IPR2014-01225, No. 1004 Exhibit - Technical Standard Protocols for XOpen PC Interworking SMB, Version 2 NetBIOS Part 1 (P.T.A.B. Aug. 1, 2014)

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`Technical Standard
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`Protocols for X/Open PC Interworking:
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`SMB, Version 2
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`Petitioner Vonage Holdings Corp. et al. - Exhibit 1004 - Page 001
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`Petitioner Vonage Holdings Corp. et al. - Exhibit 1004 - Page 002
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`

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`X/OpenCAESpeciﬁcation
`
`Protocols for X/Open PC Interworking: SMB, Version 2
`
`X/OpenCompanyLtd.
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`

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`© September1992,X/OpenCompanyLimited
`All rights reserved. No part of this publication may be reproduced, stored in a retrieval system,
`or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or
`otherwise, without the prior permission of the copyright owners.
`
`X/Open CAE Speciﬁcation
`Protocols for X/Open PC Interworking: SMB, Version 2
`ISBN: 1 872630 45 6
`X/Open Document Number: C209
`
`Published by X/Open Company Ltd., U.K.
`
`Any comments relating to the material contained in this document may be submitted to X/Open
`at:
`
`X/Open Company Limited
`Apex Plaza
`Forbury Road
`Reading
`Berkshire, RG1 1AX
`United Kingdom
`or by Electronic Mail to:
`XoSpecs@xopen.org
`
`ii
`
`X/Open CAE Speciﬁcation (1992)
`(cid:51)(cid:72)(cid:87)(cid:76)(cid:87)(cid:76)(cid:82)(cid:81)(cid:72)(cid:85)(cid:3)(cid:57)(cid:82)(cid:81)(cid:68)(cid:74)(cid:72)(cid:3)(cid:43)(cid:82)(cid:79)(cid:71)(cid:76)(cid:81)(cid:74)(cid:86)(cid:3)(cid:38)(cid:82)(cid:85)(cid:83)(cid:17)(cid:3)(cid:72)(cid:87)(cid:3)(cid:68)(cid:79)(cid:17)(cid:3)(cid:16)(cid:3)(cid:40)(cid:91)(cid:75)(cid:76)(cid:69)(cid:76)(cid:87)(cid:3)(cid:20)(cid:19)(cid:19)(cid:23)(cid:3)(cid:16)(cid:3)(cid:51)(cid:68)(cid:74)(cid:72)(cid:3)(cid:19)(cid:19)(cid:23)
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`

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`Contents
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`1
`1.1
`1.2
`1.3
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`2
`2.1
`2.2
`2.2.1
`2.2.2
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`3
`3.1
`3.2
`3.3
`3.3.1
`3.3.2
`3.3.3
`3.4
`3.5
`3.5.1
`3.5.2
`3.5.3
`3.5.4
`3.5.5
`3.6
`3.7
`3.7.1
`3.7.2
`3.7.3
`3.8
`3.8.1
`3.8.2
`3.9
`3.10
`3.10.1
`3.10.2
`3.11
`3.12
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`Introduction..................................................................................................
` Why Republish...............................................................................................
` This Document ...............................................................................................
` Overview of Document Layout..................................................................
`
`SMB File-sharing Service Model ....................................................
` SMB Protocol Principles ...............................................................................
` Security Overview.........................................................................................
` Share-level Security Mode ........................................................................
` User-level Security Mode..........................................................................
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`SMB Protocol Conventions.................................................................
` Summary of SMBs .........................................................................................
` SMB Environment Deﬁnitions ....................................................................
` Share-level and User-level Security Modes..............................................
` Share-level Security Mode ........................................................................
` User-level Security Mode with Extended Protocols............................
` User-level Security with Core Protocol..................................................
` Connection Protocols ....................................................................................
` Naming ............................................................................................................
` Resource Names .........................................................................................
` NetBIOS Names ..........................................................................................
` Uniform Naming Convention..................................................................
` Canonical Pathnames.................................................................................
` Long Names.................................................................................................
` Wildcards ........................................................................................................
` File Paradigm..................................................................................................
` Regular Files ................................................................................................
` Open Modes.................................................................................................
` Write Behaviour ..........................................................................................
` Locking Conventions ....................................................................................
` Byte Locking ................................................................................................
` Opportunistic Locking...............................................................................
` Chaining of Extended SMB Requests ........................................................
` Exception and Error Handling....................................................................
` Disorderly LMX Session Dissolution......................................................
` Errors and Error Handling........................................................................
` Timeouts..........................................................................................................
