MS SMB2

[MS-SMB2]:
Server Message Block (SMB)

Version 2 Protocol Specification
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[MS-SMB2] — v20100820
Server Message Block (SMB) Version 2 Protocol Specification
Copyright © 2010 Microsoft Corporation.
Release: Friday, August 20, 2010

Revision Summary
Date Revision History Revision Class Comments
03/14/2007 1.0 Version 1.0 release
06/08/2007 2.0 Major Updated and revised the technical content.
07/10/2007 2.1 Minor Updated the technical content.
01/25/2008 5.0.1 Editorial Revised and edited the technical content.
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Date Revision History Revision Class Comments
07/16/2010 25.0 Major Significantly changed the technical content.
08/27/2010 26.0 Major Significantly changed the technical content.
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Contents
1 Introduction ........................................................................................................... 12
1.1 Glossary ............................................................................................................. 12
1.2 References .......................................................................................................... 15
1.2.1 Normative References ..................................................................................... 15
1.2.2 Informative References ................................................................................... 16
1.3 Overview ............................................................................................................ 16
1.4 Relationship to Other Protocols .............................................................................. 17
1.5 Prerequisites/Preconditions ................................................................................... 19
1.6 Applicability Statement ......................................................................................... 19
1.7 Versioning and Capability Negotiation..................................................................... 19
1.8 Vendor-Extensible Fields ....................................................................................... 21
1.9 Standards Assignments ........................................................................................ 21
2 Messages................................................................................................................ 22
2.1 Transport............................................................................................................ 22
2.2 Message Syntax .................................................................................................. 22
2.2.1 SMB2 Packet Header....................................................................................... 23
2.2.1.1 SMB2 Packet Header - ASYNC .................................................................... 23
2.2.1.2 SMB2 Packet Header - SYNC ...................................................................... 27
2.2.2 SMB2 ERROR Response Packet......................................................................... 30
2.2.2.1 Symbolic Link Error Response .................................................................... 31
2.2.2.1.1 Handling the Symbolic Link Error Response ............................................ 33
2.2.3 SMB2 NEGOTIATE Request .............................................................................. 34
2.2.4 SMB2 NEGOTIATE Response ............................................................................ 35
2.2.5 SMB2 SESSION_SETUP Request ....................................................................... 38
2.2.6 SMB2 SESSION_SETUP Response ..................................................................... 40
2.2.7 SMB2 LOGOFF Request ................................................................................... 41
2.2.8 SMB2 LOGOFF Response ................................................................................. 41
2.2.9 SMB2 TREE_CONNECT Request ........................................................................ 41
2.2.10 SMB2 TREE_CONNECT Response .................................................................... 42
2.2.11 SMB2 TREE_DISCONNECT Request ................................................................. 44
2.2.12 SMB2 TREE_DISCONNECT Response ............................................................... 45
2.2.13 SMB2 CREATE Request .................................................................................. 45
2.2.13.1 SMB2 Access Mask Encoding .................................................................... 51
2.2.13.1.1 File_Pipe_Printer_Access_Mask ........................................................... 51
2.2.13.1.2 Directory_Access_Mask ...................................................................... 52
2.2.13.2 SMB2_CREATE_CONTEXT Request Values .................................................. 54
2.2.13.2.1 SMB2_CREATE_EA_BUFFER ................................................................ 55
2.2.13.2.2 SMB2_CREATE_SD_BUFFER ................................................................ 56
2.2.13.2.3 SMB2_CREATE_DURABLE_HANDLE_REQUEST ....................................... 56
2.2.13.2.4 SMB2_CREATE_DURABLE_HANDLE_RECONNECT ................................... 56
2.2.13.2.5 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_REQUEST ............................ 57
2.2.13.2.6 SMB2_CREATE_ALLOCATION_SIZE ...................................................... 57
2.2.13.2.7 SMB2_CREATE_TIMEWARP_TOKEN ...................................................... 57
2.2.13.2.8 SMB2_CREATE_REQUEST_LEASE ........................................................ 58
