Request for Comments: 1415 R. Slaski
Open Networks, Inc.
January 1993
FTP-FTAM Gateway Specification
Status of the Memo
This RFCspecifies an IAB standards track protocol for the Internet
community, and requests discussion and suggestions for improvements.
Please refer to the current edition of the "IAB Official Protocol
Standards" for the standardization state and status of this protocol.
Distribution of this memo is unlimited.
Abstract
This memo describes a dual protocol stack application layer gateway
that performs protocol translation, in an interactive environment,
between the FTP and FTAM file transfer protocols.
Two key assumptions are made: 1) POSIX file naming conventions and
hierarchical organization, rather than proprietary conventions are in
use; and 2) X.500 Directory Services are available.
Acknowledgments
The authors of this RFCwould like to express their appreciation to
the individuals and organizations that participated in the
implementation of the FTP-FTAM Application Layer Gateway and its
fielding on the MILNET. Implementation credits go to Mr. John Scott,
formerly of the MITRE Corporation, while fielding credits are
extended to James Graham and R. Greg Lavender of Open Networks, Inc.
(formerly NetWorks One) and Robert Cooney of the Naval Computer and
Telecommunications Station (NCTS) Washington. Dr. Marshall Rose is
to be commended for recognizing the importance of the FTP-FTAM
gateway and promulgating it as a part of the ISO Development
Environment (ISODE). The following individuals have provided
valuable editorial comments: Larry Friedman, Donna Vincent and
Michael Resnick of Digital Equipment Corporation; Robert Cooney of
NCTS; and S.E. Hardcastle-Kille of University College London. Funding
of the FTP-FTAM Gateway Request for Comments effort was provided by
Open Networks Inc. and the Defense Information Systems Agency (DISA),
formerly the Defense Communications Agency. DISA sponsors include
Len Tabacchi, George Bradshaw, Tom Clarke, and Betsy Turner.
Table of Contents
1. Introduction..................................................2
1.1. Relationship to Other Work ................................3
1.2. Overview of Gateway Operation .............................4
2. Gateway Architecture..........................................6
3. Network Naming and Addressing.................................8
4. Use of the Gateway Services...................................9
4.1. FTP-Initiated Gateway Service .............................9
4.2. FTAM-Initiated Gateway Service ...........................11
4.3. Summary of Usage .........................................12
5. Gateway State Variables and Transitions......................13
5.1. FTP-Initiated Gateway Service ............................14
5.2. FTAM-Initiated Gateway Service ...........................16
6. Document Type Support........................................18
6.1. Notes on NBS-9 ...........................................18
7. Functional Comparison of FTP and FTAM........................19
7.1. Loss of Functionality ....................................20
8. Mapping of Protocol Functions and Representations.............20
8.1. FTP-Initiated Gateway Service .............................22
8.2. FTAM-Initiated Gateway Service ............................38
9. Mapping between FTP Reply Codes and FTAM Parameters...........47
9.1. FTP Reply Codes to FTAM Parameters ........................48
9.2. FTAM Parameters to FTP Reply Codes ........................50
9.3. Future Mapping Problem ....................................54
9.4. Error Handling ............................................54
10. Implementation and Configuration Guidelines..................54
10.1. Robustness ...............................................54
10.2. Well-Known TCP/IP Port ...................................55
10.3. Gateway Listener Processes ...............................55
10.4. Implementation Testing ...................................55
10.5. POSIX File Naming and Organization .......................55
11. Security Considerations......................................55
12. References...................................................56
13. Authors' Addresses...........................................58
1. Introduction
The TCP/IP and OSI protocol suites will coexist in the Internet
community for several years to come. As more and more OSI hosts are
fielded on the Internet, the requirement for gateways between the two
protocol suites becomes more pressing.
This specification describes an application layer gateway providing
interoperability between the TCP/IP File Transfer Protocol (FTP) and
the OSI File Transfer, Access, and Management (FTAM) protocol. The
proposed application layer gateway is based on a bi-directional set
of mappings between the FTP and FTAM protocols. Since the protocols
have quite different command structures, the mappings between them
are not one-to-one. This paper assumes knowledge of the File
Transfer Protocol (FTP) [RFC959] and the File Transfer, Access, and
Management Protocol (FTAM) [ISO8571-1,2,3,4,5].
Two important goals of the mappings are to:
Provide FTP users with as much emulated FTP capability on an
FTAM Responder as possible, and
Provide FTAM users with as much emulated FTAM capability on an
FTP Server as possible.
Though it is anticipated that the application layer gateway will be
implemented on full protocol suites of both TCP/IP and OSI, at least
one implementation of such a gateway (included in the ISO Development
Environment) can be configured to operate FTAM over either OSI or
TCP/IP lower-layer services.
1.1. Relationship to Other Work
Ideas presented in this specification are based on lessons learned in
fielding the gateway on the MILNET, operational at NCTS Washington
D.C. since 1989, and on the efforts of M. A. Wallace et al. of the
National Institute of Standards and Technology (NIST) [NIST86]. In
1986, NIST published a design document for an FTP-FTAM gateway.
Since that time, at least one implementation (for a subset of the FTP
and FTAM protocols) of the gateway has been developed [MITRE87] and
is included with the ISODE. This implementation is based on the NIST
protocol translator gateway design [NIST86].
This document's contribution to the advancement of the FTP-FTAM
gateway concept is to:
* Enhance the user interaction capability provided by the ISODE
implementation of the FTP-FTAM application layer gateway.
* Clarify and enhance the mappings (FTP to FTAM, FTAM to FTP)
documented by NIST.