` Downward-compatibility Support ............................................................
`
`1
`1
`1
`2
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`3
`4
`5
`5
`5
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`7
`7
`10
`12
`12
`12
`13
`14
`15
`15
`15
`16
`16
`16
`17
`17
`18
`18
`19
`20
`20
`20
`22
`24
`24
`24
`25
`25
`
`iii
`Protocols for X/Open PC Interworking: SMB, Version 2
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`Contents
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`Chapter
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`4
`4.1
`4.2
`4.3
`4.3.1
`4.3.2
`4.3.3
`4.3.4
`4.3.5
`4.3.6
`4.3.7
`4.4
`4.4.1
`4.4.2
`4.4.3
`4.5
`4.6
`4.7
`4.8
`4.9
`4.10
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`5
`5.1
`5.2
`5.3
`5.3.1
`5.3.2
`5.3.3
`5.3.4
`5.3.5
`5.3.6
`5.3.7
`5.3.8
`5.3.9
`5.3.10
`5.4
`5.5
`5.6
`5.6.1
`5.6.2
`5.6.3
`5.6.4
`5.6.5
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`LMX Considerations ...............................................................................
` LMX Username Mapping.............................................................................
` LMX Filename Mapping ..............................................................................
` LMX File Mapping.........................................................................................
` SMB File Attributes ....................................................................................
` CAE File Access Permissions ...................................................................
` File System Issues .......................................................................................
` CAE Special Files ........................................................................................
` Deleting or Renaming a File .....................................................................
` Long Filenames ...........................................................................................
` Extended Attributes ...................................................................................
` LMX File Locking...........................................................................................
` Interlocking Behaviour..............................................................................
` Locking Timeouts .......................................................................................
` Read-only Locks..........................................................................................
` LMX Server Caching .....................................................................................
` LMX Print Spooling.......................................................................................
` SMB Error Codes............................................................................................
` Security Policy ................................................................................................
` Negotiated Dialect.........................................................................................
` Network Issues...............................................................................................
`
`27
`27
`28
`30
`30
`30
`30
`31
`31
`31
`31
`33
`33
`34
`34
`35
`35
`35
`36
`36
`36
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`Data Objects and Constants...............................................................
`37
`37
` SMB Format.....................................................................................................
`40
` SMB Command Codes..................................................................................
` Data Objects ....................................................................................................
`43
`43
` Time Fields...................................................................................................
`43
` Date Fields....................................................................................................
`43
` File Attributes Fields..................................................................................
` Buffers ...........................................................................................................
`44
`44
` File-sharing Control ...................................................................................
`45
` Resource Types............................................................................................
`46
` Access Modes ..............................................................................................
`46
` Open Function.............................................................................................
` Resource Names, Pathnames, Filenames and Network Pathnames.........46
` File Identiﬁers..............................................................................................
`47
` SMB Dialects ...................................................................................................
`48
` Timeouts..........................................................................................................
`48
` SMB Error Codes............................................................................................
`49
` SMB Error Class Mappings.......................................................................
`49
` Error Codes for the SUCCESS Class .......................................................
`49
` Error Codes for the ERRDOS Class ........................................................
`49
` Error Codes for the ERRSRV Class .........................................................
`51
` Error Codes for the ERRHRD Class........................................................
`52
`
`iv
`
`X/Open CAE Speciﬁcation (1992)
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`6
`6.1
`6.2
`6.3
`6.4
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`7
`7.1
`7.2
`7.3
`7.4
`7.5
`7.6
`7.7
`7.8
`7.9
`7.10
`7.11
`7.12
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`8
`8.1
`8.2
`8.3
`8.4
`8.5
`8.6
`8.7
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`9
`9.1
`9.2
`9.3
`9.4
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`10
`10.1
`10.2
`10.3
`10.4
`10.5
`10.6
`
`11
`11.1
`11.2
`11.3
`11.4
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`Core SMB Connection Managem ent Requests ......................
` SMBnegprot Speciﬁcation............................................................................
` SMBtcon Speciﬁcation ..................................................................................
` SMBtdis Speciﬁcation ...................................................................................
` SMBexit Speciﬁcation ...................................................................................
`
`Core SMB File Operation Requests...............................................
` SMBcreate Speciﬁcation ...............................................................................
` SMBmknew Speciﬁcation ............................................................................
` SMBopen Speciﬁcation .................................................................................
` SMBread Speciﬁcation ..................................................................................
` SMBwrite Speciﬁcation.................................................................................
` SMBlseek Speciﬁcation.................................................................................
` SMBlock Speciﬁcation...................................................................................