2.2.14 SMB2 CREATE Response ................................................................................ 59
2.2.14.1 SMB2_FILEID ......................................................................................... 62
2.2.14.2 SMB2_CREATE_CONTEXT Response Values ................................................ 62
2.2.14.2.1 SMB2_CREATE_EA_BUFFER ................................................................ 62
2.2.14.2.2 SMB2_CREATE_SD_BUFFER ................................................................ 62
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2.2.14.2.3 SMB2_CREATE_DURABLE_HANDLE_RESPONSE ..................................... 63
2.2.14.2.4 SMB2_CREATE_DURABLE_HANDLE_RECONNECT ................................... 63
2.2.14.2.5 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE .......................... 63
2.2.14.2.6 SMB2_CREATE_ALLOCATION_SIZE ...................................................... 64
2.2.14.2.7 SMB2_CREATE_TIMEWARP_TOKEN ...................................................... 64
2.2.14.2.8 SMB2_CREATE_QUERY_ON_DISK_ID ................................................... 64
2.2.14.2.9 SMB2_CREATE_RESPONSE_LEASE ...................................................... 64
2.2.15 SMB2 CLOSE Request ................................................................................... 65
2.2.16 SMB2 CLOSE Response ................................................................................. 66
2.2.17 SMB2 FLUSH Request.................................................................................... 68
2.2.18 SMB2 FLUSH Response ................................................................................. 68
2.2.19 SMB2 READ Request ..................................................................................... 69
2.2.20 SMB2 READ Response ................................................................................... 70
2.2.21 SMB2 WRITE Request ................................................................................... 71
2.2.22 SMB2 WRITE Response ................................................................................. 73
2.2.23 SMB2 OPLOCK_BREAK Notification.................................................................. 74
2.2.23.1 Oplock Break Notification ......................................................................... 74
2.2.23.2 Lease Break Notification .......................................................................... 75
2.2.24 SMB2 OPLOCK_BREAK Acknowledgment.......................................................... 76
2.2.24.1 Oplock Break Acknowledgment ................................................................. 76
2.2.24.2 Lease Break Acknowledgment .................................................................. 77
2.2.25 SMB2 OPLOCK_BREAK Response .................................................................... 78
2.2.25.1 Oplock Break Response ........................................................................... 78
2.2.25.2 Lease Break Response ............................................................................. 79
2.2.26 SMB2 LOCK Request ..................................................................................... 81
2.2.26.1 SMB2_LOCK_ELEMENT Structure .............................................................. 82
2.2.27 SMB2 LOCK Response ................................................................................... 83
2.2.28 SMB2 ECHO Request ..................................................................................... 83
2.2.29 SMB2 ECHO Response ................................................................................... 83
2.2.30 SMB2 CANCEL Request.................................................................................. 84
2.2.31 SMB2 IOCTL Request .................................................................................... 84
2.2.31.1 SRV_COPYCHUNK_COPY .......................................................................... 87
2.2.31.1.1 SRV_COPYCHUNK .............................................................................. 88
2.2.31.2 SRV_READ_HASH Request ....................................................................... 88
2.2.31.2.1 HASH_HEADER ................................................................................. 89
2.2.31.3 NETWORK_RESILIENCY_REQUEST Request ................................................ 91
2.2.32 SMB2 IOCTL Response .................................................................................. 91
2.2.32.1 SRV_COPYCHUNK_RESPONSE .................................................................. 93
2.2.32.2 SRV_SNAPSHOT_ARRAY .......................................................................... 93
2.2.32.3 SRV_REQUEST_RESUME_KEY Response .................................................... 94
2.2.32.4 SRV_READ_HASH Response ..................................................................... 95
2.2.33 SMB2 QUERY_DIRECTORY Request ................................................................. 96
2.2.34 SMB2 QUERY_DIRECTORY Response ............................................................... 98
2.2.35 SMB2 CHANGE_NOTIFY Request ..................................................................... 98
2.2.36 SMB2 CHANGE_NOTIFY Response..................................................................100
2.2.36.1 FILE_NOTIFY_INFORMATION ...................................................................101
2.2.37 SMB2 QUERY_INFO Request .........................................................................102
2.2.37.1 SMB2_QUERY_QUOTA_INFO ...................................................................106