* Provide guidelines for fielding the FTP-FTAM application layer
gateway on the Internet so that it is useful as an Internet
resource.
* Produce a formal specification for the FTP-FTAM gateway suitable
for implementors to use in building additional FTP-FTAM
gateways.
* Provide a formal specification for organizations wishing to
procure FTP-FTAM gateways.
1.2. Overview of Gateway Operation
The gateway provides a virtual end-to-end application file transfer
service. As data is sent via FTP, the gateway immediately maps the
requested function to FTAM and passes it to the FTAM host. In a
similar fashion, but using a different set of mappings, an FTAM
request is sent to the gateway, immediately mapped to an FTP
function, and passed along to the FTP host.
In FTP, the two parties involved in a file transfer are the Client
and Server. The Client is responsible for initiating a connection to
the Server. Once the connection is established, all service requests
originate from the Client. The FTP-FTAM gateway does not support the
FTP three node model.
In FTAM, the two parties involved in a file transfer are the
Initiator and Responder. The Initiator is responsible for initiating
a connection to the Responder. Once the connection is established,
either the Initiator or Responder may issue service requests to the
other.
The FTP-FTAM gateway provides two sets of services:
1. FTP-Initiated Gateway Services
Utilized when an FTP Client contacts the FTP-FTAM gateway to
instigate a file transfer with an FTAM Responder.
2. FTAM-Initiated Gateway Services
Utilized when an FTAM Initiator contacts the FTP-FTAM
gateway to instigate a file transfer with an FTP Server.
The gateway services' names were selected to identify the roles that
the FTP-FTAM gateway plays when performing file transfers. For
example, when a file transfer is instigated by an FTP Client, it
contacts the FTP Server portion of the gateway, which maps protocol
information to the FTAM Initiator portion of the gateway, which in
turn contacts the remote FTAM Responder. This example scenario uses
the FTP-Initiated Gateway Services.
Figure 1 illustrates the perspective of the application process in
the FTP-Initiated service. Figure 2 illustrates that of the FTAM-
Initiated service.
TCP Host OSI Host
+--------------+ +------------------+
| FTP Client | | FTAM Responder |
+--------------+ +------------------+
| |
| |
| |
| FTP-FTAM Gateway |
| +--------------------------------+ |
+-- | FTP Server FTAM Initiator | --+
+--------------------------------+
Figure 1 - FTP-Initiated Gateway Service
TCP Host OSI Host
+--------------+ +------------------+
| FTP Server | | FTAM Initiator |
+--------------+ +------------------+
| |
| |
| |
| |
| FTP-FTAM Gateway |
| +--------------------------------+ |
+-- | FTP Client FTAM Responder | --+
+--------------------------------+
Figure 2 - FTAM-Initiated Gateway Service
2. Gateway Architecture
The gateway architecture, termed a protocol translator [NIST86], is
depicted in Figure 3. It implements TCP/IP and OSI protocol stacks
with an application level process providing the link between the two.
The link between FTP and FTAM is defined by two sets of protocol
mappings, one each for the FTP-Initiated and FTAM-Initiated service
sets.
+------------+ +-------------+
| FTP Host | | FTAM Host |
+------------+ +-------------+
| |
| |
| |
| |
| +---------------------------------+ |
| | FTP - FTAM | |
| | Gateway Application | |
| |---------------------------------| |
| | FTP | FTAM | |
| |----------------+----------------| |
| | TCP/IP | TP4/et al | |
| +---------------------------------+ |
| /|\ /|\ |
| | | |
+------------+ +-------------+
Figure 3 - Gateway Protocol Stack
A fundamental aspect of this gateway architecture is that data is
mapped and transmitted immediately; i.e., no transferred file need
ever reside on the gateway file system. In the context of this
document, the term "filesystem" refers to the file access and
maintenance mechanisms provided by the operating system. This lack
of gateway filesystem interaction helps speed up the end-to-end data
transfer. Another speed-enhancing feature of this architecture is
that both the FTP and FTAM network connections can operate
simultaneously. Additional advantages include:
1. FTP and FTAM hosts require no modification to utilize gateway
services.
2. Users require no knowledge of the other protocol.
3. Gateway access control is not impaired (since users cannot
directly access the gateway filesystem).
4. No additional filesystem space is required on the gateway.
5. Interactive nature of protocols is preserved.
6. Users become aware of fatal errors immediately.
Disadvantages of this design include the initial coding effort
required to develop the gateway and the subsequent re-coding efforts
required to keep it current.
3. Network Naming and Addressing
The network naming and addressing schemes used by FTP (Domain Names
(DN), IP Addresses) and FTAM (Distinguished Names, Presentation
Addresses) are quite different. This issue is quite apparent when a
user of one protocol needs to identify a destination host of the
other protocol.
In the TCP/IP naming and addressing scheme, the identity of the FTP
Server is its DN and its IP address [RFC1101]. To initiate a
connection to an FTP Server, the FTP Client looks up a DN in either
the Domain Name System (DNS) or static host table and obtains an IP
address.
In the OSI naming and addressing scheme, the identity of the FTAM
Responder service is its Distinguished Name in the OSI Directory
(X.500 or static table) and its Presentation address. The
Distinguished Name is an authoritative description of the service. A
Presentation address consists of a Presentation selector, a session
selector, a transport selector, and a network address. To initiate a
connection to an FTAM Responder, the FTAM Initiator contacts the OSI
Directory, presents the Distinguished Name of the desired FTAM
Responder and asks for the Presentation address attribute associated
with that name.
