 2 1 0 9 8 7 6 5 4 3 2 1 0
B E * * T T R R
where:
B - Blocking
0 => reads/writes block if no data available
1 => reads/writes return immediately if no data
E - Endpoint
0 => client end of pipe
1 => server end of pipe
TT - Type of pipe
00 => pipe is a byte stream pipe
01 => pipe is a message pipe
RR - Read Mode
00 => Read pipe as a byte stream
01 => Read messages from pipe
If bit0 of FLAGS is clear, the FILEATTRIBUTES, LASTWRITETIME,
LASTWRITEDATE, DATASIZE, FILETYPE, and DEVICESTATE have indeterminate
values in the response.
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This SMB can request an oplock on the opened file. Oplocks are fully
described in the "Oplocks" section elsewhere in this document, and there
is also discussion of oplocks in the SMB_COM_LOCKING_ANDX SMB
description. BIT1 and BIT2 of the FLAGS field are used to request
oplocks during open.
The following SMBs may follow SMB_COM_OPEN_ANDX:
SMB_COM_READ SMB_COM_READ_ANDX
SMB_COM_IOCTL
3.9.47 NT_CREATE_ANDX: Create File
This command is used to create or open a file or a directory. Many of
the parameters are passed directly to the NT open functions.
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Client Request Description
================================= ==================================
UCHAR WordCount; Count of parameter words = 24
UCHAR AndXCommand; Secondary command; 0xFF = None
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
UCHAR Reserved; Reserved (must be 0)
USHORT NameLength; Length of Name[] in bytes
ULONG Flags; Create bit set:
0x02 - Request an oplock
0x04 - Request a batch oplock
0x08 - Target of open must be
directory
ULONG RootDirectoryFid; If non-zero, open is relative to
this directory
ACCESS_MASK DesiredAccess; NT access desired
LARGE_INTEGER AllocationSize; Initial allocation size
ULONG FileAttributes; File attributes for creation
ULONG ShareAccess; Type of share access
ULONG CreateDisposition; Action to take if file exists or
not
ULONG CreateOptions; Options to use if creating a file
ULONG ImpersonationLevel; Security QOS information
UCHAR SecurityFlags; Security QOS information
1 - Dynamic Tracking
2 - Effective only
USHORT ByteCount; Length of byte parameters
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STRING Name[]; File to open or create
Server Response Description
================================= ==================================
UCHAR WordCount; Count of parameter words = 26
UCHAR AndXCommand; Secondary 0xFF = None
command;
UCHAR AndXReserved; MBZ
USHORT AndXOffset; Offset to next command WordCount
UCHAR OplockLevel; The oplock level granted
USHORT Fid; The file ID
ULONG CreateAction; The action taken
TIME CreationTime; The time the file was created
TIME LastAccessTime; The time the file was accessed
TIME LastWriteTime; The time the file was last written
TIME ChangeTime; The time the file was last changed
ULONG FileAttributes; The file attributes
LARGE_INTEGER AllocationSize; The number of byes allocated
LARGE_INTEGER EndOfFile; The end of file offset
USHORT FileType;
USHORT DeviceState; state of IPC device (e.g. pipe)
BOOLEAN Directory; TRUE if this is a directory
USHORT ByteCount; = 0
The following SMBs may follow SMB_COM_NT_CREATE_ANDX:
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SMB_COM_READ SMB_COM_READ_ANDX
SMB_COM_IOCTL
3.9.48 READ_ANDX: Read Data
Client Request Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 10
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Fid; File handle
ULONG Offset; Offset in file to begin read
USHORT MaxCount; Max number of bytes to return
USHORT MinCount; Min number of bytes to return
ULONG Reserved; Must be 0
USHORT Remaining; Bytes remaining to satisfy request
USHORT ByteCount; Count of data bytes = 0
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Large File Client Request Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 12
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Fid; File handle
ULONG Offset; Offset in file to begin read
USHORT MaxCount; Max number of bytes to return
USHORT MinCount; Min number of bytes to return
ULONG Reserved; Must be 0
USHORT Remaining; Bytes remaining to satisfy request
ULONG OffsetHigh; Upper 32 bits of offset
USHORT ByteCount; Count of data bytes = 0
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Server Response Description
================================ ===================================
UCHAR WordCount; Count of parameter words = 12
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Remaining; Bytes remaining to be read
USHORT DataCompactionMode;
USHORT Reserved; Reserved (must be 0)
USHORT DataLength; Number of data bytes (min = 0)
USHORT DataOffset; Offset (from header start) to data
USHORT Reserved[5]; Reserved (must be 0)
USHORT ByteCount; Count of data bytes
UCHAR Pad[];
UCHAR Data[ DataLength]; Data from resource
If the negotiated dialect is NT LM 0.12 or later, the client may use the
Large File version of the request. This version allows specification of
64 bit file offsets. If CAP_LARGE_READX was indicated by the server in
the negotiate protocol response, the request's MAXCOUNT field may exceed
the negotiated buffer size if FID refers to a disk file. The server may
arbitrarily elect to return fewer than MAXCOUNT bytes in response.
MINCOUNT in the request is valid only if FID refers to a named pipe.
MINCOUNT informs the server that at least MINCOUNT bytes should be
returned, if possible.
REMAINING in the response is valid for pipes only. It is used to return
the number of bytes currently available in the pipe excluding the bytes
returned in this response. This information can then be used by the
client to know when a subsequent (non blocking) read of the pipe may
return some data. When a future read request is actually received by
the server there may be more or less actual data in the pipe (more data
has been written to the pipe or another reader drained it). If the
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information is currently not available or the request is NOT for a pipe,
a -1 value should be returned.
The following SMBs may follow SMB_COM_READ_ANDX:
SMB_COM_CLOSE
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3.9.49 WRITE_ANDX: Write Bytes to file or resource
Client Request Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 12
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Fid; File handle
ULONG Offset; Offset in file to begin write
ULONG Reserved; Must be 0
USHORT WriteMode; Write mode:
0 - write through
1 - return Remaining
2 - use WriteRawNamedPipe (n.
pipes)
3 - "this is the start of the msg"
USHORT Remaining; Bytes remaining to satisfy request
USHORT Reserved;
USHORT DataLength; Number of data bytes in buffer (>=0)
USHORT DataOffset; Offset to data bytes
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Data[DataLength]; Data to write
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Large File Client Request Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 14
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Fid; File handle
ULONG Offset; Offset in file to begin write
ULONG Reserved; Must be 0
USHORT WriteMode; Write mode bits:
0 - write through
1 - return Remaining
2 - use WriteRawNamedPipe (n.
pipes)
3 - "this is the start of the msg"
USHORT Remaining; Bytes remaining to satisfy request
USHORT Reserved;
USHORT DataLength; Number of data bytes in buffer (>=0)
USHORT DataOffset; Offset to data bytes
ULONG OffsetHigh; Upper 32 bits of offset
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Data[DataLength]; Data to write
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Server Response Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 6
UCHAR AndXCommand; Secondary (X) command; 0xFF = none
UCHAR AndXReserved; Reserved (must be 0)
USHORT AndXOffset; Offset to next command WordCount
USHORT Count; Number of bytes written
USHORT Remaining; Bytes remaining to be read in pipe
ULONG Reserved;
USHORT ByteCount; Count of data bytes = 0
A BYTECOUNT of 0 does not truncate the file. Rather a zero length write
merely transfers zero bytes of information to the file. A request such
as SMB_COM_WRITE must be used to truncate the file.
If WRITEMODE has bit0 set in the request and FID refers to a disk file,
the response is not sent from the server until the data is on stable
storage.
If FID refers to a named pipe, it is possible that the client wishes to
transfer more data to the named pipe than the negotiated client and
server buffer sizes permit. In this case, the data will arrive at the
server in multiple SMB_COM_WRITE_ANDX messages. If WRITEMODE BIT2 and
BIT3 are set, this is the first SMB of the sequence, and the total
number of bytes which will be written are the sum of DATALENGTH and
REMAINING. Subsequent SMB_COM_WRITE_ANDX messages having WRITEMODE
BIT2 set and possessing the same PID and FID will be gathered up in the
server until DATALENGTH + REMAINING bytes have been received, at which
time all the data is written to the named pipe in one message.
The return field REMAINING is valid only if FID refers to a named pipe,
and WRITEMODE has BIT1 set in the request. It is used to return the
number of bytes currently available in the pipe. This information can
then be used by the client to know when a subsequent (non blocking) read
of the pipe may return some data. When the read request is actually
received by the server there may be more or less actual data in the pipe
(more data has been written to the pipe / device or another reader
drained it).
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If the negotiated dialect is NT LM 0.12 or later, the Large File format
of this SMB may be used to access portions of files requiring offsets
expressed as 64 bits.
The following are the only valid ANDXCOMMAND values for this SMB:
SMB_COM_READ SMB_COM_READ_ANDX
SMB_COM_LOCK_AND_READ SMB_COM_WRITE_ANDX
SMB_COM_CLOSE
3.9.50 TRANSACTIONS
SMB_COM_TRANSACTION performs a symbolically named transaction. This
transaction is known only by a name (no file handle used).
SMB_COM_TRANSACTION2 likewise performs a transaction, but a word
parameter is used to identify the transaction instead of a name.
SMB_COM_NT_TRANSACTION is used for commands that potentially need to
transfer a large amount of data (greater than 64K bytes).
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3.9.50.1 SMB_COM_TRANSACTION AND SMB_COM_TRANSACTION2 FORMATS
Primary Client Request Description
=============================== ====================================
Command SMB_COM_TRANSACTION or
SMB_COM_TRANSACTION2
UCHAR WordCount; Count of parameter words; value =
(14 + SetupCount)
USHORT TotalParameterCount; Total parameter bytes being sent
USHORT TotalDataCount; Total data bytes being sent
USHORT MaxParameterCount; Max parameter bytes to return
USHORT MaxDataCount; Max data bytes to return
UCHAR MaxSetupCount; Max setup words to return
UCHAR Reserved;
USHORT Flags; Additional information:
bit 0 - also disconnect TID in TID
bit 1 - one-way transaction (no
resp)
ULONG Timeout;
USHORT Reserved2;
USHORT ParameterCount; Parameter bytes sent this buffer
USHORT ParameterOffset; Offset (from header start) to
Parameters
USHORT DataCount; Data bytes sent this buffer
USHORT DataOffset; Offset (from header start) to data
UCHAR SetupCount; Count of setup words
UCHAR Reserved3; Reserved (pad above to word)
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USHORT Setup[SetupCount]; Setup words (# = SetupWordCount)
USHORT ByteCount; Count of data bytes
STRING Name[]; Name of transaction (NULL if
SMB_COM_TRANSACTION2)
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Parameters[ Parameter bytes (# = ParameterCount)
ParameterCount];
UCHAR Pad1[]; Pad to SHORT or LONG
UCHAR Data[ DataCount ]; Data bytes (# = DataCount)
Interim Server Response Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
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Secondary Client Request Description
=============================== ====================================
Command SMB_COM_TRANSACTION_SECONDARY
UCHAR WordCount; Count of parameter words = 8
USHORT TotalParameterCount; Total parameter bytes being sent
USHORT TotalDataCount; Total data bytes being sent
USHORT ParameterCount; Parameter bytes sent this buffer
USHORT ParameterOffset; Offset (from header start) to
Parameters
USHORT ParameterDisplacement; Displacement of these Parameter
bytes
USHORT DataCount; Data bytes sent this buffer
USHORT DataOffset; Offset (from header start) to data
USHORT DataDisplacement; Displacement of these data bytes
USHORT Fid; FID for handle based requests, else
0xFFFF. This field is present only
if this is an SMB_COM_TRANSACTION2
request.