` SMBunlock Speciﬁcation..............................................................................
` SMBﬂush Speciﬁcation .................................................................................
` SMBclose Speciﬁcation .................................................................................
` SMBmv Speciﬁcation ....................................................................................
` SMBunlink Speciﬁcation ..............................................................................
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`55
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`57
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`61
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`63
`63
`67
`70
`73
`76
`79
`81
`83
`85
`87
`89
`92
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`Core SMB Directory and Attribute Operations .....................
`95
` SMBmkdir Speciﬁcation...............................................................................
`95
`97
` SMBrmdir Speciﬁcation................................................................................
`99
` SMBsearch Speciﬁcation ..............................................................................
` SMBgetatr Speciﬁcation ............................................................................... 103
` SMBsetatr Speciﬁcation................................................................................ 105
` SMBdskattr Speciﬁcation ............................................................................. 107
` SMBchkpath Speciﬁcation ........................................................................... 109
`
`Core SMB Spool Operation Requests.......................................... 111
` SMBsplopen Speciﬁcation............................................................................ 111
` SMBsplwr Speciﬁcation................................................................................ 113
` SMBsplclose Speciﬁcation............................................................................ 115
` SMBsplretq Speciﬁcation ............................................................................. 117
`
`Core Plus SMB File Operations ....................................................... 121
` SMBnegprot Speciﬁcation............................................................................ 121
` SMBreadbraw Speciﬁcation......................................................................... 123
` SMBwritebraw Speciﬁcation ....................................................................... 125
` SMBlockread Speciﬁcation .......................................................................... 128
` SMBwriteunlock Speciﬁcation.................................................................... 130
` SMBwriteclose Speciﬁcation ....................................................................... 132
`
`Extended 1.0 SMB Connection Managem ent Requests .... 135
` SMBnegprot Speciﬁcation............................................................................ 135
` SMBsecpkgX Speciﬁcation........................................................................... 139
` SMBsesssetupX Speciﬁcation...................................................................... 144
` SMBtconX Speciﬁcation ............................................................................... 147
`
`v
`Protocols for X/Open PC Interworking: SMB, Version 2
`(cid:51)(cid:72)(cid:87)(cid:76)(cid:87)(cid:76)(cid:82)(cid:81)(cid:72)(cid:85)(cid:3)(cid:57)(cid:82)(cid:81)(cid:68)(cid:74)(cid:72)(cid:3)(cid:43)(cid:82)(cid:79)(cid:71)(cid:76)(cid:81)(cid:74)(cid:86)(cid:3)(cid:38)(cid:82)(cid:85)(cid:83)(cid:17)(cid:3)(cid:72)(cid:87)(cid:3)(cid:68)(cid:79)(cid:17)(cid:3)(cid:16)(cid:3)(cid:40)(cid:91)(cid:75)(cid:76)(cid:69)(cid:76)(cid:87)(cid:3)(cid:20)(cid:19)(cid:19)(cid:23)(cid:3)(cid:16)(cid:3)(cid:51)(cid:68)(cid:74)(cid:72)(cid:3)(cid:19)(cid:19)(cid:26)
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`Contents
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`12
`12.1
`12.2
`12.3
`12.4
`12.5
`12.6
`12.7
`12.8
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`13
`13.1
`13.2
`13.3
`13.4
`13.5
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`14
`14.1
`14.2
`14.3
`14.4
`
`15
`15.1
`15.2
`15.3
`15.4
`15.5
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`Extended 1.0 SMB File Operations................................................. 151
` SMBopenX Speciﬁcation .............................................................................. 151
` SMBlockingX Speciﬁcation.......................................................................... 156
` SMBreadX Speciﬁcation ............................................................................... 160
` SMBwritebraw Speciﬁcation ....................................................................... 163
` SMBwriteclose Speciﬁcation ....................................................................... 166
` SMBwriteX Speciﬁcation.............................................................................. 168
` SMBreadbmpx Speciﬁcation ....................................................................... 171
` SMBwritebmpx Speciﬁcation...................................................................... 174
`
`Extended 1.0 SMB Directory and Attribute Operations.... 179
` SMBfﬁrst Speciﬁcation.................................................................................. 179
` SMBfclose Speciﬁcation................................................................................ 181
