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collectively referred to as "SMIv1". Note that due to the initial requirement that the SMI be protocol-independent, the first two SMI documents do not provide a means for defining event notifications (traps). Instead, the SNMP protocol document defines a few standardized event notifications (generic traps) and provides a means for additional event notifications to be defined. The last document specifies a straight-forward approach towards defining event notifications used with the SNMPv1 protocol. At the time that it was written, use of traps in the Internet-Standard network management framework was controversial. As such, RFC 1215 was put forward with the status of "Informational", which was never updated because it was believed that the second version of the SNMP Framework would replace the first version.3.2. Management Information The data definition language described in the first two documents was first used to define the now-historic MIB-I as specified in RFC 1066 [8], and was subsequently used to define MIB-II as specified in RFC 1213 [6]. Later, after the publication of MIB-II, a different approach to the management information definition was taken from the earlier approach of having a single committee staffed by generalists work on a single document to define the Internet-Standard MIB. Rather, many mini-MIB documents were produced in a parallel and distributed fashion by groups chartered to produce a specification for a focused portion of the Internet-Standard MIB and staffed by personnel with expertise in those particular areas ranging from various aspects of network management, to system management, and application management.Case, et. al. Informational [Page 6]RFC 3410 Applicability Statements for SNMP December 20023.3. Protocol Operations The third document, STD 15 [5], describes the SNMPv1 protocol operations performed by protocol data units (PDUs) on lists of variable bindings and describes the format of SNMPv1 messages. The operators defined by SNMPv1 are: get, get-next, get-response, set- request, and trap. Typical layering of SNMP on a connectionless transport service is also defined.3.4. SNMPv1 Security and Administration STD 15 [5] also describes an approach to security and administration. Many of these concepts are carried forward and some, particularly security, are extended by the SNMPv3 Framework. The SNMPv1 Framework describes the encapsulation of SNMPv1 PDUs in SNMP messages between SNMP entities and distinguishes between application entities and protocol entities. In SNMPv3, these are renamed applications and engines, respectively. The SNMPv1 Framework also introduces the concept of an authentication service supporting one or more authentication schemes. In addition to authentication, SNMPv3 defines the additional security capability referred to as privacy. (Note: some literature from the security community would describe SNMPv3 security capabilities as providing data integrity, source authenticity, and confidentiality.) The modular nature of the SNMPv3 Framework permits both changes and additions to the security capabilities. Finally, the SNMPv1 Framework introduces access control based on a concept called an SNMP MIB view. The SNMPv3 Framework specifies a fundamentally similar concept called view-based access control. With this capability, SNMPv3 provides the means for controlling access to information on managed devices. However, while the SNMPv1 Framework anticipated the definition of multiple authentication schemes, it did not define any such schemes other than a trivial authentication scheme based on community strings. This was a known fundamental weakness in the SNMPv1 Framework but it was thought at that time that the definition of commercial grade security might be contentious in its design and difficult to get approved because "security" means many different things to different people. To that end, and because some users do not require strong authentication, the SNMPv1 architected an authentication service as a separate block to be defined "later" and the SNMPv3 Framework provides an architecture for use within that block as well as a definition for its subsystems.Case, et. al. Informational [Page 7]RFC 3410 Applicability Statements for SNMP December 20024. The SNMPv2 Management Framework The SNMPv2 Management Framework is described in [8-13] and coexistence and transition issues relating to SNMPv1 and SNMPv2 are discussed in [15]. SNMPv2 provides several advantages over SNMPv1, including: * expanded data types (e.g., 64 bit counter) * improved efficiency and performance (get-bulk operator) * confirmed event notification (inform operator) * richer error handling (errors and exceptions) * improved sets, especially row creation and deletion * fine tuning of the data definition language However, the SNMPv2 Framework, as described in these documents, is incomplete in that it does not meet the original design goals of the SNMPv2 project. The unmet goals included provision of security and administration delivering so-called "commercial grade" security with: * authentication: origin identification, message integrity, and some aspects of replay protection; * privacy: confidentiality; * authorization and access control; and * suitable remote configuration and administration capabilities for these features. The SNMPv3 Management Framework, as described in this document and the companion documents, addresses these significant deficiencies.5. The SNMPv3 Working Group This document, and its companion documents, were produced by the SNMPv3 Working Group of the Internet Engineering Task Force (IETF). The SNMPv3 Working Group was chartered to prepare recommendations for the next generation of SNMP. The goal of the Working Group was to produce the necessary set of documents that provide