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Parameter bytes (# = ParameterCount)
Parameters[ParameterCount];
UCHAR Pad1[]; Pad to SHORT or LONG
UCHAR Data[DataCount]; Data bytes (# = DataCount)
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Server Response Description
=============================== ====================================
UCHAR WordCount; Count of data bytes; value = 10 +
SETUPCOUNT
USHORT TotalParameterCount; Total parameter bytes being sent
USHORT TotalDataCount; Total data bytes being sent
USHORT Reserved;
USHORT ParameterCount; Parameter bytes sent this buffer
USHORT ParameterOffset; Offset (from header start) to
Parameters
USHORT ParameterDisplacement; Displacement of these Parameter
bytes
USHORT DataCount; Data bytes sent this buffer
USHORT DataOffset; Offset (from header start) to data
USHORT DataDisplacement; Displacement of these data bytes
UCHAR SetupCount; Count of setup words
UCHAR Reserved2; Reserved (pad above to word)
USHORT Setup[SetupWordCount]; Setup words (# = SetupWordCount)
USHORT ByteCount; Count of data bytes
UCHAR Pad[]; Pad to SHORT or LONG
UCHAR Parameter bytes (# = ParameterCount)
Parameters[ParameterCount];
UCHAR Pad1[]; Pad to SHORT or LONG
UCHAR Data[DataCount]; Data bytes (# = DataCount)
3.9.50.2 SMB_COM_NT_TRANSACTION FORMATS
Primary Client Request Description
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=============================== ====================================
UCHAR WordCount; Count of parameter words; value =
(19 + SetupCount)
UCHAR MaxSetupCount; Max setup words to return
USHORT Reserved;
ULONG TotalParameterCount; Total parameter bytes being sent
ULONG TotalDataCount; Total data bytes being sent
ULONG MaxParameterCount; Max parameter bytes to return
ULONG MaxDataCount; Max data bytes to return
ULONG ParameterCount; Parameter bytes sent this buffer
ULONG ParameterOffset; Offset (from header start) to
Parameters
ULONG DataCount; Data bytes sent this buffer
ULONG DataOffset; Offset (from header start) to data
UCHAR SetupCount; Count of setup words
USHORT Function; The transaction function code
UCHAR Buffer[1];
USHORT Setup[SetupWordCount]; Setup words
USHORT ByteCount; Count of data bytes
UCHAR Pad1[]; Pad to LONG
UCHAR Parameter bytes
Parameters[ParameterCount];
UCHAR Pad2[]; Pad to LONG
UCHAR Data[DataCount]; Data
bytes
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Interim Server Response Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
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Secondary Client Request Description
=============================== ====================================
UCHAR WordCount; Count of parameter words = 18
UCHAR Reserved[3]; MBZ
ULONG TotalParameterCount; Total parameter bytes being sent
ULONG TotalDataCount; Total data bytes being sent
ULONG ParameterCount; Parameter bytes sent this buffer
ULONG ParameterOffset; Offset (from header start) to
Parameters
ULONG ParameterDisplacement; Specifies the offset from the start
of the overall parameter block to
the parameter bytes that are
contained in this message
ULONG DataCount; Data bytes sent this buffer
ULONG DataOffset; Offset (from header start) to data
ULONG DataDisplacement; Specifies the offset from the start
of the overall data block to the
data bytes that are contained in
this message.
UCHAR Reserved1;
USHORT ByteCount; Count of data bytes
UCHAR Pad1[]; Pad to LONG
UCHAR Parameter bytes
Parameters[ParameterCount];
UCHAR Pad2[]; Pad to LONG
UCHAR Data[DataCount]; Data bytes
Server Response Description
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=============================== ====================================
UCHAR WordCount; Count of data bytes; value = 18 +
SetupCount
UCHAR Reserved[3];
ULONG TotalParameterCount; Total parameter bytes being sent
ULONG TotalDataCount; Total data bytes being sent
ULONG ParameterCount; Parameter bytes sent this buffer
ULONG ParameterOffset; Offset (from header start) to
Parameters
ULONG ParameterDisplacement; Specifies the offset from the start
of the overall parameter block to
the parameter bytes that are
contained in this message
ULONG DataCount; Data bytes sent this buffer
ULONG DataOffset; Offset (from header start) to data
ULONG DataDisplacement; Specifies the offset from the start
of the overall data block to the
data bytes that are contained in
this message.
UCHAR SetupCount; Count of setup words
USHORT Setup[SetupWordCount]; Setup words
USHORT ByteCount; Count of data bytes
UCHAR Pad1[]; Pad to LONG
UCHAR Parameter bytes
Parameters[ParameterCount];
UCHAR Pad2[]; Pad to SHORT or LONG
UCHAR Data[DataCount]; Data bytes
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3.9.50.3 FUNCTIONAL DESCRIPTION
The SMB_COM_TRANSACTION command's scope includes named pipes and
mailslots. Where the resource is unidirectional (such as class 2 writes
to mailslots), BIT1 of FLAGS in the request can be set indicating that
no response is needed. The other transactions accommodate IOCTL
requests and file system requests which require the transfer of an
extended attribute list.
The transaction SETUP information and/or PARAMETERS define functions
specific to a particular resource on a particular server. Therefore the
functions supported are not defined by the protocol, but by client and
server implementations. The transaction protocol simply provides a
means of delivering them and retrieving the results.
The number of bytes needed in order to perform the transaction request
may be more than will fit in a single buffer.
At the time of the request, the client knows the number of parameter and
data bytes expected to be sent and passes this information to the server
via the primary request (TOTALPARAMETERCOUNT and TOTALDATACOUNT). This
may be reduced by lowering the total number of bytes expected
(TOTALPARAMETERCOUNT and TOTALDATACOUNT) in each (if any) secondary
request.
When the amount of parameter bytes received (total of each
PARAMETERCOUNT) equals the total amount of parameter bytes expected
(smallest TOTALPARAMETERCOUNT) received, then the server has received
all the parameter bytes.
Likewise, when the amount of data bytes received (total of each
DATACOUNT) equals the total amount of data bytes expected (smallest
TOTALDATACOUNT) received, then the server has received all the data
bytes.
The parameter bytes should normally be sent first followed by the data
bytes. However, the server knows where each begins and ends in each
buffer by the offset fields (PARAMETEROFFSET and DATAOFFSET) and the
length fields (PARAMETERCOUNT and DATACOUNT). The displacement of the
bytes (relative to start of each) is also known (PARAMETERDISPLACEMENT
and DATADISPLACEMENT). Thus the server is able to reassemble the
parameter and data bytes should the individual requests be received out
of sequence.
If all parameter bytes and data bytes fit into a single buffer, then no
interim response is expected and no secondary request is sent.
The client knows the maximum amount of data bytes and parameter bytes
which the server may return (from MAXPARAMETERCOUNT and MAXDATACOUNT of
the request). Thus the client initializes its bytes expected variables
to these values. The server then informs the client of the actual
amounts being returned via each message of the server response
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(TOTALPARAMETERCOUNT and TOTALDATACOUNT). The server may reduce the
expected bytes by lowering the total number of bytes expected
(TOTALPARAMETERCOUNT and/or TOTALDATACOUNT) in each (any) response.
When the amount of parameter bytes received (total of each
PARAMETERCOUNT) equals the total amount of parameter bytes expected
(smallest TOTALPARAMETERCOUNT) received, then the client has received
all the parameter bytes.
Likewise, when the amount of data bytes received (total of each
DATACOUNT) equals the total amount of data bytes expected (smallest
TOTALDATACOUNT) received, then the client has received all the data
bytes.
The parameter bytes should normally be returned first followed by the
data bytes. However, the client knows where each begins and ends in
each buffer by the offset fields (PARAMETEROFFSET and DATAOFFSET) and
the length fields (PARAMETERCOUNT and DATACOUNT). The displacement of
the bytes (relative to start of each) is also known
(PARAMETERDISPLACEMENT and DATADISPLACEMENT). The client is able to
reassemble the parameter and data bytes should the server responses be
received out of sequence.
If a connectionless transport is being used, the transaction requests
must be properly sequenced in the CONNECTIONLESS.SEQUENCENUMBER SMB
header field. The MID of any secondary client requests must match the
MID of the primary client request. The server responds to each request
piece except the last one with a response indicating that the server is
ready for the next piece. The last piece is responded to with the first
piece of the result data. The client then sends an
SMB_COM_TRANSACTION_SECONDARY SMB with PARAMETERDISPLACEMENT set to the
number of parameter bytes received so far and DATADISPLACEMENT set to
the number of data bytes received so far and PARAMETERCOUNT,
PARAMETEROFFSET, DATACOUNT, and DATAOFFSET set to zero (0). The server
responds with the next piece of the transaction result. The process is
repeated until all of the response information has been received. When
the transaction has been completed, the client must send another
sequenced command (such as an SMB_COM_ECHO) to the server to allow the
server to know that the final piece was received and that resources
allocated to the transaction command may be released.
The flow for these transactions over a connection oriented transport is:
1. The client sends the primary client request identifying the total
bytes (both parameters and data) which are expected to be sent and
contains the set up words and as many of the parameter and data bytes as
will fit in a negotiated size buffer. This request also identifies the
maximum number of bytes (setup, parameters and data) the server is to
return on the transaction completion. If all the bytes fit in the
single buffer, skip to step 4.
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2. The server responds with a single interim response meaning "OK, send
the remainder of the bytes" or (if error response) terminate the
transaction.
3. The client then sends another buffer full of bytes to the server.
This step is repeated until all of the bytes are sent and received.
4. The Server sets up and performs the transaction with the information
provided.
5. Upon completion of the transaction, the server sends back (up to) the
number of parameter and data bytes requested (or as many as will fit in
the negotiated buffer size). This step is repeated until all result
bytes have been returned.
The flow for the transaction protocol when the request parameters and
data do not all fit in a single buffer is:
Client <-> Server
=============================== ==== ==============================
Primary TRANSACTION request ->
<- Interim Server Response
Secondary TRANSACTION request 1 ->
Secondary TRANSACTION request 2 ->
Secondary TRANSACTION request N ->
<- TRANSACTION response 1
<- TRANSACTION response 2
<- TRANSACTION response m
The flow for the transaction protocol when the request parameters and
data does all fit in a single buffer is:
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Client <-> Server
=============================== ==== ==============================
Primary TRANSACTION request ->
<- TRANSACTION response 1
<- TRANSACTION response 2
<- TRANSACTION response m
The flow for the transaction protocol over a connectionless transport
is:
1. The client sends the primary client request identifying the total
bytes (both parameters and data) which are expected to be sent and
contains the set up words and as many of the parameter and data bytes as
will fit in a negotiated size buffer. This request also identifies the
maximum number of bytes (setup, parameters and data) the server is to
return on completion. If all the bytes fit in the single buffer, skip
to step 4.
2. The server responds with a single interim response meaning "OK, send
the remainder of the bytes" or (if error response) terminate the
transaction.
3. The client then sends another buffer full of bytes to the server.
The server responds with an interim server response. This step is
repeated until all of the bytes are sent and received.
4. The Server sets up and performs the transaction with the information
provided.
5. Upon completion of the transaction, the server sends back (up to) the
number of parameter and data bytes requested (or as many as will fit in
the negotiated buffer size).
6. The client responds with a transaction secondary request. The server
sends back more response data. This step is repeated until all result
bytes have been returned.
7. The client sends a sequenced request to the server such as
SMB_COM_ECHO
The primary transaction request through the final response make up the
complete transaction exchange, thus the TID, PID, UID and MID must remain
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constant and can be used as appropriate by both the server and the
client. Of course, other SMB requests may intervene as well.
There are (at least) three ways that actual server responses have been
observed to differ from what might be expected. First, some servers will
send Pad bytes to move the DataOffset to a 2- or 4-byte boundary even if
there are no data bytes; the point here is that the ByteCount must be
used instead of ParameterOffset plus ParameterCount to infer the actual
message length. Second, some servers always return MaxParameterCount
bytes even if the particular Transact2 has no parameter response.
Finally, in case of an error, some servers send the "traditional
WordCount==0/ByteCount==0" response while others generate a Transact
response format.
3.9.50.4 SMB_COM_TRANSACTION OPERATIONS
3.9.50.4.1 Mail Slot Transaction Protocol
The only transaction allowed to a mailslot is a mailslot write. The
following table shows the interpretation of parameters for a mailslot
transaction:
Name Value Description
============== =================== ================================
Command SMB_COM_TRANSACTION
Name \MAILSLOT\<name> STRING Name of mail slot to
write
SetupCount 3
Setup[0] 1 Command code == write mailslot
Setup[1] Ignored
Setup[2] Ignored
TotalDataCount n Size of data to write to the
mailslot
Data[ n ] The data to write to the
mailslot
3.9.50.4.1.1 SERVER ANNOUNCEMENT MAILSLOT TRANSACTION
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A server announces its presence on the network by periodically
transmitting an announcement mailslot message to a well known name. The
server initially announces itself every minute, but as the server stays
up for longer and longer periods, it should stretch out its announcement
period to a maximum of once every 12 minutes. If a server has not been
heard from for three announcements, it is considered unavailable. The
announcements can be received by any entity on the network wishing to
keep a reasonably up to date view of the available network servers.