2.2.38 SMB2 QUERY_INFO Response .......................................................................107
2.2.39 SMB2 SET_INFO Request..............................................................................108
2.2.40 SMB2 SET_INFO Response............................................................................110
3 Protocol Details .................................................................................................... 112
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3.1 Common Details .................................................................................................112
3.1.1 Abstract Data Model ......................................................................................112
3.1.1.1 Global ....................................................................................................112
3.1.2 Timers .........................................................................................................112
3.1.3 Initialization .................................................................................................112
3.1.4 Higher-Layer Triggered Events ........................................................................112
3.1.4.1 Signing An Outgoing Message ...................................................................112
3.1.5 Processing Events and Sequencing Rules ..........................................................113
3.1.5.1 Verifying an Incoming Message .................................................................113
3.1.6 Timer Events ................................................................................................113
3.1.7 Other Local Events ........................................................................................113
3.2 Client Details......................................................................................................113
3.2.1.1 Global ....................................................................................................113
3.2.1.2 Per SMB2 Transport Connection.................................................................114
3.2.1.3 Per Session .............................................................................................115
3.2.1.4 Per Tree Connect .....................................................................................115
3.2.1.5 Per unique open file .................................................................................115
3.2.1.6 Per Application Open of a File ....................................................................116
3.2.2 Timers .........................................................................................................116
3.2.2.1 Request Expiration Timer ..........................................................................116
3.2.2.2 Idle Connection Timer ..............................................................................117
3.2.3 Initialization .................................................................................................117
3.2.4.1 Sending Any Outgoing Message .................................................................117
3.2.4.1.1 Signing the Message ...........................................................................117
3.2.4.1.2 Requesting Credits from the Server ......................................................118
3.2.4.1.3 Associating the Message with a MessageId ............................................118
3.2.4.1.4 Sending Compounded Requests ...........................................................118
3.2.4.1.5 Sending Multi-Credit Requests .............................................................119
3.2.4.1.6 Algorithm for Handling Available Message Sequence Numbers by the
Client ...............................................................................................119
3.2.4.2 Application Requests a Connection to a Share .............................................119
3.2.4.2.1 Connecting to the Target Server ..........................................................121
3.2.4.2.2 Negotiating the Protocol ......................................................................122
3.2.4.2.2.1 Multi-Protocol Negotiate ................................................................122
3.2.4.2.2.2 SMB2-Only Negotiate ....................................................................123
3.2.4.2.3 Authenticating the User ......................................................................123
3.2.4.2.3.1 Application Requests Reauthenticating a User ..................................124
3.2.4.2.4 Connecting to the Share......................................................................125
3.2.4.3 Application Requests Opening a File ...........................................................125
3.2.4.3.1 Application Requests Opening a Named Pipe ..........................................127
3.2.4.3.2 Application Requests Sending a File to Print ...........................................127
3.2.4.3.3 Application Requests Creating a File with Extended Attributes ..................127
3.2.4.3.4 Application Requests Creating a File with a Security Descriptor ................128
3.2.4.3.5 Application Requests Creating a File Opened for Durable Operation ..........128
3.2.4.3.6 Application Requests Opening a Previous Version of a File .......................128
3.2.4.3.7 Application Requests Creating a File with a Specific Allocation Size ...........128
3.2.4.3.8 Requesting a Lease on a File................................................................128
3.2.4.4 Re-establishing a Durable Open .................................................................129