` SMBfunique Speciﬁcation............................................................................ 182
` SMBgetattrE Speciﬁcation............................................................................ 183
` SMBsetattrE Speciﬁcation ............................................................................ 185
`
`Extended 1.0 SMB Miscellaneous Requests............................. 187
` SMBcopy Speciﬁcation ................................................................................. 187
` SMBecho Speciﬁcation.................................................................................. 191
` SMBioctl Speciﬁcation .................................................................................. 193
` SMBmove Speciﬁcation................................................................................ 194
`
`Extended 2.0 Protocol Additions and Modiﬁcations........... 197
` SMBsesssetupX Speciﬁcation...................................................................... 197
` SMBcopy Speciﬁcation ................................................................................. 201
` SMBﬁndnclose Speciﬁcation ....................................................................... 202
` SMBﬁndclose Speciﬁcation.......................................................................... 203
` SMBuloggoffX Speciﬁcation........................................................................ 204
`
`16
`16.1
`16.1.1
`16.1.2
`16.1.3
`16.1.4
`16.1.5
`16.1.5.1
`16.1.5.2
`16.1.5.3
`16.1.5.4
`16.1.6
`16.1.7
`16.2
`16.3
`16.4
`16.5
`16.6
`
`Extended 2.0 Protocol SMBtrans2 ................................................... 207
` SMBtrans2 ....................................................................................................... 207
` Request Formats.......................................................................................... 207
` Response Format......................................................................................... 209
` Transaction Flow......................................................................................... 210
` Service........................................................................................................... 211
` Extended Attribute..................................................................................... 212
` ErrorsEncountered When Creating EAs............................................ 212
` Encapsulation of EAs in the SMB Protocol......................................... 212
` FEA Structure ........................................................................................... 212
` GEA Structure .......................................................................................... 214
` Information Levels ..................................................................................... 214
` Deﬁned SMBtrans2 Protocols................................................................... 214
` TRANSACT2_OPEN .................................................................................... 216
` TRANSACT2_FINDFIRST .......................................................................... 221
` TRANSACT2_FINDNEXT .......................................................................... 225
` TRANSACT2_QFSINFO.............................................................................. 229
` TRANSACT2_SETFSINFO.......................................................................... 231
`
`vi
`
`X/Open CAE Speciﬁcation (1992)
`(cid:51)(cid:72)(cid:87)(cid:76)(cid:87)(cid:76)(cid:82)(cid:81)(cid:72)(cid:85)(cid:3)(cid:57)(cid:82)(cid:81)(cid:68)(cid:74)(cid:72)(cid:3)(cid:43)(cid:82)(cid:79)(cid:71)(cid:76)(cid:81)(cid:74)(cid:86)(cid:3)(cid:38)(cid:82)(cid:85)(cid:83)(cid:17)(cid:3)(cid:72)(cid:87)(cid:3)(cid:68)(cid:79)(cid:17)(cid:3)(cid:16)(cid:3)(cid:40)(cid:91)(cid:75)(cid:76)(cid:69)(cid:76)(cid:87)(cid:3)(cid:20)(cid:19)(cid:19)(cid:23)(cid:3)(cid:16)(cid:3)(cid:51)(cid:68)(cid:74)(cid:72)(cid:3)(cid:19)(cid:19)(cid:27)
`
`

`
`Contents
`
`
`
`
`
`
`
`
`16.7
`16.8
`16.9
`16.10
`16.11
`16.12
`16.13
`
` TRANSACT2_QPATHINFO ....................................................................... 233
` TRANSACT2_SETPATHINFO ................................................................... 236
` TRANSACT2_QFILEINFO.......................................................................... 238
` TRANSACT2_SETFILEINFO...................................................................... 241
` TRANSACT2_FINDNOTIFYFIRST........................................................... 243
` TRANSACT2_FINDNOTIFYNEXT .......................................................... 246
` TRANSACT2_MKDIR.................................................................................. 249
`
`Appendix A
`
`A.1
`
`A.2
`
`A.3
`
`Appendix B
`
`B.1
`
`B.2
`
`B.3
`
`B.4
`
`B.4.1
`
`B.4.2
`
`B.5
`
`B.5.1
`
`B.5.2
`
`B.6
`
`B.6.1
`
`B.6.2
`
`B.7
`
`B.7.1
`
`B.7.2
`
`B.7.3
`
`B.8
`
`Appendix C
`
`C.1
`
`C.2
`
`SMB Transm ission Analysis.............................................................. 251
` Introduction.................................................................................................... 251
` DOS Functions................................................................................................ 252
` OS/2 Functions .............................................................................................. 259
`
`LAN Manager Rem ote Adm inistration Protocol................... 263
` Overview......................................................................................................... 263