Systems wishing to be visible on the network and compatible with LANMAN
1.0 periodically send the following announcement:
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Name Value Description
============== =================== ================================
Command SMB_COM_TRANSACTION
Name \MAILSLOT\LANMAN
SetupCount 3
Setup[0] 1 Command code -- write mailslot
Setup[1] Ignored
Setup[2] Ignored
TotalDataCount n Size of following data to write
to the mailslot
Data [ n ] Description
===================== ==============================================
USHORT Opcode; Announcement ( value == 1 )
ULONG Bit mask describing the services running on
InstalledServices; the system
0x1 SMB Workstation
0x2 SMB Server
0x4 SQL Server
0x800 UNIX Operating System
0x1000 NT Operating System
UCHAR MajorVersion; Major version number of network software
UCHAR MinorVersion; Minor version number of network software
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USHORT Periodicity; Announcement frequency in seconds
UCHAR ServerName[]; NULL terminated ASCII server name
UCHAR NULL terminated ASCII server comment (up to 43
ServerComment[]; bytes in length)
The NETBIOS address for this mailslot transaction is the domain name
padded with blanks and having a zero as the sixteenth octet.
A client can cause LANMAN 1.0 severs to announce themselves to the
client by sending the following mailslot transaction to the specific
computer of interest or to the domain name as previously described:
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Name Value Description
============== =================== ================================
Command SMB_COM_TRANSACTION
Name \MAILSLOT\LANMAN
SetupCount 3
Setup[0] 1 Command code -- write mailslot
Setup[1] Ignored
Setup[2] Ignored
TotalDataCount n Size of following data to write
to the mailslot
Data [ n ] Description
========================== =========================================
USHORT Opcode; Request announcement ( value == 2 )
UCHAR NULL terminated ASCII name to which the
ResponseComputerName[]; announcement response should be sent.
Nodes wishing to be visible on the network and compatible with systems
using Windows for Workgroups 3.1a and later dialects periodically send
the following directed mailslot message to a NETBIOS address consisting
of the domain name padded with blanks and having a 0x1D in the sixteenth
octet.
Name Value Description
============== =================== ================================
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Command SMB_COM_TRANSACTION
Name \MAILSLOT\LANMAN
SetupCount 3
Setup[0] 1 Command code -- write mailslot
Setup[1] Ignored
Setup[2] Ignored
TotalDataCount n Size of following data to write
to the mailslot
Data [ n ] Description
====================== =============================================
UCHAR BrowseType; Announcement ( value == 1 )
UCHAR Reserved; value == 0
ULONG Periodicity; Announcement frequency in milliseconds
UCHAR ServerName[16] Name of this node doing the announcement.
ServerName[16] == 0
UCHAR VersionMajor; Major version number of network software
UCHAR VersionMinor; Minor version number of network software
ULONG Bit mask describing the services running on
InstalledServices; the system
0x1 SMB Workstation
0x2 SMB Server
0x4 SQL Server
0x800 UNIX Operating System
0x1000 NT Operating System
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ULONG AStrangeValue; == 0xAA55001F
UCHAR NULL terminated ASCII server comment (up to
ServerComment[44]; 44 bytes in length)
3.9.50.4.2 Named Pipe Transaction Protocol
A named pipe SMB_COM_TRANSACTION is used to wait for the specified named
pipe to become available (WaitNmPipe) or perform a logical "open ->
write -> read -> close" of the pipe (CallNmPipe), along with other
functions defined below.
The identifier "\PIPE\<name>" denotes a named pipe transaction, where
the <name> is the pipe name to apply the transaction against.
Name Value Description
============== =================== ================================
Command SMB_COM_TRANSACTION
Name \PIPE\<name> Name of pipe for operation
SetupCount 2
Setup[0] See Below Subcommand code
Setup[1] FID of pipe If required
TotalDataCount n Size of data
Data[ n ] If required
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The subcommand codes, placed in SETUP[0], for named pipe operations are:
SubCommand Code Value Description
=================== ===== =========================================
CallNamedPipe 0x54 open/write/read/close pipe
WaitNamedPipe 0x53 wait for pipe to be nonbusy
PeekNmPipe 0x23 read but don't remove data
QNmPHandState 0x21 query pipe handle modes
SetNmPHandState 0x01 set pipe handle modes
QNmPipeInfo 0x22 query pipe attributes
TransactNmPipe 0x26 write/read operation on pipe
RawReadNmPipe 0x11 read pipe in "raw" (non message mode)
RawWriteNmPipe 0x31 write pipe "raw" (non message mode) */
3.9.50.4.3 CallNamedPipe
This command is used to implement the Win32 CallNamedPipe() API
remotely. The CallNamedPipe function connects to a message-type pipe
(and waits if an instance of the pipe is not available), writes to and
reads from the pipe, and then closes the pipe.
This form of the transaction protocol sends no parameter bytes, thus the
bytes to be written to the pipe are sent as data bytes and the bytes
read from the pipe are returned as data bytes.
The number of bytes being written is defined by TOTALDATACOUNT and the
maximum number of bytes to return is defined by MAXDATACOUNT.
On the response TOTALPARAMETERCOUNT is 0 (no Parameter bytes to return),
TOTALDATACOUNT indicates the amount of databytes being returned in total
and DATACOUNT identifies the amount of data being returned in each
buffer.
Note that the full form of the Transaction protocol can be used to write
and read up to 65,535 bytes each utilizing the secondary requests and
responses.
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3.9.50.4.4 WaitNamedPipe
The command is used to implement the Win32 WaitNamedPipe() API remotely.
The WaitNamedPipe function waits until either a time-out interval
elapses or an instance of the specified named pipe is available to be
connected to (that is, the pipe's server process has a pending
ConnectNamedPipe operation on the pipe).
The server will wait up to TIMEOUT milliseconds for a pipe of the name
given to become available. Note that although the timeout is specified
in milliseconds, by the time that the timeout occurs and the client
receives the timed out response much more time than specified may have
occurred.
This form of the transaction protocol sends no data or parameter bytes.
The response also contains no data or parameters. If the transaction
response indicates success, the pipe may now be available. However,
this request does not reserve the pipe, thus all waiting programs may
race to get the pipe now available. The losers will get an error on the
pipe open attempt.
3.9.50.4.5 PeekNamedPipe
This form of the pipe Transaction protocol is used to implement the
Win32 PeekNamePipe() API remotely. The PeekNamedPipe function copies
data from a named or anonymous pipe into a buffer without removing it
from the pipe. It also returns information about data in the pipe.
TOTALPARAMETERCOUNT and TOTALDATACOUNT should be 0 for this request.
The FID of the pipe to which this request should be applied is in
Setup[1]. MAXPARAMETERCOUNT should be set to 6, requesting 3 words of
information about the pipe, and MAXDATACOUNT should be set to the number
of bytes to "peek".
The response contains the following PARAMETER WORDS:
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Name Description
================ ===================================================
Parameters[0, 1] Total number of bytes available to be read from the
pipe
Parameters[2,3] Total number of bytes remaining in the message at
the "head" of the pipe
Parameters[4,5] Pipe status.
1 Disconnected by server
2 Listening
3 Connection to server is OK
4 Server end of pipe is closed
The DATA portion of the response is the data peeked from the named pipe.
3.9.50.4.6 GetNamedPipeHandleState
This form of the pipe transaction protocol is used to implement the
Win32 GetNamedPipeHandleState() API. The GetNamedPipeHandleState
function retrieves information about a specified named pipe. The
information returned can vary during the lifetime of an instance of the
named pipe.
This request sends no parameters and no data. The FID of the pipe to
which this request should be applied is in Setup[1]. MAXPARAMETERCOUNT
should be set to 2 (requesting the 1 word of information about the pipe)
and MAXDATACOUNT should be 0 (not reading the pipe).
The response returns one parameter of pipe state information interpreted
as:
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Pipe Handle State Bits
5 4 3 2 1 0 9 8 7 6 5 4 3 2 1 0
B E * * T T R R |--- Icount --|
where:
B - Blocking
0 => reads/writes block if no data available
1 => reads/writes return immediately if no data
E - Endpoint
0 => client end of pipe
1 => server end of pipe
TT - Type of pipe
00 => pipe is a byte stream pipe
01 => pipe is a message pipe
RR - Read Mode
00 => Read pipe as a byte stream
01 => Read messages from pipe
Icount - 8-bit count to control pipe instancing
The E (endpoint) bit is 0 because this handle is the client end of a
pipe.
3.9.50.4.7 SetNamedPipeHandleState
This form of the pipe transaction protocol is used to implement the
Win32 SetNamedPipeHandleState() API. The SetNamedPipeHandleState
function sets the read mode and the blocking mode of the specified named
pipe.
This request sends 1 parameter word (TOTALPARAMETERCOUNT = 2) which is
the pipe state to be set. The FID of the pipe to which this request
should be applied is in SETUP[1].
The response contains no data or parameters.
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The interpretation of the input parameter word is:
Pipe Handle State Bits
5 4 3 2 1 0 9 8 7 6 5 4 3 2 1 0
B * * * * * R R 0 0 0 0 0 0 0 0
where:
B - Blocking
0 => reads/writes block if no data available
1 => reads/writes return immediately if no data
RR - Read Mode
00 => Read pipe as a byte stream
01 => Read messages from pipe
Note that only the read mode (byte or message) and blocking/nonblocking
mode of a named pipe can be changed. Some combinations of parameters
may be illegal and will be rejected as an error.
3.9.50.4.8 GetNamedPipeInfo
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This form of the pipe transaction protocol is used to implement the
Win32 GetNamedPipeInfo() API. The GetNamedPipeInfo function retrieves
information about the specified named pipe.
The request sends 1 parameter word (TOTALPARAMETERCOUNT = 2) which is
the information level requested and must be set to 1. The FID of the
pipe to which this request should be applied is in SETUP[1].
MAXDATACOUNT should be set to the size of the buffer specified by the
user in which to receive the pipe information.
Pipe information is returned in the data area of the response, up to the
number of bytes specified. The information is returned in the following
format:
Name Size Description
================ ====== ==========================================
OutputBufferSize USHORT actual size of buffer for outgoing
(server) I/O
InputBufferSize USHORT actual size of buffer for incoming
(client) I/O
MaximumInstances UCHAR Maximum allowed number of instances
CurrentInstances UCHAR Current number of instances
PipeNameLength UCHAR Length of pipe name (including the null)
PipeName STRING Name of pipe (NOT including \\NodeName -
\\NodeName is prepended to this string by
the client before passing back to the
user)
3.9.50.4.9 TransactNamedPipe
This form of the pipe transaction protocol is used to implement the Win32
TransactNamedPipe() API. The TransactNamedPipe function combines into a single
network operation the functions that write a message to and read a message from
the specified named pipe.
It provides an optimum way to implement transaction-oriented dialogs.
TransactNamedPipe will fail if the pipe currently contains any unread
data or is not in message read mode. Otherwise the call will write the
entire request data bytes to the pipe and then read a response from the
pipe and return it in the data bytes area of the response protocol. In
the transaction request, SETUP[1] must contain the FID of the pipe.
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If NAME is \PIPE\LANMAN, this is a server API request. The request encoding is:
Request Field Description
================== =================================================
Parameters[0->1] API #
Parameters[2->N] ASCIIZ RAP description of input structure
Parameters[N->X] The input structure
The response is formatted as:
Response Field Description
================== =================================================
Parameters[0->1] Result Status
Parameters[2->3] Offset to result structure
The state of blocking/nonblocking has no effect on this protocol
(TransactNamedPipe does not return until a message has been read into
the response protocol). If MAXDATACOUNT is too small to contain the
response message, an error is returned.
3.9.50.4.10 RawReadNamedPipe
RawReadNamedPipe reads bytes directly from a pipe, regardless of whether
it is a message or byte pipe. For a byte pipe, this is exactly like
SMB_COM_READ. For a message pipe, this is exactly like reading the pipe
in byte read mode, except message headers will also be returned in the
buffer (note that message headers will always be returned in toto--never
split at a byte boundary).
This request sends no parameters or data to the server, and SETUP[1]
must contain the FID of the pipe to read. MAXDATACOUNT should contain
the number of bytes to read raw.
The response will return 0 parameters, and DATACOUNT will be set to the
number of bytes read.