3.2.4.5 Application Requests Closing a File or Named Pipe .......................................129
3.2.4.6 Application Requests Reading from a File or Named Pipe ..............................130
3.2.4.7 Application Requests Writing to a File or Named Pipe ...................................131
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3.2.4.8 Application Requests Querying File Attributes ..............................................132
3.2.4.9 Application Requests Applying File Attributes...............................................134
3.2.4.10 Application Requests Querying File System Attributes .................................134
3.2.4.11 Application Requests Applying File System Attributes .................................135
3.2.4.12 Application Requests Querying File Security ..............................................136
3.2.4.13 Application Requests Applying File Security ...............................................137
3.2.4.14 Application Requests Querying Quota Information ......................................138
3.2.4.15 Application Requests Applying Quota Information ......................................139
3.2.4.16 Application Requests Flushing Cached Data ...............................................140
3.2.4.17 Application Requests Enumerating a Directory ...........................................141
3.2.4.17.1 Application Requests Continuing a Directory Enumeration......................142
3.2.4.18 Application Requests Change Notifications for a Directory ...........................142
3.2.4.19 Application Requests Locking of an Array of Byte Ranges ............................143
3.2.4.20 Application Requests an IO Control Code Operation ....................................144
3.2.4.20.1 Application Requests Enumeration of Previous Versions .........................144
3.2.4.20.2 Application Requests a Server-Side Data Copy .....................................145
3.2.4.20.2.1 Application Requests a Source File Key ..........................................146
3.2.4.20.2.2 Application Requests a Server Side Data Copy ................................147
3.2.4.20.3 Application Requests DFS Referral Information .....................................148
3.2.4.20.4 Application Requests a Pipe Transaction ..............................................150
3.2.4.20.5 Application Requests a Peek at Pipe Data ............................................151
3.2.4.20.6 Application Requests a Pass-Through Operation ...................................151
3.2.4.20.7 Application Requests Content Information for a File ..............................153
3.2.4.20.8 Application Requests Resiliency on an Open File ...................................154
3.2.4.21 Application Requests Unlocking of an Array of Byte Ranges .........................155
3.2.4.22 Application Requests Closing a Share Connection .......................................156
3.2.4.23 Application Requests Terminating an Authenticated Context ........................157
3.2.4.24 Application Requests Canceling an Operation .............................................157
3.2.4.25 Application Requests the Session Key for an Authenticated Context .............158
3.2.5.1 Receiving Any Message ............................................................................158
3.2.5.1.1 Finding the Application Request for This Response ..................................158
3.2.5.1.2 Verifying the Signature .......................................................................158
3.2.5.1.3 Granting Message Credits ....................................................................159
3.2.5.1.4 Handling Asynchronous Responses .......................................................159
3.2.5.1.5 Handling Session Expiration.................................................................159
3.2.5.1.6 Handling Incorrectly Formatted Responses ............................................159
3.2.5.1.7 Processing the Response .....................................................................159
3.2.5.1.8 Handling Compounded Responses ........................................................160
3.2.5.2 Receiving an SMB2 NEGOTIATE Response ...................................................160
3.2.5.3 Receiving an SMB2 SESSION_SETUP Response ...........................................160
3.2.5.3.1 Handling a New Authentication ............................................................161
3.2.5.3.2 Handling a Reauthentication ................................................................162
3.2.5.4 Receiving an SMB2 LOGOFF Response ........................................................163
3.2.5.5 Receiving an SMB2 TREE_CONNECT Response ............................................163
3.2.5.6 Receiving an SMB2 TREE_DISCONNECT Response .......................................164
3.2.5.7 Receiving an SMB2 CREATE Response for a New Create Operation .................164
3.2.5.7.1 SMB2_CREATE_DURABLE_HANDLE_RESPONSE Create Context ................165
3.2.5.7.2 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE Create Context ....165
3.2.5.7.3 SMB2_CREATE_RESPONSE_LEASE Create Context .................................165
3.2.5.8 Receiving an SMB2 CREATE Response for an Open Reestablishment ..............165
3.2.5.9 Receiving an SMB2 CLOSE Response ..........................................................166
3.2.5.10 Receiving an SMB2 FLUSH Response ........................................................166
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3.2.5.11 Receiving an SMB2 READ Response ..........................................................166