An alternative to the direct use of Distinguished Names is to use
"User Friendly Naming", as defined in [Kille92]. Gateway support for
"User Friendly Naming" is recommended, but not required.
4. Use of the Gateway Services
4.1. FTP-Initiated Gateway Service
The FTP Client uses the FTP-Initiated gateway service to utilize the
resources of an FTAM Responder.
To initiate a file transfer from an FTP Client, the Client connects
to the FTP-Initiated gateway service via TCP/IP. The gateway then
establishes a connection, via OSI, to the FTAM Responder. At this
point, the user can initiate file transfer operations.
The FTP Client is responsible for providing the gateway with an
authoritative Distinguished Name, or a User Friendly Name, of the
desired OSI filestore. It is the responsibility of the gateway to
resolve this Distinguished Name, or User Friendly Name, to its
corresponding Presentation address.
The logon sequence taken by an FTP Client when initiating a file
transfer with an FTAM Responder is given below:
% ftp gateway
ftp> site Distinguished-Name-of-FTAM Responder
ftp> user username
ftp> pass password
The "ftp gateway" command initiates the connection between the FTP
Client and the gateway. Once connected to the gateway, the FTP
Client should identify the desired FTAM Responder service via the
Responder's Distinguished Name, or User Friendly Name, which is
resolved by an algorithm running on the Directory Services provider.
This information is sent via a "site Distinguished-Name-of-FTAM
Responder" or "site UFN-of-FTAM Responder" command.
Upon receipt of a Distinguished Name or a User Friendly Name, it is
the gateway's responsibility to resolve it to the Presentation
Address associated with that name. This resolution is done by
contacting the OSI Directory (X.500 or local static table) and
presenting the Distinguished Name or User Friendly Name. Once the
Presentation address is obtained, the gateway can attempt a
connection with the ultimate destination file transfer service
represented by this Presentation address.
The userid is passed via the "user username" command, and the
password is passed via the "pass password". If the FTAM Responder
requires a password, a password prompt should appear after issuing
the "user username" command. It is anticipated that stronger
authentication mechanisms will be required for DoD gateways in the
future.
Using a specific example, suppose an FTAM Responder has the following
Distinguished Name:
CountryName = "US"
Organization = "Open Networks"
OrganizationalUnit = "Network Services"
CommonName = "netwrx1"
CommonName = "FTAM service"
and the FTP-FTAM gateway is available at "washdc1-osigw.navy.mil".
The FTP user action will appear as:
% ftp washdc1-osigw.navy.mil
ftp> site "c=US@o=Open Networks@ou=Network Services@cn=netwrx1
@cn=FTAM service"
ftp> user mindel
ftp> pass ***********
The "ftp washdc1-osigw.navy.mil" command initiates the connection
between the FTP Client and the FTP-FTAM gateway at the Washington
Navy Yard, Washington D.C. Once connected, the OSI filestore at Open
Networks is identified via its Distinguished Name, "@c=US@o=Open
Networks@ou=Network Services@cn=netwrx1@cn=FTAM service".
Alternatively, a User Friendly Name, such as:
"netwrx1, Open Networks, us"
can be specified, enabling the following FTP user action:
% ftp washdc1-osigw.navy.mil
ftp> site "netwrx1, Open Networks, us"
ftp> user mindel
ftp> pass ***********
As this example indicates, use of an intermediate gateway is not
transparent. To partially alleviate this awkwardness, the gateway
can be made more transparent through the registration of the FTAM
host in the DNS using the address of the gateway [RFC1279].
An example will clarify this point. Suppose that the "netwrx1, Open
Networks, us" FTAM host is registered in the TCP/IP DNS with the DN
of "ftam-service.netwrx1.com" and the IP address of the "washdc1-
osigw.navy.mil" gateway. In this example, the following set of user
actions is required:
% ftp ftam-service.netwrx1.com
ftp> user mindel
ftp> pass ***********
Since the "ftam-service.netwrx1.com" really points to the gateway
address, the first command will connect the FTP Client to the
gateway. The gateway will then use the name (using [RFC1279]) to
determine where the actual FTAM host is resident. Gateway support
for RFC1279 is recommended, but not required.
4.2. FTAM-Initiated Gateway Service
The FTAM Initiator uses the FTAM-Initiated gateway service to utilize
the resources of an FTP Server.
To initiate a file transfer from an FTAM Initiator, the Initiator
connects to the FTAM-Initiated gateway service via OSI. The gateway
then establishes a connection, via TCP/IP, to the FTP Server. At
this point, the user can initiate file transfer operations.
The FTAM Initiator is responsible for providing the gateway with an
authoritative DN of the desired TCP/IP filestore. It is the
responsibility of the gateway to resolve this DN to its corresponding
IP address.
The logon sequence taken by an FTAM Initiator when initiating a file
transfer with an FTP Server is given below:
% ftam gateway
ftam> user username@DNS-string
ftam> pass password
The "ftam gateway" command initiates the connection between the FTAM
Initiator and the gateway. Once connected, userid and TCP/IP
filestore are identified in the "username@DNS-string" argument to the
user command. If the FTP Server requires a password, a password
prompt should appear after issuing the user command.
The gateway should incorporate the BIND Resolver functionality so
that upon receipt of a Domain Name, the Gateway FTP Client can
resolve it via the distributed Domain Name System.