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3.9.50.4.11 RawWriteNamedPipe
RawWriteNamedPipe puts bytes directly into a pipe, regardless of whether it is a
message or byte pipe. The data will include message headers if it is a message
pipe. This call ignores the blocking/nonblocking state and always acts in a
blocking manner. It returns only after all bytes have been written.
The request sends no parameters. SETUP[1] must contain the FID of the pipe to
write. TOTALDATACOUNT is the total amount of data to write to the pipe. Writing
zero bytes to a pipe is an error unless the pipe is in message mode.
The response contains no data and one parameter word. If no error is returned,
the one parameter word indicates the number of the requested bytes that have been
"written raw" to the specified pipe.
3.9.50.5 SMB_COM_TRANSACTION2 OPERATIONS
The subcommand code for SMB_COM_TRANSACTION2 request is placed in
Setup[0]. The parameters associated with any particular request are
placed in the PARAMETERS vector of the request. The defined subcommand
codes are:
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Setup[0] Transaction2 Value Description
Subcommand Code
=============================== ===== =============================
TRANS2_OPEN2 0x00 Create file with extended
attributes
TRANS2_FIND_FIRST2 0x01 Begin search for files
TRANS2_FIND_NEXT2 0x02 Resume search for files
TRANS2_QUERY_FS_INFORMATION 0x03 Get file system information
0x04 Reserved
TRANS2_QUERY_PATH_INFORMATION 0x05 Get information about a named
file or directory
TRANS2_SET_PATH_INFORMATION 0x06 Set information about a named
file or directory
TRANS2_QUERY_FILE_INFORMATION 0x07 Get information about a
handle
TRANS2_SET_FILE_INFORMATION 0x08 Set information by handle
TRANS2_FSCTL 0x09 Not implemented by NT server
TRANS2_IOCTL2 0x0A Not implemented by NT server
TRANS2_FIND_NOTIFY_FIRST 0x0B Not implemented by NT server
TRANS2_FIND_NOTIFY_NEXT 0x0C Not implemented by NT server
TRANS2_CREATE_DIRECTORY 0x0D Create directory with
extended attributes
TRANS2_SESSION_SETUP 0x0E Session setup with extended
security information
TRANS2_GET_DFS_REFERRAL 0x10 Get a Dfs referral
TRANS2_REPORT_DFS_INCONSISTENCY 0x11 Report a Dfs knowledge
inconsistency
3.9.50.5.1 TRANS2_OPEN2
This transaction is used to open or create a file having extended
attributes.
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Client Request Value
============================ =======================================
WordCount 15
TotalDataCount Total size of extended attribute list
DataOffset Offset to extended attribute list in
this request
SetupCount 1
Setup[0] TRANS2_OPEN2
Parameter Block Encoding Description
============================ =======================================
USHORT Flags; Additional information: bit set-
0 - return additional info
1 - exclusive oplock requested
2 - batch oplock requested
3 - return total length of EAs
USHORT DesiredAccess; Requested file access
USHORT Reserved1; Ought to be zero. Ignored by the
server.
USHORT FileAttributes; Attributes for file if create
SMB_TIME CreationTime; Creation time to apply to file if
create
SMB_DATE CreationDate; Creation date to apply to file if
create
USHORT OpenFunction; Open function
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ULONG AllocationSize; Bytes to reserve on create or truncate
USHORT Reserved [5]; Must be zero
STRING FileName; Name of file to open or create
UCHAR Data[ TotalDataCount ] FEAList structure for file to be
created
If secondary requests are required, they must contain 0 parameter bytes,
and the FID in the secondary request is 0xFFFF.
DESIREDACCESS is encoded as described in the "Access Mode Encoding"
section elsewhere in this document.
FILEATTRIBUTES are encoded as described in the "File Attribute Encoding"
section elsewhere in this document.
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OPENFUNCTION specifies the action to be taken depending on whether or
not the file exists. This word has the following format:
bits:
1111 11
5432 1098 7654 3210
rrrr rrrr rrrC rrOO
where:
C - Create (action to be taken if file does not exist).
0 -- Fail.
1 -- Create file.
r - reserved (must be zero).
O - Open (action to be taken if file exists).
0 - Fail.
1 - Open file.
2 - Truncate file.
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ACTION in the response specifies the action as a result of this request.
It has the following format:
bits:
1111 11
5432 1098 7654 3210
Lrrr rrrr rrrr rrOO
where:
L - Lock (single user total file lock status).
0 -- file opened by another user (or mode not supported
by server).
1 -- file is opened only by this user at the present
time.
r - reserved (must be zero).
O - Open (action taken on Open).
1 - The file existed and was opened.
2 - The file did not exist but was created.
3 - The file existed and was truncated.
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Response Parameter Block Description
========================== =========================================
USHORT Fid; File handle
USHORT FileAttributes; Attributes of file
SMB_TIME CreationTime; Last modification time
SMB_DATE CreationDate; Last modification date
ULONG DataSize; Current file size
USHORT GrantedAccess; Access permissions actually allowed
USHORT FileType; Type of file
USHORT DeviceState; State of IPC device (e.g. pipe)
USHORT Action; Action taken
ULONG Reserved;
USHORT EaErrorOffset; Offset into EA list if EA error
ULONG EaLength; Total EA length for opened file
FILETYPE returns the kind of resource actually opened:
Name Value Description
======================= ====== =====================================
FileTypeDisk 0 Disk file or directory as defined in
the attribute field
FileTypeByteModePipe 1 Named pipe in byte mode
FileTypeMessageModePipe 2 Named pipe in message mode
FileTypePrinter 3 Spooled printer
FileTypeUnknown 0xFFFF Unrecognized resource type
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DEVICESTATE is applicable only if the FILETYPE is FileTypeByteModePipe
or FileTypeMessageModePipe and is encoded as follows:
5 4 3 2 1 0 9 8 7 6 5 4 3 2 1 0
B E * * T T R R
where:
B - Blocking
0 => reads/writes block if no data available
1 => reads/writes return immediately if no data
E - Endpoint
0 => client end of pipe
1 => server end of pipe
TT - Type of pipe
00 => pipe is a byte stream pipe
01 => pipe is a message pipe
RR - Read Mode
00 => Read pipe as a byte stream
01 => Read messages from pipe
If an error was detected in the incoming EA list, the offset of the
error is returned in EAERROROFFSET.
If BIT0 of FLAGS in the request is clear, the FILEATTRIBUTES,
CREATIONTIME, CREATIONDATE, DATASIZE, GRANTEDACCESS, FILETYPE, and
DEVICESTATE have indeterminate values in the response. Similarly, if
BIT3 of the request is clear, EALENGTH in the response has an
indeterminate value in the response.
This SMB can request an oplock on the opened file. Oplocks are fully
described in the "Oplocks" section elsewhere in this document, and there
is also discussion of oplocks in the SMB_COM_LOCKING_ANDX SMB
description. BIT1 and BIT2 of the FLAGS field are used to request
oplocks during open.
3.9.50.5.2 TRANS2_FIND_FIRST2
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Client Request Value
================================== ==================================
WordCount 15
TotalDataCount Total size of extended attribute
list
SetupCount 1
Setup[0] TRANS2_FIND_FIRST2
Parameter Block Encoding Description
================================== ==================================
USHORT SearchAttributes;
USHORT SearchCount; Maximum number of entries to
return
USHORT Flags; Additional information:
Bit 0 - close search after this
request
Bit 1 - close search if end of
search reached
Bit 2 - return resume keys for
each entry found
Bit 3 - continue search from
previous ending place
Bit 4 - find with backup intent
USHORT InformationLevel;
ULONG SearchStorageType;
STRING FileName; Pattern for the search
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UCHAR Data[ TotalDataCount ] FEAList if InformationLevel is
QUERY_EAS_FROM_LIST
Response Parameter Block Description
================================== ==================================
USHORT Sid; Search handle
USHORT SearchCount; Number of entries returned
USHORT EndOfSearch; Was last entry returned?
USHORT EaErrorOffset; Offset into EA list if EA error
USHORT LastNameOffset; Offset into data to file name of
last entry, if server needs it to
resume search; else 0
UCHAR Data[ TotalDataCount ] Level dependent info about the
matches found in the search
This request allows the client to search for the file(s) which match the
file specification. The search can be continued if necessary with
TRANS2_FIND_NEXT2. There are numerous levels of information which may be
obtained for the returned files, the desired level is specified in the
INFORMATIONLEVEL field of the request.
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InformationLevel Name Value
================================= ==================================
SMB_INFO_STANDARD 1
SMB_INFO_QUERY_EA_SIZE 2
SMB_INFO_QUERY_EAS_FROM_LIST 3
SMB_FIND_FILE_DIRECTORY_INFO 0x101
SMB_FIND_FILE_FULL_DIRECTORY_INFO 0x102
SMB_FIND_FILE_NAMES_INFO 0x103
SMB_FIND_FILE_BOTH_DIRECTORY_INFO 0x104
Information levels whose values are greater than 0x101 are mapped to
corresponding calls to NtQueryInformationFile calls by the server. The
three levels below 0x101 are described below. The requested information
is placed in the DATA portion of the transaction response.
A client which does not support long names can only request
SMB_INFO_STANDARD. The following sections detail the data returned for
each InformationLevel.
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3.9.50.5.2.1 SMB_INFO_STANDARD
Response Field Description
================================ ==================================
SMB_DATE CreationDate; Date when file was created
SMB_TIME CreationTime; Time when file was created
SMB_DATE LastAccessDate; Date of last file access
SMB_TIME LastAccessTime; Time of last file access
SMB_DATE LastWriteDate; Date of last write to the file
SMB_TIME LastWriteTime; Time of last write to the file
ULONG DataSize; File Size
ULONG AllocationSize; Size of filesystem allocation unit
USHORT Attributes; File Attributes
UCHAR FileNameLength; Length of filename in bytes
STRING FileName; Name of found file
3.9.50.5.2.2 SMB_INFO_QUERY_EA_SIZE
Response Field Description
================================= ==================================
SMB_DATE CreationDate; Date when file was created
SMB_TIME CreationTime; Time when file was created
SMB_DATE LastAccessDate; Date of last file access
SMB_TIME LastAccessTime; Time of last file access
SMB_DATE LastWriteDate; Date of last write to the file
SMB_TIME LastWriteTime; Time of last write to the file
ULONG DataSize; File Size
ULONG AllocationSize; Size of filesystem allocation unit
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USHORT Attributes; File Attributes
ULONG EaSize; Size of file's EA information
UCHAR FileNameLength; Length of filename in bytes
STRING FileName; Name of found file
3.9.50.5.2.3 SMB_INFO_QUERY_EAS_FROM_LIST
This request returns the same information as SMB_INFO_QUERY_EA_SIZE, but
only for files which have an EA list which match the EA information in
the DATA part of the request.
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3.9.50.5.2.4 SMB_FIND_FILE_DIRECTORY_INFO
Response Field Description
================================= ==================================
ULONG NextEntryOffset; Offset from this structure to
beginning of next one
ULONG FileIndex;
LARGE_INTEGER CreationTime; file creation time
LARGE_INTEGER LastAccessTime; last access time
LARGE_INTEGER LastWriteTime; last write time
LARGE_INTEGER ChangeTime; last attribute change time
LARGE_INTEGER EndOfFile; file size
LARGE_INTEGER AllocationSize; size of filesystem allocation
information
ULONG FileAttributes; NT style encoding of file
attributes
ULONG FileNameLength; Length of filename in bytes
STRING FileName; Name of the file
3.9.50.5.2.5 SMB_FIND_FILE_FULL_DIRECTORY_INFO
Response Field Description
================================= ==================================
ULONG NextEntryOffset; Offset from this structure to
beginning of next one
ULONG FileIndex;
LARGE_INTEGER CreationTime; file creation time
LARGE_INTEGER LastAccessTime; last access time
LARGE_INTEGER LastWriteTime; last write time
LARGE_INTEGER ChangeTime; last attribute change time
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LARGE_INTEGER EndOfFile; file size
LARGE_INTEGER AllocationSize; size of filesystem allocation
information
ULONG FileAttributes; NT style encoding of file
attributes
ULONG FileNameLength; Length of filename in bytes
ULONG EaSize; Size of file's extended attributes
STRING FileName; Name of the file
3.9.50.5.2.6 SMB_FIND_FILE_BOTH_DIRECTORY_INFO
Response Field Description
================================= ==================================
ULONG NextEntryOffset; Offset from this structure to
beginning of next one
ULONG FileIndex;
LARGE_INTEGER CreationTime; file creation time
LARGE_INTEGER LastAccessTime; last access time
LARGE_INTEGER LastWriteTime; last write time
LARGE_INTEGER ChangeTime; last attribute change time
LARGE_INTEGER EndOfFile; file size
LARGE_INTEGER AllocationSize; size of filesystem allocation
information
ULONG FileAttributes; NT style encoding of file
attributes
ULONG FileNameLength; Length of FileName in bytes
ULONG EaSize; Size of file's extended attributes
UCHAR ShortNameLength; Length of file's short name in
bytes
WCHAR ShortName[12]; File's 8.3 conformant name in
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Unicode
STRING FileName; Files full length name
3.9.50.5.2.7 SMB_FIND_FILE_NAMES_INFO
Response Field Description
================================= ==================================
ULONG NextEntryOffset; Offset from this structure to
beginning of next one
ULONG FileIndex;
ULONG FileNameLength; Length of FileName in bytes
STRING FileName; Files full length name
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3.9.50.5.2.8 TRANS2_FIND_NEXT2
This request resumes a search which was begun with a previous
TRANS2_FIND_FIRST2 request.