3.2.5.12 Receiving an SMB2 WRITE Response ........................................................166
3.2.5.13 Receiving an SMB2 LOCK Response ..........................................................166
3.2.5.14 Receiving an SMB2 IOCTL Response .........................................................167
3.2.5.14.1 Handling an Enumeration of Previous Versions Response .......................167
3.2.5.14.2 Handling a Server-Side Data Copy Source File Key Response .................167
3.2.5.14.3 Handling a Server-Side Data Copy Response .......................................167
3.2.5.14.4 Handling a DFS Referral Information Response.....................................167
3.2.5.14.5 Handling a Pipe Transaction Response .................................................168
3.2.5.14.6 Handling a Peek at Pipe Data Response ...............................................168
3.2.5.14.7 Handling a Content Information Retrieval Response ..............................168
3.2.5.14.8 Handling a Pass-Through Operation Response ......................................168
3.2.5.14.9 Handling a Resiliency Response ..........................................................169
3.2.5.15 Receiving an SMB2 QUERY_DIRECTORY Response .....................................169
3.2.5.16 Receiving an SMB2 CHANGE_NOTIFY Response .........................................169
3.2.5.17 Receiving an SMB2 QUERY_INFO Response ...............................................169
3.2.5.18 Receiving an SMB2 SET_INFO Response ...................................................170
3.2.5.19 Receiving an SMB2 OPLOCK_BREAK Notification ........................................170
3.2.5.19.1 Receiving an Oplock Break Notification ................................................170
3.2.5.19.2 Receiving a Lease Break Notification ...................................................171
3.2.5.19.3 Receiving an Oplock Break Acknowledgment Response .........................172
3.2.5.19.4 Receiving a Lease Break Acknowledgment Response .............................172
3.2.6 Timer Events ................................................................................................172
3.2.6.1 Request Expiration Timer Event .................................................................172
3.2.6.2 Idle Connection Timer Event .....................................................................172
3.2.7.1 Handling a Network Disconnect .................................................................172
3.3 Server Details ....................................................................................................173
3.3.1.1 Algorithm for Handling Available Message Sequence Numbers by the Server ...173
3.3.1.2 Algorithm for the Granting of Credits..........................................................174
3.3.1.3 Algorithm for Change Notifications in an Object Store ..................................174
3.3.1.4 Algorithm for Leasing in an Object Store.....................................................175
3.3.1.5 Global Structures .....................................................................................176
3.3.1.6 Per Share Structures ................................................................................177
3.3.1.7 Per Transport Connection Structures ..........................................................178
3.3.1.8 Per Session Structures .............................................................................179
3.3.1.9 Per Tree Connect Structures .....................................................................179
3.3.1.10 Per Open Structures ...............................................................................180
3.3.1.11 Per Lease Table Structures ......................................................................181
3.3.1.12 Per Lease Structures ..............................................................................182
3.3.2 Timers .........................................................................................................182
3.3.2.1 Oplock Break Acknowledgment Timer .........................................................182
3.3.2.2 Durable Open Scavenger Timer .................................................................182
3.3.2.3 Session Expiration Timer ..........................................................................183
3.3.2.4 Resilient Open Scavenger Timer ................................................................183
3.3.3 Initialization .................................................................................................183
3.3.4.1 Sending Any Outgoing Message .................................................................185
3.3.4.1.1 Signing the Message ...........................................................................185
3.3.4.1.2 Granting Credits to the Client ..............................................................185
3.3.4.1.3 Sending Compounded Responses .........................................................186
3.3.4.2 Sending an Interim Response for an Asynchronous Operation .......................186
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3.3.4.3 Sending a Success Response .....................................................................187
3.3.4.4 Sending an Error Response .......................................................................187
3.3.4.5 Server Application Requests Session Key of the Client ..................................188
3.3.4.6 Object Store Indicates an Oplock Break ......................................................189
3.3.4.7 Object Store Indicates a Lease Break .........................................................189