Using a specific example, suppose that a FTP Server has the following
Domain Name: "ftp-service.netwrx1.com" and an FTP-FTAM gateway is
available at:
CountryName = "US"
Organization = "GOV"
OrganizationalUnit = "DOD"
OrganizationalUnit = "DISA"
Locality = "Washington Navy Yard"
CommonName = "wnyosi7"
The FTAM user action will appear as:
% ftam @c=US@o=GOV@ou=DOD@ou=DISA@l=Washington Navy Yard
@cn=wnyosi7
ftam> user mindel@ftp-service.netwrx1.com
ftam> pass ***********
Alternatively, a User Friendly Name could be used rather than the
Distinguished Name.
As mentioned in the previous section, "Use of the FTP-Initiated
Gateway Service", use of an intermediate gateway is not transparent.
The gateway can be made more transparent through the registration of
the FTP host in the X.500 OSI Directory. By querying the X.500 OSI
Directory, the gateway can identify where the actual host is
resident.
For example, suppose that the FTP Server in the previous example
("ftp-service.netwrx1.com") is registered in the X.500 Directory with
the following Distinguished Name:
CountryName = "US"
Organization = "Open Networks"
OrganizationalUnit = "Network Services"
CommonName = "netwrx1"
CommonName = "FTP service"
and the Presentation Address of the FTP-FTAM gateway. This approach,
described in [RFC1279], would permit the following user interactions:
% ftam @c=US@o=Open Networks@ou=Network Services
@cn=netwrx1@cn=FTP Service"
ftam> user mindel
ftam> pass ***********
4.3. Summary of Usage
As shown in the discussions of the FTP-Initiated and FTAM-Initiated
Gateway Services, the gateway user does not have access to the
gateway filesystem; he merely makes use of the gateway logon
procedure to specify the ultimate destination userid and password.
Two methods of interaction with the gateway were described. In the
former, the user must:
1. Be aware that a gateway is required to reach the
destination FTP or FTAM host.
2. Determine which gateway is most appropriate for their
respective source-destination pair.
3. Explicitly connect to the gateway host prior to connecting
to the destination host.
Needless to say, the exchange of files between FTP and FTAM hosts
requires more effort than that required for the exchange of files
between a pair of hosts utilizing the same file transfer protocol.
The latter, more transparent method does not necessarily require that
the user determine which gateway is most appropriate for their
respective source-destination pair. In fact, filestore service
providers are registered using the address of a predetermined
gateway. With this approach, the user:
1. Must be aware that a gateway is required to reach the
destination FTP or FTAM host.
2. Need not determine which gateway is most appropriate to
access their ultimate destination host.
3. Need not explicitly connect to the gateway prior to
connecting to the destination FTP or FTAM host.
5. Gateway State Variables and Transitions
As described, the FTP-FTAM gateway provides two sets of services:
FTP-Initiated and FTAM-Initiated. Each service has its own mutually
exclusive set of state variables and transitions that
deterministically define the actions of the gateway. Gateway support
for these state variables and transitions is required.
For conciseness in this discussion, FTP-Initiated will be abbreviated
with "FTP-I", and FTAM-Initiated will be abbreviated with "FTAM-I".
Concerning error conditions, if a connection is dropped when the
gateway is in any state other than FTP-I:Initial-State or FTAM-
I:Initial-State, then the gateway will issue a fatal error message to
the host with the remaining connection, and then drop that
connection. If the remaining host is an FTP Client, then the gateway
will send an ABOR, QUIT, and 426 reply code (Connection closed,
transfer aborted). If it is an FTAM Initiator, then the gateway will
send an F-P-ABORT with a <Diagnostic> value with identifier 1011
(Lower layer failure), as well as any known <Further Details>.
Other error conditions are not addressed in this discussion.
5.1. FTP-Initiated Gateway Service
The set of state variables for the FTP-Initiated Gateway service
follow:
State Variable State Definition
----------------------------------------------------------------
FTP-I:Initial-State Initial state of FTP-Initiated Gateway
service.
Gateway is waiting for an FTP Client to
issue a USER command in order to
proceed with connection establishment
with remote FTAM Responder. If SITE or
ACCT commands are sent while waiting
for USER command, save arguments for
subsequent use.
FTP-I:Wait-for-PASS Gateway has already received USER
command from FTP Client, as well as
userid and destination host DN.
Gateway is waiting for the FTAM
Responder logon password.
FTP-I:Wait-for-PAddress Gateway has already received PASS
command from FTP Client. Gateway is
resolving the provided FTAM Responder's
address to a Presentation Address. The
provided address may be a Distinguished
Name, User Friendly Name, or Domain
Name. Resolution will typically be
done using X.500 directory services.
FTP-I:Wait-for-Connection Gateway has initiated a connection to
the FTAM Responder and is waiting for
notification as to whether or not the
logon is successful.
FTP-I:Wait-for-ClientCmd Connection exists between FTP Client
and FTAM Responder. Gateway is waiting
for next command or response from FTP
Client. Commands and responses are
mapped as they are received.
FTP-I:Wait-for-RespondrCmd Connection exists between FTP Client
and FTAM Responder. Gateway is waiting
for next command or response from FTAM
Responder. Commands and responses are
mapped as they are received.
Each of the possible state transitions is provided in the remainder
of Section 5.1. For each state transition, the actions causing the
transition are listed.
5.1.1. FTP-I:Initial-State --> FTP-I:Initial-State
1. Gateway receives SITE or ACCT command from FTP Client.
SITE argument includes Distinguish Name of FTAM Responder.
5.1.2. FTP-I:Initial-State --> FTP-I:Wait-for-PASS
1. Gateway receives USER command from FTP Client. Arguments
include Distinguished Name of FTAM Responder and userid on
FTAM responder.