Client Request Value
================================== =================================
WordCount 15
SetupCount 1
Setup[0] TRANS2_FIND_NEXT2
Parameter Block Encoding Description
================================== =================================
USHORT Sid; Search handle
USHORT SearchCount; Maximum number of entries to
return
USHORT InformationLevel; Levels described in
TRANS2_FIND_FIRST2 request
ULONG ResumeKey; Value returned by previous find2
call
USHORT Flags; Additional information: bit set-
0 - close search after this
request
1 - close search if end of
search reached
2 - return resume keys for each
entry found
3 - resume/continue from
previous ending place
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4 - find with backup intent
STRING FileName; Resume file name
SID is the value returned by a previous successful TRANS2_FIND_FIRST2
call. If BIT3 of FLAGS is set, then FILENAME may be the NULL string,
since the search is continued from the previous TRANS2_FIND request.
Otherwise, FILENAME must not be more than 256 characters long.
Response Field Description
================================== =================================
USHORT SearchCount; Number of entries returned
USHORT EndOfSearch; Was last entry returned?
USHORT EaErrorOffset; Offset into EA list if EA error
USHORT LastNameOffset; Offset into data to file name of
last entry, if server needs it to
resume search; else 0
UCHAR Data[TotalDataCount] Level dependent info about the
matches found in the search
3.9.50.5.2.9 TRANS2_QUERY_FS_INFORMATION
This transaction requests information about a filesystem on the server.
Client Request Value
================================== =================================
WordCount; 15
TotalParameterCount; 2 or 4
MaxSetupCount; 0
SetupCount; 1 or 2
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Setup[0]; TRANS2_QUERY_FS_INFORMATION
Parameter Block Encoding Description
================================== =================================
USHORT Information Level; Level of information requested
If the transaction request is TRANS2_QUERY_FS_INFORMATION, the
filesystem is identified by TID in the SMB header.
MAXDATACOUNT in the transaction request must be large enough to
accommodate the response.
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The encoding of the response parameter block depends on the
INFORMATIONLEVEL requested. Information levels whose values are greater
than 0x102 are mapped to corresponding calls to
NtQueryVolumeInformatinFile calls by the server. The two levels below
0x102 are described below. The requested information is placed in the
DATA portion of the transaction response.
InformationLevel Value NtQueryVolumeInformationFile
equivalent
============================= ====== =============================
SMB_INFO_ALLOCATION 1
SMB_INFO_VOLUME 2
SMB_QUERY_FS_VOLUME_INFO 0x102 FileFsVolumeInformation
SMB_QUERY_FS_SIZE_INFO 0x103 FileFsSizeInformation
SMB_QUERY_FS_DEVICE_INFO 0x104 FileFsDeviceInformation
SMB_QUERY_FS_ATTRIBUTE_INFO 0x105 FileFsAttributeInformation
The following sections describe the INFORMATIONLEVEL dependent encoding
of the data part of the transaction response for the non-NT-equivalent
information levels.
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3.9.50.5.2.9.1 SMB_INFO_ALLOCATION
Data Block Encoding Description
=================== ================================================
ULONG idFileSystem; File system identifier. NT server always
returns 0
ULONG cSectorUnit; Number of sectors per allocation unit
ULONG cUnit; Total number of allocation units
ULONG cUnitAvail; Total number of available allocation units
USHORT cbSector; Number of bytes per sector
3.9.50.5.2.9.2 SMB_INFO_VOLUME
Data Block Encoding Description
=================== ================================================
ULONG ulVsn; Volume serial number
UCHAR cch; Number of characters in Label
STRING Label; The volume label
3.9.50.5.2.10 TRANS2_QUERY_PATH_INFORMATION
This request is used to get information about a specific file or
subdirectory.
Client Request Value
========================== =========================================
WordCount 15
MaxSetupCount 0
SetupCount 1
Setup[0] TRANS2_QUERY_PATH_INFORMATION
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Parameter Block Encoding Description
========================== =========================================
USHORT InformationLevel; Level of information requested
ULONG Reserved; Must be zero
STRING FileName; File or directory name
The following InformationLevels may be requested:
Information Level Value NtQueryInformationFile
Equivalent
================================ ===== ============================
SMB_INFO_STANDARD 1
SMB_INFO_QUERY_EA_SIZE 2
SMB_INFO_QUERY_EAS_FROM_LIST 3
SMB_INFO_QUERY_ALL_EAS 4
SMB_INFO_IS_NAME_VALID 6
SMB_QUERY_FILE_BASIC_INFO 0x101 FileBasicInformation
SMB_QUERY_FILE_STANDARD_INFO 0x102 FileStandardInformation
SMB_QUERY_FILE_EA_INFO 0x103 FileEaInformation
SMB_QUERY_FILE_NAME_INFO 0x104 FileNameInformation
SMB_QUERY_FILE_ALL_INFO 0x107 FileAllInformation
SMB_QUERY_FILE_ALT_NAME_INFO 0x108 FileAlternateNameInformation
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SMB_QUERY_FILE_STREAM_INFO 0x109 FileStreamInformation
SMB_QUERY_FILE_COMPRESSION_INFO 0x10B FileCompressionInformation
Information levels whose values are greater than 0x101 are mapped to
corresponding calls to NtQueryInformationFile calls by the server. The
five levels below 0x101 are described below. The requested information
is placed in the Data portion of the transaction response. For the NT
equivalent responses, the transaction response has 1 parameter word
which should be ignored by the client.
3.9.50.5.2.10.1 SMB_INFO_STANDARD & SMB_INFO_QUERY_EA_SIZE
Data Block Encoding Description
=============================== ====================================
SMB_DATE CreationDate; Date when file was created
SMB_TIME CreationTime; Time when file was created
SMB_DATE LastAccessDate; Date of last file access
SMB_TIME LastAccessTime; Time of last file access
SMB_DATE LastWriteDate; Date of last write to the file
SMB_TIME LastWriteTime; Time of last write to the file
ULONG DataSize; File Size
ULONG AllocationSize; Size of filesystem allocation unit
USHORT Attributes; File Attributes
ULONG EaSize; Size of file's EA information
(SMB_INFO_QUERY_EA_SIZE)
3.9.50.5.2.10.2 SMB_INFO_QUERY_EAS_FROM_LIST & SMB_INFO_QUERY_ALL_EAS
Response Field Value
==================== ===============================================
MaxDataCount Length of FEAlist found (minimum value is 4)
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Parameter Block Description
Encoding
==================== ===============================================
USHORT EaErrorOffset Offset into EAList of EA error
Data Block Encoding Description
==================== ===============================================
ULONG ListLength; Length of the remaining data
UCHAR EaList[] The extended attributes list
3.9.50.5.2.10.3 SMB_INFO_IS_NAME_VALID
This requests checks to see if the name of the file contained in the
request's DATA field has a valid path syntax. No parameters or data are
returned on this information request. An error is returned if the syntax
of the name is incorrect. SUCCESS indicates the server accepts the path
syntax, but it does not ensure the file or directory actually exists.
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3.9.50.5.2.11 TRANS2_SET_PATH_INFORMATION
This request is used to set information about a specific file or
subdirectory.
Client Request Value
========================== =========================================
WordCount 15
MaxSetupCount 0
SetupCount 1
Setup[0] TRANS2_SET_PATH_INFORMATION
Parameter Block Encoding Description
========================== =========================================
USHORT InformationLevel; Level of information to set
ULONG Reserved; Must be zero
STRING FileName; File or directory name
The following INFORMATIONLEVELS may be set:
Information Level Value
========================== =========================================
SMB_INFO_STANDARD 1
SMB_INFO_QUERY_EA_SIZE 2
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SMB_INFO_QUERY_ALL_EAS 4
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The response formats are:
3.9.50.5.2.11.1 SMB_INFO_STANDARD & SMB_INFO_QUERY_EA_SIZE
Parameter Block Encoding Description
================================== =================================
USHORT Reserved 0
Data Block Encoding Description
================================== =================================
SMB_DATE CreationDate; Date when file was created
SMB_TIME CreationTime; Time when file was created
SMB_DATE LastAccessDate; Date of last file access
SMB_TIME LastAccessTime; Time of last file access
SMB_DATE LastWriteDate; Date of last write to the file
SMB_TIME LastWriteTime; Time of last write to the file
ULONG DataSize; File Size
ULONG AllocationSize; Size of filesystem allocation
unit
USHORT Attributes; File Attributes
ULONG EaSize; Size of file's EA information
(SMB_INFO_QUERY_EA_SIZE)
3.9.50.5.2.11.2 SMB_INFO_QUERY_ALL_EAS
Response Field Value
==================== ===============================================
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MaxDataCount Length of FEAlist found (minimum value is 4)
Parameter Block Description
Encoding
==================== ===============================================
USHORT EaErrorOffset Offset into EAList of EA error
Data Block Encoding Description
==================== ===============================================
ULONG ListLength; Length of the remaining data
UCHAR EaList[] The extended attributes list
3.9.50.5.2.12 TRANS2_QUERY_FILE_INFORMATION
This request is used to get information about a specific file or
subdirectory given a handle to it.
Client Request Value
========================== ==========================================
WordCount 15
MaxSetupCount 0
SetupCount 1
Setup[0] TRANS2_QUERY_FILE_INFORMATION
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Parameter Block Encoding Description
========================== ==========================================
USHORT Fid; Handle of file for request
USHORT InformationLevel; Level of information requested
The available information levels, as well as the format of the response
are identical to TRANS2_QUERY_PATH_INFORMATION.
3.9.50.5.2.13 TRANS2_SET_FILE_INFORMATION
This request is used to set information about a specific file or
subdirectory given a handle to the file or subdirectory.
Client Request Value
========================== ==========================================
WordCount 15
MaxSetupCount 0
SetupCount 1
Setup[0] TRANS2_SET_FILE_INFORMATION
Parameter Block Encoding Description
========================== ==========================================
USHORT Fid; Handle of file for request
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USHORT InformationLevel; Level of information requested
USHORT Reserved; Ignored by the server
The following INFORMATIONLEVELS may be set:
Information Level Value NtSetFileInformation equiv.
================================ ===== =============================
SMB_INFO_STANDARD 1
SMB_INFO_QUERY_EA_SIZE 2
SMB_SET_FILE_BASIC_INFO 0x101 FileBasicInformation
SMB_SET_FILE_DISPOSITION_INFO 0x102 FileDispositionInformation
SMB_SET_FILE_ALLOCATION_INFO 0x103 FileAllocationInformation
SMB_SET_FILE_END_OF_FILE_INFO 0x104 FileEndOfFileInformation
Information levels whose values are greater than 0x100 are mapped to
corresponding calls to NtSetInformationFile calls by the server. The
two levels below 0x100 are as described in the NT_SET_PATH_INFORMATION
transaction. The requested information is placed in the Data portion of
the transaction response. For the NT equivalent responses, the
transaction response has 1 parameter word which should be ignored by the
client.
3.9.50.5.2.14 TRANS2_CREATE_DIRECTORY
This requests the server to create a directory relative to TID in the
SMB header, optionally assigning extended attributes to it.