` Remote API Protocol..................................................................................... 264
` LMX Access Control Lists Mapping.......................................................... 265
` Transaction API Request Format................................................................ 267
` Parameter Section ....................................................................................... 267
` Data Section ................................................................................................. 267
` Transaction API Response Format............................................................. 268
` Parameter Section ....................................................................................... 268
` Data Section ................................................................................................. 268
` Descriptor Strings.......................................................................................... 269
` Descriptor String Types............................................................................. 269
` Pointer Types and Returned Data ........................................................... 271
` Examples ......................................................................................................... 272
` NetShareDel................................................................................................. 272
` NetShareAdd............................................................................................... 272
` NetShareEnum............................................................................................ 273
` API Numbers.................................................................................................. 275
`
`The X/Open Security Package ........................................................... 277
` E( ) Functions .................................................................................................. 277
` U( ) Functions.................................................................................................. 278
`
`Appendix D
`
`D.1
`
`D.1.1
`
`D.1.2
`
`SMB Encryption Techniques ............................................................. 279
` SMB Authentication ...................................................................................... 279
` SMBnegprot Response............................................................................... 279
` SMBtcon, SMBtconX, SMBsesssetupX Requests.................................. 279
`
`Appendix E
`
`TOP/NetBIOS.............................................................................................. 281
`
`Appendix F
`
`RFC 1001 ......................................................................................................... 349
`
`vii
`Protocols for X/Open PC Interworking: SMB, Version 2
`(cid:51)(cid:72)(cid:87)(cid:76)(cid:87)(cid:76)(cid:82)(cid:81)(cid:72)(cid:85)(cid:3)(cid:57)(cid:82)(cid:81)(cid:68)(cid:74)(cid:72)(cid:3)(cid:43)(cid:82)(cid:79)(cid:71)(cid:76)(cid:81)(cid:74)(cid:86)(cid:3)(cid:38)(cid:82)(cid:85)(cid:83)(cid:17)(cid:3)(cid:72)(cid:87)(cid:3)(cid:68)(cid:79)(cid:17)(cid:3)(cid:16)(cid:3)(cid:40)(cid:91)(cid:75)(cid:76)(cid:69)(cid:76)(cid:87)(cid:3)(cid:20)(cid:19)(cid:19)(cid:23)(cid:3)(cid:16)(cid:3)(cid:51)(cid:68)(cid:74)(cid:72)(cid:3)(cid:19)(cid:19)(cid:28)
`
`

`
`Contents
`
`Appendix G
`
`RFC 1002 ......................................................................................................... 419
`
`
`
`
`
`
`
`
`
`Glossary .......................................................................................................... 505
`
`Index.................................................................................................................. 511
`
`viii
`
`X/Open CAE Speciﬁcation (1992)
`(cid:51)(cid:72)(cid:87)(cid:76)(cid:87)(cid:76)(cid:82)(cid:81)(cid:72)(cid:85)(cid:3)(cid:57)(cid:82)(cid:81)(cid:68)(cid:74)(cid:72)(cid:3)(cid:43)(cid:82)(cid:79)(cid:71)(cid:76)(cid:81)(cid:74)(cid:86)(cid:3)(cid:38)(cid:82)(cid:85)(cid:83)(cid:17)(cid:3)(cid:72)(cid:87)(cid:3)(cid:68)(cid:79)(cid:17)(cid:3)(cid:16)(cid:3)(cid:40)(cid:91)(cid:75)(cid:76)(cid:69)(cid:76)(cid:87)(cid:3)(cid:20)(cid:19)(cid:19)(cid:23)(cid:3)(cid:16)(cid:3)(cid:51)(cid:68)(cid:74)(cid:72)(cid:3)(cid:19)(cid:20)(cid:19)
`
`

`
`Preface
`
`X/Open
`X/Open is an independent, worldwide, open systems organisation supported by most of the
`world’s largest information systems suppliers, user organisations and software companies. Its
`mission is to bring to users greater value from computing, through the practical implementation
`of open systems.
`X/Open’s strategy for achieving this goal is to combine existing and emerging standards into a
`comprehensive,
`integrated, high-value and usable open system environment, called the
`Common Applications Environment (CAE). This environment covers the standards, above the
`hardware level, that are needed to support open systems. It provides for portability and
`interoperability of applications, and so protects investment in existing software while enabling
`additions and enhancements. It also allows users to move between systems with a minimum of
`retraining.
`X/Open deﬁnes this CAE in a set of speciﬁcations which include an evolving portfolio of
`(APIs) which signiﬁcantly enhance portability of
`application programming interfaces
`application programs at the source code level, along with deﬁnitions of and references to
`proto

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