5.1.3. FTP-I:Wait-for-PASS --> FTP-I:Wait-for-PAddress
1. Gateway receives PASS command from FTP Client.
5.1.4. FTP-I:Wait-for-PAddress --> FTP-I:Wait-for-Connection
1. Gateway resolves received Distinguished Name, User Friendly
Name, or Domain Name of FTAM Responder to OSI Presentation
address.
2. Gateway sends F-INITIALIZE to FTAM Responder with
Presentation Address in <Called Presentation Address>,
userid in <Initiator Identity>, and password in <Filestore
Password>.
5.1.5. FTP-I:Wait-for-Connection --> FTP-I:Wait-for-NextMapping
1. Gateway receives <State Result> of "Success" .
2. Gateway sends 230 reply code (User Logged In) to FTP
Client.
5.1.6. FTP-I:Wait-for-ClientCmd --> FTP-I:Wait-for-RespondrCmd
1. Gateway receives command or response from FTP Client and
maps it to FTAM protocol, as defined in section 8.1.
5.1.7. FTP-I:Wait-for-RespondrCmd --> FTP-I:Wait-for-ClientCmd
1. Gateway receives command or response from FTAM Responder
and maps it to FTP protocol, as defined in section 8.1.
5.1.8. FTP-I:Wait-for-ClientCmd --> FTP-I:Wait-for-USER
1. Gateway receives QUIT command from FTP Client; maps QUIT as
per Section 8.1.
5.2. FTAM-Initiated Gateway Service
The set of state variables for the FTAM-Initiated Gateway service
follow:
State Variable State Definition
----------------------------------------------------------------
FTAM-I:Initial-State Initial state of FTAM-Initiated Gateway
Service.
Gateway is waiting for an FTAM
Initiator to issue an F-INITIALIZE
command in order to proceed with
connection establishment with remote
FTP Server.
FTAM-I:Wait-for-IPAddress Gateway has already received F-
INITIALIZE from FTAM Initiator.
Gateway is resolving the provided FTP
Server's address to an IP address. The
provided address may be a Domain Name,
Distinguished Name, or User Friendly
Name.
FTAM-I:Wait-for-Connection Gateway has initiated a connection to
the FTP Server and is waiting for
notification as to whether or not the
logon is successful.
FTAM-I:Wait-for-InitiatrCmd Connection exists between FTAM
Initiator and FTP Server. Gateway is
waiting for next command or response
from FTAM Initiator. Commands and
responses are mapped as they are
received.
FTP-I:Wait-for-ServerCmd Connection exists between FTAM
Initiator and FTP Server. Gateway is
waiting for next command or response
from FTP Server. Commands and
responses are mapped as they are
received.
Each of the possible state transitions is provided in the remainder
of Section 5.2. For each state transition, the actions causing the
transition are listed.
5.2.1. FTAM-I:Initial-State --> FTAM-I:Wait-for-IPAddress
1. Gateway receives F-INITIALIZE from FTAM Initiator. Domain
Name of FTP Server is either in <Responding Presentation
Address> or in the "@host" portion of the <Initiator
Identity> parameter. The userid is in <Initiator
Identity>, and password is in <Filestore Password>
parameter.
5.2.2. FTAM-I:Wait-for-IPAddress --> FTAM-I:Wait-for-Connection
1. Gateway resolves received Domain Name, Distinguished Name,
or User Friendly Name of FTP Server to IP address.
2. Gateway sends USER to FTP Server.
3. Gateway sends PASS to FTP Server.
5.2.3. FTAM-I:Wait-for-Connection --> FTAM-I:Wait-for-NextMapping
1. Gateway receives 230 reply code (User Logged In) from FTP
Server.
2. Gateway sends <State Result> of "Success" to FTAM
Initiator.
5.2.4 FTAM-I:Wait-for-InitiatrCmd --> FTAM-I:Wait-for-ServerCmd
1. Gateway receives command or response from FTAM Initiator
and maps it to FTP protocol, as defined in section 8.2.
5.2.5. FTAM-I:Wait-for-ServerCmd --> FTAM-I:Wait-for-InitiatrCmd
1. Gateway receives command or response from FTP Server and
maps it to FTAM protocol, as defined in section 8.2.
5.2.6. FTAM-I:Wait-for-InitiatrCmd --> FTAM-I:Wait-for-INITIALIZE
1. Gateway receives F-CLOSE primitive from FTAM Initiator;
maps F-CLOSE as per Section 8.2.
6. Document Type Support
The set of FTAM document types supported by the FTP-FTAM gateway is a
subset of the document types identified in the Stable Implementation
Agreements for Open Systems Interconnection Protocols: Part 9 - FTAM
Phase 2, produced by the March 1992 Open Systems Environment
Implementors' Workshop [NIST92]. This subset was chosen for its
equivalence to those document types supported by FTP. The set
includes:
FTAM-1 "ISO FTAM Unstructured text file
FTAM-3 "ISO FTAM Unstructured binary file
NBS-9 "NBS-9 FTAM File directory file"
FTAM document types map to FTP document types as follows:
FTAM <-> FTP
----------------------------------
FTAM-1 <-> ASCII
FTAM-3 <-> 8 bit binary
NBS-9 <-> Directory
Gateway support for FTAM-1 and FTAM-2 is required, whereas support
for NBS-9 is recommended.
6.1. Notes on NBS-9
NBS-9 is optional in GOSIP versions 1 and 2 [NIST91]. NBS-9 will be
superseded by its replacement when ISO/IEC ISP 10607-2 and ISO/IEC
ISP 10607-2/Amendment 1 are published [NIST92].