Client Request Value
========================== =========================================
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WordCount 15
MaxSetupCount 0
SetupCount 1
Setup[0] TRANS2_CREATE_DIRECTORY
Parameter Block Encoding Description
========================== =========================================
ULONG Reserved; Reserved--must be zero
STRING Name[]; Directory name to create
UCHAR Data[]; Optional FEAList for the new directory
Response Parameter Block Description
========================== =========================================
USHORT EaErrorOffset Offset into FEAList of first error which
occurred while setting EAs
3.9.50.5.2.15 TRANS2_GET_DFS_REFERRAL: RETRIEVE DISTRIBUTED FILESYSTEM
REFERRAL
The client sends this request to ask the server to convert
REQUESTFILENAME into an alternate name for this file. This request can
be sent to the server if the server response to the NEGOTIATE SMB
included the CAP_DFS capability. The TID of the request must be IPC$.
BIT15 of FLAGS2 in the SMB header must be set, indicating this is a
UNICODE request.
Client Request Description
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========================== =========================================
WordCount 15
TotalDataCount 0
SetupCount 1
Setup[0] TRANS2_GET_DFS_REFERRAL
Parameter Block Encoding Description
========================== =========================================
USHORT MaxReferralLevel Latest referral version number understood
WCHAR RequestFileName; DFS name of file for which referral is
sought
Response Data Block Description
========================== =========================================
USHORT PathConsumed; Number of REQUESTFILENAME bytes client
USHORT NumberOfReferrals; Number of referrals contained in this
response
USHORT Flags; bit0 - The servers in REFERRALS are
capable of fielding
TRANS2_GET_DFS_REFERRAL.
bit1 - The servers in REFERRALS should
hold the storage for the requested file.
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REFERRAL_LIST Referrals[] Set of referrals for this file
UNICODESTRINGE Strings Used to hold the strings pointed to by
Version 2 Referrals in REFERRALS.
The server response is a list of REFERRALS which inform the client where
it should resubmit the request to obtain access to the file.
PATHCONSUMED in the response indicates to the client how many characters
of REQUESTFILENAME have been consumed by the server. When the client
chooses one of the referrals to use for file access, the client may need
to strip the leading PATHCONSUMED characters from the front of
REQUESTFILENAME before submitting the name to the target server.
Whether or not the pathname should be trimmed is indicated by the
individual referral as detailed below.
FLAGS indicates how this referral should be treated. If BIT0 is clear,
any entity in the REFERRALS list holds the storage for REQUESTFILENAME.
If BIT0 is set, any entity in the REFERRALS list has further referral
information for REQUESTFILENAME _ a TRANS2_GET_DFS_REFERRAL request
should be sent to an entity in the REFERRALS list for further
resolution.
The format of an individual referral contains version and length
information allowing the client to skip referrals it does not
understand. MaxReferralLevel indicates to the server the latest version
of referral which the client can digest. Since each referral has a
uniform element, MAXREFERRALLEVEL is advisory only. Each element in
REFERRALS has this envelope:
REFERRAL_LIST element
======================================================================
USHORT VersionNumber Version of this referral element
USHORT ReferralSize Size of this referral element
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The following referral element versions are defined:
Version 1 Referral Element Format
======================================================================
USHORT ServerType Type of NODE handling referral:
0 - Don't know
1 - SMB Server
2 - Netware Server
3 - Domain
USHORT ReferralFlags Flags which describe this referral:
01 - Strip off PATHCONSUMED characters
before submitting REQUESTFILENAME to
NODE
UNICODESTRING Node Name of entity to visit next
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Version 2 Referral Element Format
======================================================================
USHORT ServerType Type of NODE handling referral:
0 - Don't know
1 - SMB Server
2 - Netware Server
3 - Domain
USHORT ReferralFlags Flags which describe this
referral:
01 - Strip off PATHCONSUMED
characters before submitting
REQUESTFILENAME to NODE
ULONG Proximity A hint describing the proximity of
this server to the client. 0
indicates the closest, higher
numbers indicate increasingly
"distant" servers. The number is
only relevant within the context
of the servers listed in THIS
particular SMB.
ULONG TimeToLive Number of seconds for which the
client can cache this referral.
USHORT DfsPathOffset Offset, in bytes from the
beginning of this referral, of
the Dfs Path that matched
PATHCONSUMED bytes of the
REQUESTFILENAME.
USHORT DfsAlternatePathOffset Offset, in bytes from the
beginning of this referral, of an
alternate name (8.3 format) of the
Dfs Path that matched PATHCONSUMED
bytes of the REQUESTFILENAME.
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USHORT NetworkAddressOffset Offset, in bytes from the
beginning of this referral, of the
entity to visit next.
The SMB protocol imposes no referral selection policy.
3.9.50.5.2.16 TRANS2_REPORT_DFS_INCONSISTENCY: INFORM A SERVER ABOUT DFS
ERROR
As part of the Distributed Name Resolution algorithm, a Dfs client may
discover a knowledge inconsistency between the referral server (i.e.,
the server that handed out a referral), and the storage server (i.e.,
the server to which the client was redirected to by the referral
server). When such an inconsistency is discovered, the Dfs client
optionally sends this SMB to the referral server, allowing the referral
server to take corrective action.
Client Request Description
================================== ==================================
WordCount 15
MaxParameterCount 0
SetupCount 1
Setup[0] TRANS2_REPORT_DFS_INCONSISTENCY
Parameter Block Encoding Description
================================== ==================================
UNICODESTRING RequestFileName; DFS Name of file for which
referral was sought
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The data part of this request contains the referral element (Version 1
format only) believed to be in error. These are encoded as described in
the TRANS2_GET_DFS_REFERRAL response. If the server returns success,
the client can resubmit the TRANS2_GET_DFS_REFERRAL request to this
server to get a new referral. It is not mandatory for the Dfs knowledge
to be automatically repaired _ the client must be prepared to receive
further errant referrals and must not wind up looping between this
request and the TRANS2_GET_DFS_REFERRAL request.
BIT15 of FLAGS2 in the SMB header must be set, indicating this is a
UNICODE request.
3.9.50.6 SMB_COM_NT_TRANSACTION OPERATIONS
For these transactions, FUNCTION in the primary client request indicates
the operation to be performed. It may assume one of the following
values:
SubCommand Code Value Description
================================== ===== ===========================
NT_TRANSACT_CREATE 1 File open/create
NT_TRANSACT_IOCTL 2 Device IOCTL
NT_TRANSACT_SET_SECURITY_DESC 3 Set security descriptor
NT_TRANSACT_NOTIFY_CHANGE 4 Start directory watch
NT_TRANSACT_RENAME 5 Reserved (Handle-based
rename)
NT_TRANSACT_QUERY_SECURITY_DESC 6 Retrieve security
descriptor info
The following sections describe these requests.
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3.9.50.6.1 NT_TRANSACT_CREATE
This command is used to create or open a file or a directory, when EAs
or an SD must be applied to the file.
Request Parameter Block Encoding Description
=================================== ================================
ULONG Flags; Creation flags (see below)
ULONG RootDirectoryFid; Optional directory for relative
open
ACCESS_MASK DesiredAccess; Desired access (NT format)
LARGE_INTEGER AllocationSize; The initial allocation size in
bytes, if file created
ULONG FileAttributes; The file attributes, (NT format)
ULONG ShareAccess; The share access (NT format)
ULONG CreateDisposition; Action to take if file exists or
not (NT format)
ULONG CreateOptions; Options for creating a new file
(NT format)
ULONG SecurityDescriptorLength; Length of SD in bytes
ULONG EaLength; Length of EA in bytes
ULONG NameLength; Length of name in characters
ULONG ImpersonationLevel; Security QOS information (NT
format)
UCHAR SecurityFlags; Security QOS information (NT
format)
STRING Name[NameLength]; The name of the file (not NULL
terminated)
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Data Block Encoding Description
=================================== ================================
UCHAR SecurityDescriptor[
SecurityDescriptorLength];
UCHAR ExtendedAttributes[EaLength];
Creation Flag Name Value Description
========================== ====== ==================================
NT_CREATE_REQUEST_OPLOCK 0x02 Level I oplock requested
NT_CREATE_REQUEST_OPBATCH 0x04 Batch oplock requested
NT_CREATE_OPEN_TARGET_DIR 0x08 Target for open is a directory
Output Parameter Block Encoding Description
================================== ==================================
UCHAR OplockLevel; The oplock level granted
0 - No oplock granted
1 - Exclusive oplock granted
2 - Batch oplock granted
3 - Level II oplock granted
UCHAR Reserved;
USHORT Fid; The file ID
ULONG CreateAction; The action taken
ULONG EaErrorOffset; Offset of the EA error
TIME CreationTime; The time the file was created
TIME LastAccessTime; The time the file was accessed
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TIME LastWriteTime; The time the file was last written
TIME ChangeTime; The time the file was last changed
ULONG FileAttributes; The file attributes
LARGE_INTEGER AllocationSize; The number of byes allocated
LARGE_INTEGER EndOfFile; The end of file offset
USHORT FileType;
USHORT DeviceState; state of IPC device (e.g. pipe)
BOOLEAN Directory; TRUE if this is a directory
The above parameters are in native NT format.
3.9.50.6.2 NT_TRANSACT_IOCTL
This command allows device and file system control functions to be
transferred transparently from client to server.
Setup Words Encoding Description
=========================== =========================================
ULONG FunctionCode; NT device or file system control code
USHORT Fid; Handle for io or fs control. Unless BIT0
of ISFLAGS is set.
BOOLEAN IsFsctl; Indicates whether the command is a device
control (FALSE) or a file system control
(TRUE).
UCHAR IsFlags; BIT0 - command is to be applied to share
root handle. Share must be a DFS share.
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Data Block Encoding Description
=========================== =========================================
Data[ TotalDataCount ] Passed to the Fsctl or Ioctl
Server Response Description
================================== ==================================
SetupCount 1
Setup[0] Length of information returned by
io or fs control
DataCount Length of information returned by
io or fs control
Data[ DataCount ] The results of the io or fs
control
3.9.50.6.3 NT_TRANSACT_SET_SECURITY_DESC
This command allows the client to change the security descriptor on a
file.
Client Parameter Block Encoding Description
================================== ==================================
USHORT Fid; FID of target
USHORT Reserved; MBZ
ULONG SecurityInformation; Fields of SD that to set
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Data Block Encoding Description
================================== ==================================
Data[TotalDataCount] Security Descriptor information
DATA is passed directly to NtSetSecurityObject(), with
SECURITYINFORMATION describing which information to set. The
transaction response contains no parameters or data.
3.9.50.6.4 NT_TRANSACT_NOTIFY_CHANGE
Client Setup Words Description
================================== =================================
ULONG CompletionFilter; Specifies operation to monitor
(NT format)
USHORT Fid; Fid of directory to monitor
BOOLEAN WatchTree; TRUE = watch all subdirectories
too
UCHAR Reserved; MBZ
This command notifies the client when the directory specified by FID is
modified. It also returns the name(s) of the file(s) that changed. The
command completes once the directory has been modified based on the
supplied COMPLETIONFILTER. The command is a "single shot" and therefore
needs to be reissued to watch for more directory changes.
A directory file must be opened before this command may be used. Once
the directory is open, this command may be used to begin watching files
and subdirectories in the specified directory for changes. The first
time the command is issued, the MAXPARAMETERCOUNT field in the transact
header determines the size of the buffer that will be used at the server
to buffer directory change information between issuances of the notify
change commands.
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When a change that is in the COMPLETIONFILTER is made to the directory,
the command completes. The names of the files that have changed since
the last time the command was issued are returned to the client. The
PARAMETERCOUNT field of the response indicates the number of bytes that
are being returned. If too many files have changed since the last time
the command was issued, then zero bytes are returned and an alternate
status code is returned in the STATUS field of the response.
Server Response Description
================================== ==================================
ParameterCount # of bytes of change data
Parameters[ ParameterCount ] FILE_NOTIFY_INFORMATION structures
The response contains FILE_NOTIFY_INFORMATION structures, as defined in
ntioapi.h. The NextEntryOffset field of the structure specifies the
offset, in bytes, from the start of the current entry to the next entry
in the list. If this is the last entry in the list, this field is zero.
Each entry in the list must be longword aligned, so NextEntryOffset must
be a multiple of four.
3.9.50.6.5 NT_TRANSACT_QUERY_SECURITY_DESC
This command allows the client to retrieve the security descriptor on a
file.
Client Parameter Block Description
================================== =================================
USHORT Fid; FID of target
USHORT Reserved; MBZ
ULONG SecurityInformation; Fields of descriptor to set
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NtQuerySecurityObject() is called, requesting SECURITYINFORMATION. The
result of the call is returned to the client in the DATA part of the
transaction response.