3.3.4.8 DFS Server Notifies SMB2 Server That DFS Is Active ....................................190
3.3.4.9 DFS Server Notifies SMB2 Server That a Share Is a DFS Share ......................190
3.3.4.10 DFS Server Notifies SMB2 Server That a Share Is Not a DFS Share ..............190
3.3.4.11 Server Application Requests Security Context of the Client ..........................190
3.3.4.12 Server Application Requests Closing a Session ...........................................191
3.3.4.13 Server Application Registers a Share ........................................................191
3.3.4.14 Server Application Updates a Share ..........................................................192
3.3.4.15 Server Application Deregisters a Share .....................................................192
3.3.4.16 Server Application Requests Querying a Share...........................................193
3.3.4.17 Server Application Requests Closing an Open ............................................194
3.3.4.18 Server Application Queries a Session ........................................................194
3.3.4.19 Server Application Queries a TreeConnect .................................................194
3.3.4.20 Server Application Queries an Open .........................................................195
3.3.4.21 Notify of Transport Arrival .......................................................................195
3.3.5.1 Accepting an Incoming Connection.............................................................195
3.3.5.2 Receiving Any Message ............................................................................196
3.3.5.2.1 Verifying the Connection State .............................................................196
3.3.5.2.2 Verifying the Sequence Number ...........................................................196
3.3.5.2.3 Verifying the Signature .......................................................................196
3.3.5.2.4 Verifying the Credit Number ................................................................197
3.3.5.2.5 Handling Incorrectly Formatted Requests ..............................................197
3.3.5.2.6 Handling Compounded Requests ..........................................................197
3.3.5.2.6.1 Handling Compounded Unrelated Requests ......................................198
3.3.5.2.6.2 Handling Compounded Related Requests .........................................198
3.3.5.2.7 Updating Idle Time .............................................................................198
3.3.5.3 Receiving an SMB_COM_NEGOTIATE ..........................................................198
3.3.5.3.1 SMB 2.1 Support ................................................................................198
3.3.5.3.2 SMB 2.002 Support ............................................................................200
3.3.5.4 Receiving an SMB2 NEGOTIATE Request .....................................................201
3.3.5.5 Receiving an SMB2 SESSION_SETUP Request .............................................202
3.3.5.5.1 Authenticating a New Session ..............................................................203
3.3.5.5.2 Reauthenticating an Existing Session ....................................................203
3.3.5.5.3 Handling GSS-API Authentication .........................................................203
3.3.5.6 Receiving an SMB2 LOGOFF Request ..........................................................207
3.3.5.7 Receiving an SMB2 TREE_CONNECT Request ..............................................207
3.3.5.8 Receiving an SMB2 TREE_DISCONNECT Request .........................................209
3.3.5.9 Receiving an SMB2 CREATE Request ..........................................................210
3.3.5.9.1 Handling the SMB2_CREATE_EA_BUFFER Create Context ........................214
3.3.5.9.2 Handling the SMB2_CREATE_SD_BUFFER Create Context ........................215
3.3.5.9.3 Handling the SMB2_CREATE_ALLOCATION_SIZE Create Context ..............215
3.3.5.9.4 Handling the SMB2_CREATE_TIMEWARP_TOKEN Create Context ..............215
3.3.5.9.5 Handling the SMB2_CREATE_QUERY_MAXIMAL_ACCESS_REQUEST
Create Context..................................................................................215
3.3.5.9.6 Handling the SMB2_CREATE_DURABLE_HANDLE_REQUEST Create
Context ............................................................................................216
3.3.5.9.7 Handling the SMB2_CREATE_DURABLE_HANDLE_RECONNECT Create
Context ............................................................................................216
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3.3.5.9.8 Handling the SMB2_CREATE_REQUEST_LEASE Create Context ................217
3.3.5.10 Receiving an SMB2 CLOSE Request ..........................................................219
3.3.5.11 Receiving an SMB2 FLUSH Request ..........................................................220
3.3.5.12 Receiving an SMB2 READ Request ............................................................221
3.3.5.13 Receiving an SMB2 WRITE Request ..........................................................223
3.3.5.14 Receiving an SMB2 LOCK Request ............................................................224
3.3.5.14.1 Processing Unlocks ...........................................................................225
3.3.5.14.2 Processing Locks ..............................................................................226
3.3.5.15 Receiving an SMB2 IOCTL Request ...........................................................227
3.3.5.15.1 Handling an Enumeration of Previous Versions Request .........................228