For conformance to NBS-9, an FTAM Responder is only required to
return the <Filename> file attribute, subject to local security and
access control. All other requested attributes need not be returned.
Systems supporting the NBS-9 document type shall make available an
NBS-9 document called 'DIRLIS'. This document can be used to obtain
a listing of files and their associated attributes from a remote
Filestore.
7. Functional Comparison of FTP and FTAM
A comprehensive comparison of the services offered by FTP and FTAM is
beyond the scope of this specification. What follows is an analysis
of several key points. Refer to [NIST 86a] and [ROSE90] for a more
complete discourse on this topic.
FTAM is not a superset of FTP; each protocol has functions that only
it performs. The set of FTAM functions is, however, larger than the
set of FTP functions.
FTP combines file management and file transfer into one protocol
engine, whereas FTAM separates management and transfer as they relate
to files.
The file transfer services of both FTP and FTAM expect a reliable
underlying end-to-end service. At a minimum, this service includes
the capability to transfer entire files between remote hosts and to
display remote filenames.
In addition to this basic file transfer service, FTAM supports the
capability to: access a few records from a file server, create a
network file system (similar to Sun's Network File System), handle
printing and spooling, and access remote database records. FTP does
not support these additional capabilities.
FTP uses TELNET services to set up a connection between the FTP
Client and FTP Server. A three-digit reply code followed by
explanatory text indicates the status of the preceding request and
provides diagnostic information explaining each transaction.
FTAM relies on the Association Control Service Element (ACSE) to
start and stop the network for network file interaction. Generally,
the ASCE establishes the application association and related
application context needed to support the FTAM protocol.
The FTAM protocol is modularized so as to keep the allowable number
of actions in any particular state relatively small. There are many
more possible sequences of FTP operations than possible sequences of
FTAM operations [NIST86].
Because FTAM is more robust than FTP, FTAM allows greater flexibility
for conveying information about files. FTAM deals only with aspects
of application processes, and leaves data representation and data
management facilities to other OSI service elements.
In contrast to the Client/Server model present in the FTP scheme,
FTAM is based on the Initiator/Responder model. The key distinction
is that once the FTAM Initiator has established a connection with a
remote host, either the Initiator or Responder can request services
of the other. In the FTP realm, the Client both initiates a
connection and requests all services.
The FTP Client knows the real properties of the remote host
filesystem. FTAM, in contrast, embraces a conceptual model of a
filesystem, labeled a virtual filestore model. The virtual filestore
is a collection of files, each of which has a name that uniquely
identifies it. Each file has a set of attributes, such as ownership
information and contents, which is the data associated with the file.
One file attribute is the <Contents Type> of the file, typically of
value "FTAM-1", "FTAM-3", or "NBS-9". The FTAM Initiator only knows
the properties of the corresponding Responder and virtual filestore,
not the real properties of the filesystem on the remote host.
7.1. Loss of Functionality
As happens whenever two dissimilar protocols, or languages for that
matter, are translated, some loss of functionality is inevitable.
With reference to the FTP-FTAM gateway, several of the most blatant
losses of functionality are:
1. Diagnostics passed between protocols may not be precisely
translated.
2. The FTAM partial file (record) transfer may not be
supported.
3. Some FTAM attributes are not supported by FTP.
The primary goal of the gateway protocol mappings are to minimize
this loss of functionality. As this gateway specification and
subsequent implementations evolve, means to partially overcome loss
of functionality may become more obvious. For example, the gateway
may be able to emulate file record transfers between FTAM Initiators
and FTP Servers.
8. Mapping of Protocol Functions and Representations
The mappings presented are based upon the FTAM protocol
implementation as defined in Stable Implementation Agreements for
Open Systems Interconnection Protocols: Part 9 - FTAM Phase 2,
produced by the March 1992 Open Systems Environment Implementors'
Workshop [NIST92], and in [ISO8571-1], [ISO8571-2],[ISO8571-
3],[ISO8571-4], and [ISO8571-5]. The FTP protocol as defined in
Request for Comments [RFC959]. The mappings are strongly influenced
by the work of M. A. Wallace et. al. at NIST [NIST86] and John Scott
at MITRE [MITRE87].
A key goal of the mappings presented in this document is to minimize
the loss of functionality between the two protocols. The specific
approach taken to implement the mappings is left to the discretion of
the gateway implementor. The focus of the protocol function and
representation mappings is on non-error encumbered processing. The
mapping of diagnostic and error messages is treated separately in
section 9.
At a minimum, the FTAM implementation in the FTP-FTAM gateway support
for Implementation Profiles T1 (Simple File Transfer) and M1
(Management), as defined in [NIST92], is required. These
Implementation Profiles correspond to the A/111 and A/13 Profiles of
Standards Promotion and Application Group in Europe, respectively
[NIST92].
At a minimum, the gateway support for the following is required:
ASCII and 8 bit binary file types. It should also support FTP
File Stream Mode.
The following FTAM document types: FTAM-1 (unstructured text
file), FTAM-3 (unstructured binary file), and NBS-9 (set of
directory entries).
POSIX file naming and organization conventions are assumed in these
mappings; i.e., files in the systems are assumed to be organized in a
hierarchical structure in which all of the non-terminal nodes are
directories and all of the terminal nodes are any other type of file.
The following terminology is used in the mapping specifications:
argument .......FTP Service Command argument, as used in [RFC959].
parameter ......FTAM Service Primitive parameters and attributes,
as enumerated in Tables 6, 50, and 51 of [ISO8571-
3].