3.9.51 NT_CANCEL: Cancel request
This SMB allows a client to cancel a request currently pending at the
server.
Client Request Description
================================== =================================
UCHAR WordCount; No words are sent (== 0)
USHORT ByteCount; No bytes (==0)
The SID, UID, PID, TID, and MID fields of the SMB are used to locate an
pending server request from this session. If a pending request is
found, it is "hurried along" which may result in success or failure of
the original request. No other response is generated for this SMB.
3.9.52 FIND_CLOSE2: Close Search
This SMB closes a search started by the TRANS2_FIND_FIRST2 transaction
request.
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Client Request Description
================================== ==================================
UCHAR WordCount; Count of parameter words = 1
USHORT Sid; Find handle
USHORT ByteCount; Count of data bytes = 0
Server Response Description
================================== ==================================
UCHAR WordCount; Count of parameter words = 0
USHORT ByteCount; Count of data bytes = 0
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4. SMB Command Codes
The following values have been assigned for the SMB Commands.
SMB_COM_CREATE_DIRECTORY 0x00
SMB_COM_DELETE_DIRECTORY 0x01
SMB_COM_OPEN 0x02
SMB_COM_CREATE 0x03
SMB_COM_CLOSE 0x04
SMB_COM_FLUSH 0x05
SMB_COM_DELETE 0x06
SMB_COM_RENAME 0x07
SMB_COM_QUERY_INFORMATION 0x08
SMB_COM_SET_INFORMATION 0x09
SMB_COM_READ 0x0A
SMB_COM_WRITE 0x0B
SMB_COM_LOCK_BYTE_RANGE 0x0C
SMB_COM_UNLOCK_BYTE_RANGE 0x0D
SMB_COM_CREATE_TEMPORARY 0x0E
SMB_COM_CREATE_NEW 0x0F
SMB_COM_CHECK_DIRECTORY 0x10
SMB_COM_PROCESS_EXIT 0x11
SMB_COM_SEEK 0x12
SMB_COM_LOCK_AND_READ 0x13
SMB_COM_WRITE_AND_UNLOCK 0x14
SMB_COM_READ_RAW 0x1A
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SMB_COM_READ_MPX 0x1B
SMB_COM_READ_MPX_SECONDARY 0x1C
SMB_COM_WRITE_RAW 0x1D
SMB_COM_WRITE_MPX 0x1E
SMB_COM_WRITE_COMPLETE 0x20
SMB_COM_SET_INFORMATION2 0x22
SMB_COM_QUERY_INFORMATION2 0x23
SMB_COM_LOCKING_ANDX 0x24
SMB_COM_TRANSACTION 0x25
SMB_COM_TRANSACTION_SECONDARY 0x26
SMB_COM_IOCTL 0x27
SMB_COM_IOCTL_SECONDARY 0x28
SMB_COM_COPY 0x29
SMB_COM_MOVE 0x2A
SMB_COM_ECHO 0x2B
SMB_COM_WRITE_AND_CLOSE 0x2C
SMB_COM_OPEN_ANDX 0x2D
SMB_COM_READ_ANDX 0x2E
SMB_COM_WRITE_ANDX 0x2F
SMB_COM_CLOSE_AND_TREE_DISC 0x31
SMB_COM_TRANSACTION2 0x32
SMB_COM_TRANSACTION2_SECONDARY 0x33
SMB_COM_FIND_CLOSE2 0x34
SMB_COM_FIND_NOTIFY_CLOSE 0x35
SMB_COM_TREE_CONNECT 0x70
SMB_COM_TREE_DISCONNECT 0x71
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SMB_COM_NEGOTIATE 0x72
SMB_COM_SESSION_SETUP_ANDX 0x73
SMB_COM_LOGOFF_ANDX 0x74
SMB_COM_TREE_CONNECT_ANDX 0x75
SMB_COM_QUERY_INFORMATION_DISK 0x80
SMB_COM_SEARCH 0x81
SMB_COM_FIND 0x82
SMB_COM_FIND_UNIQUE 0x83
SMB_COM_NT_TRANSACT 0xA0
SMB_COM_NT_TRANSACT_SECONDARY 0xA1
SMB_COM_NT_CREATE_ANDX 0xA2
SMB_COM_NT_CANCEL 0xA4
SMB_COM_OPEN_PRINT_FILE 0xC0
SMB_COM_WRITE_PRINT_FILE 0xC1
SMB_COM_CLOSE_PRINT_FILE 0xC2
SMB_COM_GET_PRINT_QUEUE 0xC3
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5. Error Codes and Classes
This section lists all of the valid values for
STATUS.DOSERROR.ERRORCLASS, and most of the error codes for
STATUS.DOSERROR.ERROR.
The following error classes may be returned by the server to the client.
Class Code Comment
======= ==== ====================================================
SUCCESS 0 The request was successful.
ERRDOS 0x01 Error is from the core DOS operating system set.
ERRSRV 0x02 Error is generated by the server network file
manager.
ERRHRD 0x03 Error is an hardware error.
ERRCMD 0xFF Command was not in the "SMB" format.
The following error codes may be generated with the SUCCESS error
class.
Class Code Comment
======= ==== ====================================================
SUCCESS 0 The request was successful.
The following error codes may be generated with the ERRDOS error class.
When an SMB dialect greater than equal to LANMAN 1.0 has been nego-
tiated, all of the error codes below may be generated plus any of the
error codes defined for OS/2 (see OS/2 operating system documentation
for complete list of OS/2 error codes). When an earlier dialect has
been negotiated, the server must map additional OS/2 (or OS/2 like)
errors to the errors listed below.
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Error Code Description
=============== ===== =============================================
ERRbadfunc 1 Invalid function. The server did not
recognize or could not perform a system call
generated by the server, e.g., set the
DIRECTORY attribute on a data file, invalid
seek mode.
ERRbadfile 2 File not found. The last component of a
file's pathname could not be found.
ERRbadpath 3 Directory invalid. A directory component in
a pathname could not be found.
ERRnofids 4 Too many open files. The server has no file
handles available.
ERRnoaccess 5 Access denied, the client's context does not
permit the requested function. This includes
the following conditions:
o invalid rename command
o write to fid open for read only
o read on fid open for write only
o attempt to delete a non-empty directory
ERRbadfid 6 Invalid file handle. The file handle
specified was not recognized by the server.
ERRbadmcb 7 Memory control blocks destroyed.
ERRnomem 8 Insufficient server memory to perform the
requested function.
ERRbadmem 9 Invalid memory block address.
ERRbadenv 10 Invalid environment.
ERRbadformat 11 Invalid format.
ERRbadaccess 12 Invalid open mode.
ERRbaddata 13 Invalid data (generated only by IOCTL calls
within the server).
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ERRbaddrive 15 Invalid drive specified.
ERRremcd 16 A Delete Directory request attempted to
remove the server's current directory.
ERRdiffdevice 17 Not same device (e.g., a cross volume rename
was attempted)
ERRnofiles 18 A File Search command can find no more files
matching the specified criteria.
ERRbadshare 32 The sharing mode specified for an Open
conflicts with existing FIDs on the file.
ERRlock 33 A Lock request conflicted with an existing
lock or specified an invalid mode, or an
Unlock requested attempted to remove a lock
held by another process.
ERRfilexists 80 The file named in a Create Directory, Make
New File or Link request already exists. The
error may also be generated in the Create and
Rename transaction.
ERRbadpipe 230 Pipe invalid.
ERRpipebusy 231 All instances of the requested pipe are busy.
ERRpipeclosing 232 Pipe close in progress.
ERRnotconnected 233 No process on other end of pipe.
ERRmoredata 234 There is more data to be returned.
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The following error codes may be generated with the ERRSRV error class.
Error Code Description
=============== ===== =============================================
ERRerror 1 Non-specific error code. It is returned
under the following conditions:
o resource other than disk space exhausted
(e.g. TIDs)
o first SMB command was not negotiate
o multiple negotiates attempted
o internal server error
ERRbadpw 2 Bad password - name/password pair in a Tree
Connect or Session Setup are invalid.
ERRaccess 4 The client does not have the necessary access
rights within the specified context for the
requested function.
ERRinvnid 5 The Tid specified in a command was invalid.
ERRinvnetname 6 Invalid network name in tree connect.
ERRinvdevice 7 Invalid device - printer request made to non-
printer connection or non-printer request
made to printer connection.
ERRqfull 49 Print queue full (files) -- returned by open
print file.
ERRqtoobig 50 Print queue full -- no space.
ERRqeof 51 EOF on print queue dump.
ERRinvpfid 52 Invalid print file FID.
ERRsmbcmd 64 The server did not recognize the command
received.
ERRsrverror 65 The server encountered an internal error,
e.g., system file unavailable.
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ERRfilespecs 67 The Fid and pathname parameters contained an
invalid combination of values.
ERRbadpermits 69 The access permissions specified for a file
or directory are not a valid combination.
The server cannot set the requested
attribute.
ERRsetattrmode 71 The attribute mode in the Set File Attribute
request is invalid.
ERRpaused 81 Server is paused. (reserved for messaging)
ERRmsgoff 82 Not receiving messages. (reserved for
messaging).
ERRnoroom 83 No room to buffer message. (reserved for
messaging).
ERRrmuns 87 Too many remote user names. (reserved for
messaging).
ERRtimeout 88 Operation timed out.
ERRnoresource 89 No resources currently available for request.
ERRtoomanyuids 90 Too many Uids active on this session.
ERRbaduid 91 The Uid is not known as a valid user
identifier on this session.
ERRusempx 250 Temporarily unable to support Raw, use MPX
mode.
ERRusestd 251 Temporarily unable to support Raw, use
standard read/write.
ERRcontmpx 252 Continue in MPX mode.
ERRnosupport 65535 Function not supported.
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The following error codes may be generated with the ERRHRD error class.
Error Code Description
=============== ===== =============================================
ERRnowrite 19 Attempt to write on write-protected media
ERRbadunit 20 Unknown unit.
ERRnotready 21 Drive not ready.
ERRbadcmd 22 Unknown command.
ERRdata 23 Data error (CRC).
ERRbadreq 24 Bad request structure length.
ERRseek 25 Seek error.
ERRbadmedia 26 Unknown media type.
ERRbadsector 27 Sector not found.
ERRnopaper 28 Printer out of paper.
ERRwrite 29 Write fault.
ERRread 30 Read fault.
ERRgeneral 31 General failure.
ERRbadshare 32 A open conflicts with an existing open.
ERRlock 33 A Lock request conflicted with an existing
lock or specified an invalid mode, or an
Unlock requested attempted to remove a lock
held by another process.
ERRwrongdisk 34 The wrong disk was found in a drive.
ERRFCBUnavail 35 No FCBs are available to process request.
ERRsharebufexc 36 A sharing buffer has been exceeded.
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6. Legal Notice
Microsoft does not know of any third-party rights that are violated by
this contribution. Microsoft makes no other representations regarding
this contribution.
7. References
[1] P. Mockapetris, "Domain Names - Concepts And Facilities", RFC 1034,
November 1987
[2] P. Mockapetris, "Domain Names - Implementation And Specification",
RFC 1035, November 1987
[3] Karl Auerbach, "Protocol Standard For A Netbios Service On A Tcp/Udp
Transport: Concepts And Methods", RFC 1001, March 1987
[4] Karl Auerbach, "Protocol Standard For A Netbios Service On A Tcp/Udp
Transport: Detailed Specifications", RFC 1002, March 1987
[5] US National Bureau of Standards, "Data Encryption Standard",
Federal Information Processing Standard (FIPS) Publication
46-1, January 1988
[6] Rivest, R. - MIT and RSA Data Security, Inc., "The MD4 Message
Digest Algorithm", RFC 1320, April 1992
[7] X/Open Company Ltd., "X/Open CAE Specification - Protocols for
X/Open PC Interworking: SMB, Version 2", X/Open Document Number:
CAE 209, September 1992.
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8. Security Considerations
There are four authentication mechanisms, each with their own strengths
and weaknesses, as well as attacks that are independent of the
authentication protocol.
8.1 Share level protection
In share level protection, there are no per-user passwords; knowledge of
the read or write password is what gives read or write access. Since the
passwords must be disclosed to be used, and hence known by many people,
the scheme is quite weak.
In addition, the passwords are sent in the clear over the network, so
they have all the weaknesses of clear text passwords in user level
security.
8.2 Plaintext Password Authentication
This authentication protocol sends the client's password in the clear.