a single standard for the next generation of core SNMP functions. The single, most critical need in the next generation is a definition of security and administration that makes SNMP-based management transactions secureCase, et. al. Informational [Page 8]RFC 3410 Applicability Statements for SNMP December 2002 in a way which is useful for users who wish to use SNMPv3 to manage networks, the systems that make up those networks, and the applications which reside on those systems, including manager-to- agent, agent-to-manager, and manager-to-manager transactions. In the several years prior to the chartering of the Working Group, there were a number of activities aimed at incorporating security and other improvements to SNMP. These efforts included: * "SNMP Security" circa 1991-1992 (RFC 1351 - RFC 1353), * "SMP" circa 1992-1993, and * "The Party-based SNMPv2" (sometimes called "SNMPv2p") circa 1993-1995 (RFC 1441 - RFC 1452). Each of these efforts incorporated commercial grade, industrial strength security including authentication, privacy, authorization, view-based access control, and administration, including remote configuration. These efforts fed the development of the SNMPv2 Management Framework as described in RFCs 1902 - 1908. However, the Framework described in those RFCs had no standards-based security and administrative framework of its own; rather, it was associated with multiple security and administrative frameworks, including: * "The Community-based SNMPv2" (SNMPv2c) as described in RFC 1901 [16], * "SNMPv2u" as described in RFCs 1909 and 1910, and * "SNMPv2*." SNMPv2c had the most support within the IETF but had no security and administration whereas both SNMPv2u and SNMPv2* had security but lacked a consensus of support within the IETF. The SNMPv3 Working Group was chartered to produce a single set of specifications for the next generation of SNMP, based upon a convergence of the concepts and technical elements of SNMPv2u and SNMPv2*, as was suggested by an advisory team which was formed to provide a single recommended approach for SNMP evolution.Case, et. al. Informational [Page 9]RFC 3410 Applicability Statements for SNMP December 2002 In so doing, the Working Group charter defined the following objectives: * accommodate the wide range of operational environments with differing management demands; * facilitate the need to transition from previous, multiple protocols to SNMPv3; * facilitate the ease of setup and maintenance activities. In the initial work of the SNMPv3 Working Group, the group focused on security and administration, including: * authentication and privacy, * authorization and view-based access control, and * standards-based remote configuration of the above. The SNMPv3 Working Group did not "reinvent the wheel", but reused the SNMPv2 Draft Standard documents, i.e., RFCs 1902 through 1908 for those portions of the design that were outside the focused scope. Rather, the primary contributors to the SNMPv3 Working Group, and the Working Group in general, devoted their considerable efforts to addressing the missing link -- security and administration -- and in the process made invaluable contributions to the state-of-the-art of management. They produced a design based on a modular architecture with evolutionary capabilities with emphasis on layering. As a result, SNMPv3 can be thought of as SNMPv2 with additional security and administration capabilities. In doing so, the Working Group achieved the goal of producing a single specification which has not only the endorsement of the IETF but also has security and administration.6. SNMPv3 Framework Module Specifications The specification of the SNMPv3 Management Framework is partitioned in a modular fashion among several documents. It is the intention of the SNMPv3 Working Group that, with proper care, any or all of the individual documents can be revised, upgraded, or replaced as requirements change, new understandings are obtained, and new technologies become available.Case, et. al. Informational [Page 10]RFC 3410 Applicability Statements for SNMP December 2002 Whenever feasible, the initial document set which defines the SNMPv3 Management Framework leverages prior investments defining and implementing the SNMPv2 Management Framework by incorporating by reference each of the specifications of the SNMPv2 Management Framework. The SNMPv3 Framework augments those specifications with specifications for security and administration for SNMPv3. The documents which specify the SNMPv3 Management Framework follow the same architecture as those of the prior versions and can be organized for expository purposes into four main categories as follows: * the data definition language, * Management Information Base (MIB) modules, * protocol operations, and * security and administration. The first three sets of documents are incorporated from SNMPv2. The documents in the fourth set are new to SNMPv3, but, as described previously, build on significant prior related works.6.1. Data Definition Language The specifications of the data definition language include STD 58, RFC 2578, "Structure of Management Information Version 2 (SMIv2)" [17], and related specifications. These documents are updates of RFCs 1902 - 1904 [9-11] which have evolved independently from the other parts of the framework and were republished with minor editorial changes as STD 58, RFCs 2578 - 2580 [17-19] when promoted from Draft Standard to full Standard. The Structure of Management Information (SMIv2) defines fundamental data types, an object model, and the rules for writing and revising MIB modules. Related specifications include STD 58, RFCs 2579, 2580. STD 58, RFC 2579, "Textual Conventions for SMIv2" [18], defines an initial set of shorthand abbreviations which are available for use
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