The following notation is used in the mapping specifications:
Arguments and parameters are enclosed in angle brackets; e.g.,
<Action Result>
Values of arguments and parameters are enclosed in quotation
marks; e.g., "Success"
FTP Service Commands and FTAM Primitives are in uppercase; e.g., F-
INITIALIZE
8.1. FTP-Initiated Gateway Service
The protocol mapping between FTP and FTAM may be one-to-zero (i.e.,
not mappable), one-to-one, or one-to-many.
The general steps taken by the FTP-FTAM gateway to provide the FTP-
Initiated service are:
1. Accept an FTP Client request at the FTP Server side of the
gateway service.
2. Map the request to the (set of) corresponding FTAM
Initiator function(s).
3. Acting as an FTAM Initiator, send the FTAM Initiator
function(s) to the FTAM Responder.
4. Accept information returned to the FTAM Initiator side of
the gateway. This information originated at the FTAM
Responder.
5. Map this returned information to the protocol form
understood by the FTP Server side of the gateway.
6. Send this returned information from the FTP Server side of
the gateway to the FTP Client.
For each FTP protocol function, the FTAM protocol functions required
to map it are identified:
FTP FTAM
------------------------------------------------------------------
ABOR F-BEGIN-GROUP, F-CANCEL, F-CLOSE, F-DESELECT, F-END-GROUP
ACCT F-INITIALIZE,
ALLO none
APPE F-BEGIN-GROUP, F-CLOSE, F-CREATE, F-DATA, F-DATA-END, F-
DESELECT, F-END-GROUP, F-OPEN, F-READ-ATTRIBUTES, F-SELECT,
F-TRANSFER-END, F-WRITE
CDUP F-BEGIN-GROUP, F-DESELECT, F-END-GROUP, F-SELECT
CWD F-BEGIN-GROUP, F-END-GROUP, F-DESELECT, F-SELECT
DELE F-BEGIN-GROUP, F-DELETE, F-END-GROUP, F-SELECT
HELP none
LIST F-BEGIN-GROUP, F-CLOSE, F-DATA, F-DATA-END, F-DESELECT, F-
END-GROUP, F-OPEN, F-READ, F-READ-ATTRIBUTES, F-SELECT, F-
TRANSFER-END
MKD none
MODE none
NLST F-BEGIN-GROUP, F-CLOSE, F-DATA, F-DATA-END, F-DESELECT, F-
END-GROUP, F-OPEN, F-READ, F-SELECT, F-TRANSFER-END
NOOP none
PASS F-INITIALIZE
PASV none
PORT none
PWD F-BEGIN-GROUP, F-DESELECT, F-END-GROUP, F-READ-ATTRIBUTES,
F-SELECT
QUIT F-P-ABORT or F-U-ABORT, F-TERMINATE
REIN F-BEGIN-GROUP, F-CANCEL, F-CLOSE, F-DESELECT, F-END-GROUP
REST F-CHECK, F-RESTART
RETR F-BEGIN-GROUP, F-CLOSE, F-DATA, F-DATA-END, F-DESELECT, F-
END-GROUP, F-OPEN, F-READ, F-SELECT, F-TRANSFER-END
RMD none
RNFR F-BEGIN-GROUP, F-DESELECT, F-END-GROUP, F-SELECT
RNTO F-BEGIN-GROUP, F-CHANGE-ATTRIBUTES, F-DESELECT, F-END-
GROUP, F-SELECT
SITE F-INITIALIZE
SMNT none
STAT none
STOR F-BEGIN-GROUP,F-CLOSE, F-CREATE, F-DATA, F-DATA-END, F-
DESELECT, F-END-GROUP, F-OPEN, F-READ-ATTRIBUTES, F-SELECT,
F-TRANSFER-END, F-WRITE
STOU F-BEGIN-GROUP, F-CLOSE, F-CREATE, F-DATA, F-DATA-END, F-
DESELECT, F-END-GROUP, F-OPEN, F-READ-ATTRIBUTES, F-SELECT,
F-TRANSFER-END, F-WRITE
STRU none
TYPE none
USER F-INITIALIZE
The remainder of this section presents detailed mapping procedures
for each of the FTP protocol functions. Gateway support for these
mappings is required.
8.1.1. ABOR
1. Send F-CANCEL to FTAM Responder.
2. Send the following grouped request to the FTAM Responder.
F-BEGIN-GROUP
F-CLOSE
F-DESELECT
F-END-GROUP
3. Translate FTAM Responder <Action Result> and <Diagnostic>
parameters to equivalent FTP reply code(s) and send reply
codes to FTP Client.
4. Translate FTP Client reply codes to equivalent FTAM <Action
Result> and <Diagnostic> parameters and send parameters to
FTAM Responder.
8.1.2. ACCT
1. Set <Account> parameter value for issuing F-INITIALIZE to
FTAM Responder.
2. If <Called Presentation Address>, <Initiator Identity>, and
<Filestore Password> parameters are available, attempt
connection with FTAM Responder;
Otherwise wait for additional ACCT commands.
3. Translate FTAM Responder <Action Result> and <Diagnostic>
parameters to equivalent FTP reply code(s) and send reply
codes to FTP Client.
4. Translate FTP Client reply codes to equivalent FTAM <Action
Result> and <Diagnostic> parameters and send parameters to
FTAM Responder.
Note:
a. The ACCT command will be effective with the next PASS
command.