It should be used only when needed for backwards compatibility, and only
where the chances of eavesdropping is deemed acceptable, such as
relatively isolated networks. Passwords sent to such servers should
never be the same as passwords used for more secure servers.
8.3 LANMAN 2.1 (and earlier) Challenge/Response
This authentication protocol is subject to the following
vulnerabilities:
o Known plaintext attack
o Small key space
o Chosen plaintext attack
o Dictionary attack
o Badly chosen passwords
These attacks, if successful, compromise the client's password, and
allow the attacker access to the client's files even after the client's
session has ended. Because of these attacks, it should be used only when
needed for backwards compatibility, or where the chances of
eavesdropping are deemed acceptable, such as relatively isolated
networks. It is more secure than plaintext password authentication,
because passwords are never seen in the clear on the network. Whenever
possible, the use of the NT LM 0.12 authentication is to be preferred.
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8.3.1 Known Plaintext Attacks
Because the challenge is plaintext, an eavesdropper can acquire known
plaintext/ciphertext pairs. It can then test a guess at a password by
using it to generate a key, encrypting the plaintext, and comparing it
to the corresponding ciphertext.
8.3.2 Small Key Space
The combination of the use of only uppercase characters, the usual user
practice of choosing passwords that have alpha and perhaps numeric
characters, plus the fact that the protocol treats the upper and lower
halves of the 14 bytes key almost identically means that the key space
is rather small. Enumerating 7 uppercase characters and digits leads to
a key space of 36**7, or 78.3 billion combinations. When this mechanism
was introduced nearly a decade ago, this was probably an adequately
large key space, but with today's much more powerful systems, it is now
small enough to make a brute force search feasible upon a
plaintext/ciphertext pair obtained via a known plaintext attack.
8.3.3 Chosen Plaintext Attacks
A "main-in-the-middle" or a counterfeit server can choose the challenge
"C8" which the client will then encrypt using a key derived from the
client's password. The ability to choose the plaintext to be encrypted
is known to make breaking many ciphers much easier.
8.3.4 Dictionary Attacks
The attacker can precompute the response for many common passwords to a
challenge of its choice, and build a dictionary of (response, password)
pairs. It can then use the chosen plaintext attack to acquire a response
corresponding to that challenge, and just look up the password in the
dictionary.
8.3.5 Badly Chosen Passwords
Passwords that are not long enough, or that are words in the language of
the clients, make the above attacks even easier by reducing the key
space even more.
8.4 NT LM 0.12 Challenge/Response
Because it uses MD4 to generate the keying material from the password,
and because it preserves the password's case, the key space of this
protocol is essentially the full 56 bits that single DES allows; this is
probably an acceptable length for most purposes (although future
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dialects may use triple-DES for more assurance). However, it is still
subject to the same chosen plaintext and dictionary attacks as LANMAN
2.1 challenge/response if passwords are badly chosen. The only cure is
to make sure that passwords are well-chosen, and long enough to have at
least 56 bits of randomness.
Other considerations:
o Transforming the password into Unicode leaves a pattern of
alternating zeros and characters in the input to MD4. This may allow
MD4 to be reversed much more easily, although there is currently no
known way to exploit this.
o MD4 is known to be weak with respect to collisions. There may be a
way to exploit this to attack its one-wayness, or to exploit the
collision properties to limit key search time, although there is
currently no known way to do so.
8.5 Other attacks
8.5.1 Hijack connections
Any attacker that can inject packets into the network that appear to the
server to be coming from a particular client, can hijack that client's
connection. Once a connection is set up and the client has
authenticated, subsequent packets are not authenticated, so the attacker
can inject requests to read, write, or delete files to which the client
has access. Doing so require that the injected packets have the right
transport level sequence numbers, which can be tricky, especially if the
client is sending packets at the same time. It is significantly more
difficult to hijack a connection than to eavesdrop, and doing so only
permits the attacker to access files as the client for the duration of
the session.
8.5.2 Downgrade attack
A "man-in-the-middle" can remove the bit in the SMB_COM_NEGPROT response
that says the server supports challenge/response, thus fooling a client
into thinking that it should supply a plaintext password. This attack
can be mitigated if clients are able to be configured to require
challenge/response, either in general or for particular servers.
8.5.3 Spoofing by Counterfeit Servers
A counterfeit server is one that spoofs the DNS name resolution process
so that the client gets the counterfeit's IP address instead of the
genuine server's IP address, thus fooling the client into connecting to
the counterfeit while believing it is connecting to the genuine server.
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Counterfeit servers are not detectable by the challenge/response
authentication mechanism, which only authenticates clients. A
counterfeit server can use the downgrade attack above to obtain a
client's password; it can also execute a denial of service attack by
denying the client's requests or returning bogus results. Counterfeit
server attacks can be mitigated by deployment of DNSSEC.
8.5.4 Storing Passwords Safely
The passwords used in any of the authentication mechanisms used by this
protocol have to be protected from access from over the network and from
physical access. If the server does not support access control at the
individual file level, but only at the file tree level, then password
files can not be placed in a file tree that is accessible from the
network, as all files in such a tree have to be at least equally
readable.
9. Author's Addresses
Isaac Heizer
Paul Leach
Dan Perry
Microsoft
1 Microsoft Way
Redmond, WA 98052
isaache@microsoft.com
paulle@microsoft.com
danp@microsoft.com
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10. Appendices
10.1 APPENDIX A: SMB PROTOCOL DIALECT CONSTANTS
This is the list of SMB protocol dialects, ordered from least
functional (earliest) version to most functional (most recent) version:
Dialect Name Comment
=========================== ========================================
PC NETWORK PROGRAM 1.0 The original MSNET SMB protocol
(otherwise known as the "core protocol")
PCLAN1.0 Some versions of the original MSNET
defined this as an alternate to the core
protocol name
MICROSOFT NETWORKS 1.03 This is used for the MS-NET 1.03
product. It defines
Lock&Read,Write&Unlock, and a special
version of raw read and raw write.
MICROSOFT NETWORKS 3.0 This is the DOS LANMAN 1.0 specific
protocol. It is equivalent to the
LANMAN 1.0 protocol, except the server
is required to map errors from the OS/2
error to an appropriate DOS error.
LANMAN1.0 This is the first version of the full
LANMAN 1.0 protocol
LM1.2X002 This is the first version of the full
LANMAN 2.0 protocol
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DOS LM1.2X002 This is the dos equivalent of the
LM1.2X002 protocol. It is identical to
the LM1.2X002 protocol, but the server
will perform error mapping to
appropriate DOS errors.
DOS LANMAN2.1 DOS LANMAN2.1
LANMAN2.1 OS/2 LANMAN2.1
Windows for Workgroups 3.1a Windows for Workgroups Version 1.0
NT LM 0.12 The SMB protocol designed for NT
networking. This has special SMBs which
duplicate the NT semantics.
SMB servers select the most recent version of the protocol known to both
client and server. Any SMB server which supports dialects newer than
the original core dialect must support all the messages and semantics of
the dialects between the core dialect and the newer one. This is to say
that a server which supports the NT LM 0.12 dialect must also support
all of the messages of the previous 10 dialects. It is the client's
responsibility to ensure it only sends SMBs which are appropriate to the
dialect negotiated. Clients must be prepared to receive an SMB response
from an earlier protocol dialect -- even if the client used the most
recent form of the request.
10.2 APPENDIX B: IPX ON CONNECTIONLESS TRANSPORT
Five IPX sockets are used as follows:
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Socket Name Value Purpose
================= ====== ==========================================
SMB_SERVER_SOCKET 0x0550 SMB requests from clients
SMB_NAME_SOCKET 0x0551 name claims and name query messages
REDIR_SOCKET 0x0552 is used by the redirector for sending SMB
requests and receiving SMB replies.
MAILSLOT_SOCKET 0x0553 is used by the redirector and browser for
mailslot datagrams.
MESSENGER_SOCKET 0x0554 is used by the redirector to send messages
from client to client
(NetMessageBufferSend).
The maximum packet size for some IPX routers is 576 bytes including the
IPX header. Because of this, the client must limit the size of the
negotiated buffer size to 546 bytes when the server's network ID is not
the same as the client's network ID. If desired, the client could
dynamically determine the maximum packet size by sending echo SMBs to
the server using various packet sizes and then selecting the largest
size which worked correctly.
10.2.1 Naming On Ipx
The name claim/query packet and mailslot datagram packets use the
structure:
struct ipxnm {
uchar inm_route[32]; /* routing info (used by IPX routers) */
uchar inm_op; /* operation being requested */
uchar inm_type; /* type of name */
ushort inm_msgid; /* message ID for sender */
uchar inm_name[16]; /* name being sought or claimed */
uchar inm_srcname[16];/* name of requesting machine */
};
Below are the values for inm_op:
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INAME_CLAIM 0xf1 // server name claim message
INAME_DELETE 0xf2 // relinquish server name
INAME_QUERY 0xf3 // locate server name
INAME_FOUND 0xf4 // response to INAME_QUERY
IMSG_HANGUP 0xf5 // Messenger Hangup (contained in SMB)
IMSLOT_SEND 0xfc // packet contains mslot write, no
response needed
IMSLOT_FIND 0xfd // find name for mslot write, no data
included
IMSLOT_NAME 0xfe // find name response
The following are the values for inm_type:
INTYPE_MACHINE 1
INTYPE_WKGROUP 2
INTYPE_BROWSER 3
When the server starts, it sends broadcasts a name claim (inm_type ==
INAME_CLAIM) packet five (5) times at 500 millisecond intervals. The
server's name is put into both the inm_name and the inm_srcname fields.
The IPX packet type is 32 (0x20) which IPX routers will forward through
up to eight (8) hops. If no other machine responds within 500
milliseconds of the transmission of the last broadcast, the server
claims the name as its own.
When a client wishes to locate the address of a server, it broadcasts a
name query (inm_type == INAME_QUERY) packet with the server's name in
inm_name and its own name in inm_srcname. The first broadcast is an IPX
type 4 packet which is not forwarded by routers. After 500
milliseconds, the client will perform an all nets broadcast (IPX type
32) four (4) times at 500 milliseconds intervals. The client extracts
the server's address from the IPX header of the response packet.
Once a client has the address of a server, it may open a circuit to the
server by sending a negotiate SMB to the SMB_SERVER_SOCKET. In the
negotiate request, smb_sid must be zero (0), smb_seq must be one (1) and
two 16 bytes names are appended to the end of the SMB in NetBIOS name
format. The size of the names is NOT included in the smb_bcc value.
The first 16 bytes contains the client computer name space padded with a
zero (0) in the 16th position. The second 16 bytes contains the remote
server's name space padded to 16 bytes. The server retains the client's
name for informational purposes and verifies that the server name
matches its own name. If the server name does not match, the server
will respond to the negotiate with an ERRSRV class error ERRnotme. The
server returns a session identifier in smb_sid which the client must
place in smb_sid in all subsequent requests sent to the server.
10.3 APPENDIX C: NAMED PIPES
Named pipes provide a facility which allows interprocess communications
pipes to be named and act like full duplex virtual circuits between a
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pair of endpoints. Support of named pipes is server optional, and the
earliest valid dialect supporting named pipes is LANMAN1.0.
10.3.1 Named Pipe Features
o Pipes are named and accessed across a network.
o Once created, named pipes can be opened and read/written like
standard files, i.e., using Open, Read, Write, and Close protocols.
o Named pipes support message as well as byte stream modes.
o Byte stream mode lets processes read and write byte streams, exactly
like byte conventional pipes, except the pipe is full-duplex,
emulating a virtual circuit.
o Message mode lets processes read and write streams of messages (as
opposed to bytes). Message mode is optimized for peer-to-peer
communication between remote as well as local processes.
o Named pipes can be serially re-used by different clients (closed and
reopened by another process).
o A serving process can create multiple identically named pipes so that
multiple clients opening to that name will get distinct pipes to the
serving process.
Named pipes are generally used to support some API requests to the
server. In early incarnations of Lan Manager networking, use of named
pipes for generalized client to server communications was encouraged.
Microsoft subsequently provided tools and runtime support for
generalized DCE compliant RPC exchanges between clients and servers.
The RPC runtime can use named pipes, datagrams, or direct use of
transport facilities to communicate between clients and servers, and the
RPC MIDL compiler allows high level expression of the messages to be
exchanged between clients and servers. Developers are strongly
encouraged to use the RPC tools to implement client and server protocols
rather than coding directly to any named pipe interfaces.
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