8.1.3. ALLO
1. Return a 200 reply code to FTP Client.
8.1.4. APPE
1. Save current pathname by appending saved CWD string with
<pathname> argument. If no saved CWD string, proceed to
step 12.
2. Send the following grouped request to FTAM Responder.
F-BEGIN-GROUP
F-SELECT
F-READ-ATTRIBUTES
Save <Contents Type> parameter value
F-DESELECT
F-END-GROUP
3. If the <Contents Type> parameter value returned with the
F-READ-ATTRIBUTES has a value of "NBS-9", proceed to step
12.
4. Send the following grouped request to the FTAM responder.
F-BEGIN-GROUP
F-CREATE
Set the <Override> parameter in the F-CREATE to
"Select Old File".
F-OPEN
F-END-GROUP
5. If the file existed, set the <Contents Type> parameter in
the F-CREATE to match that returned by the
F-READ-ATTRIBUTES.
6. If the file did not exist and no previous FTP TYPE "Image"
command was issued, then set the <Contents Type> parameter
to "FTAM-1";
Otherwise, set the <Contents Type> parameter to "FTAM-3".
7. Send F-WRITE, with <Bulk Data Transfer Specification, FADU
Operation> parameter set to "File Extend", to FTAM
Responder.
8. Loop reading data from FTP data connection, sending the
data in F-DATA PDUs until end-of-file on the FTP
connection.
9. Send F-DATA-END to FTAM Responder.
10. Send F-TRANSFER-END to FTAM Responder.
11. Send the following grouped request to the FTAM Responder.
F-BEGIN-GROUP
F-CLOSE
F-DESELECT
F-END-GROUP
12. Translate FTAM Responder <Action Result> and <Diagnostic>
parameters to equivalent FTP reply code(s) and send reply
code(s) to FTP Client.
13. Translate FTP Client reply codes to equivalent FTAM
<Action Result> and <Diagnostic> parameters and send
parameters to FTAM Responder.
Note:
a. <pathname> argument is assumed to be a filename, relative
to the currently saved CWD.
b. CWD of the FTAM system must be defined prior to issuance of
APPE.
8.1.5. CDUP
1. Determine parent directory from saved CWD string. If no
saved CWD string, proceed to step 4.
2. Set <Contents Type> parameter to "NBS-9".
3. Send the following grouped request to FTAM Responder.
F-BEGIN-GROUP
F-SELECT
F-DESELECT
F-END-GROUP
4. Translate FTAM Responder <Action Result> and <Diagnostic>
parameters to equivalent FTP reply code(s) and send reply
code(s) to FTP Client.
5. Translate FTP Client reply codes to equivalent FTAM <Action
Result> and <Diagnostic> parameters and send parameters to
FTAM Responder.
Note:
a. A POSIX file organization is assumed; i.e., files in the
systems are organized in a hierarchical structure in which
all of the non-terminal nodes are directories and all of
the terminal nodes are any other type of file.
b. If the parent directory does not exist, the current working
directory remains unchanged.
c. CWD of the FTAM system must be defined prior to issuance of
CDUP.
8.1.6. CWD
1. Save <pathname> argument as CWD string.
2. Set <Contents Type> parameter to "NBS-9".
3. Send the following grouped request to FTAM Responder.
F-BEGIN-GROUP
F-SELECT
F-DESELECT
F-END-GROUP
4. Translate FTAM Responder <Action Result> and <Diagnostic>
parameters to equivalent FTP reply code(s) and send reply
code(s) to FTP Client.
5. Translate FTP Client reply codes to equivalent FTAM <Action
Result> and <Diagnostic> parameters and send parameters to
FTAM Responder.
Note:
a. The <pathname> argument is assumed to be an absolute
directory specification.
b. If the specified directory does not exist, the current
working directory remains unchanged.
c. Saved CWD string is used in other FTP-to-FTAM mappings,
such as APPE.
8.1.7. DELE
1. Save current pathname by appending saved CWD string with
<pathname> argument. If no saved CWD string, proceed to
step 3.
2. Send the following grouped request to FTAM Responder.
F-BEGIN-GROUP
F-SELECT
F-DELETE
F-END-GROUP
3. Translate FTAM Responder <Action Result> and <Diagnostic>
parameters to equivalent FTP reply code(s) and send reply
code(s) to FTP Client.
4. Translate FTP Client reply codes to equivalent FTAM
parameters and send parameters to FTAM Responder.
Note:
a. <pathname> argument is assumed to be a filename, relative
to the currently saved CWD.
b. CWD of the FTAM system must be defined prior to issuance of
DELE.
8.1.8. HELP
1. If no <string> argument is provided, send helpful
information about the implementation of the gateway to the
FTP Client. If an argument is provided, send more specific
information.
2. Return the FTP reply code 214 to the FTP Client.
8.1.9. LIST
1. If <pathname> argument is provided, proceed to step 3.
2. Save current pathname by appending saved CWD string with
<pathname> argument; If no saved CWD string, proceed to
step 11.
3. Send the following grouped request to the FTAM Responder.
F-BEGIN-GROUP
F-SELECT
F-READ-ATTRIBUTES
Save <Filename>, <Contents Type>, <Data/Time of Last
Modification>, and <Filesize> parameters
F-DESELECT
F-END-GROUP
4. If the <Contents Type> parameter of the F-READ-ATTRIBUTES
is not "NBS-9", then return the <Filename>, <Contents
Type>, <Date/Time of Last Modification>, and <Filesize>
parameter values, obtained with the previous
F-READ-ATTRIBUTES, to the FTP data connection;
and proceed to step 8.
5. Send the following grouped request to the FTAM Responder.