3.3.5.15.2 Handling a DFS Referral Information Request.......................................229
3.3.5.15.3 Handling a Pipe Transaction Request ...................................................230
3.3.5.15.4 Handling a Peek at Pipe Data Request .................................................231
3.3.5.15.5 Handling a Source File Key Request ....................................................231
3.3.5.15.6 Handling a Server-Side Data Copy Request..........................................232
3.3.5.15.6.1 Sending a Copy Failure Server-Side Copy Response ........................233
3.3.5.15.6.2 Sending an Invalid Parameter Server-Side Copy Response ...............234
3.3.5.15.7 Handling a Content Information Retrieval Request ................................234
3.3.5.15.8 Handling a Pass-Through Operation Request ........................................235
3.3.5.15.9 Handling a Resiliency Request ............................................................236
3.3.5.16 Receiving an SMB2 CANCEL Request ........................................................237
3.3.5.17 Receiving an SMB2 ECHO Request ...........................................................238
3.3.5.18 Receiving an SMB2 QUERY_DIRECTORY Request .......................................238
3.3.5.19 Receiving an SMB2 CHANGE_NOTIFY Request ...........................................240
3.3.5.20 Receiving an SMB2 QUERY_INFO Request .................................................242
3.3.5.20.1 Handling SMB2_0_INFO_FILE ............................................................243
3.3.5.20.2 Handling SMB2_0_INFO_FILESYSTEM .................................................245
3.3.5.20.3 Handling SMB2_0_INFO_SECURITY ....................................................246
3.3.5.20.4 Handling SMB2_0_INFO_QUOTA ........................................................246
3.3.5.21 Receiving an SMB2 SET_INFO Request .....................................................248
3.3.5.21.1 Handling SMB2_0_INFO_FILE ............................................................249
3.3.5.21.2 Handling SMB2_0_INFO_FILESYSTEM .................................................250
3.3.5.21.3 Handling SMB2_0_INFO_SECURITY ....................................................250
3.3.5.21.4 Handling SMB2_0_INFO_QUOTA ........................................................251
3.3.5.22 Receiving an SMB2 OPLOCK_BREAK Acknowledgment ................................251
3.3.5.22.1 Processing an Oplock Acknowledgment ...............................................251
3.3.5.22.2 Processing a Lease Acknowledgment ...................................................252
3.3.6 Timer Events ................................................................................................253
3.3.6.1 Oplock Break Acknowledgment Timer Event ................................................253
3.3.6.2 Durable Open Scavenger Timer Event ........................................................254
3.3.6.3 Session Expiration Timer Event .................................................................254
3.3.6.4 Resilient Open Scavenger Timer Event .......................................................254
3.3.7.1 Handling a Transport Disconnect ...............................................................254
4 Protocol Examples ................................................................................................ 256

4.1 Connecting to a Share by Using a Multi-Protocol Negotiate.......................................256
4.2 Negotiating SMB 2.10 dialect by using Multi-Protocol Negotiate ................................262
4.3 Connecting to a Share by Using an SMB2 Negotiate ................................................267
4.4 Executing an Operation on a Named Pipe ...............................................................273
4.5 Reading from a Remote File .................................................................................282
4.6 Writing to a Remote File ......................................................................................288
4.7 Disconnecting a Share and Logging Off ..................................................................298
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5 Security ................................................................................................................ 301
5.1 Security Considerations for Implementers ..............................................................301
5.2 Index of Security Parameters ...............................................................................301
6 Appendix A: Product Behavior .............................................................................. 302
7 Change Tracking................................................................................................... 324
8 Index ................................................................................................................... 336
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1 Introduction
This specification describes the Server Message Block (SMB) Version 2 Protocol, which supports the
sharing of file and print resources between machines. The protocol borrows and extends concepts
from the Server Message Block (SMB) Protocol, as specified in [MS-SMB]. This specification assumes
familiarity with the SMB Protocol, as specified in [MS-SMB], and with the security concepts
described in [MS-WSO] section 3.1.2.
1.1 Glossary
The following terms are defined in [MS-GLOS]:
@GMT token
discretionary access control list (DACL)
Distributed File System (DFS)
Distributed File System (DFS) link
file system
file system control (FSCTL)
fully qualified domain name (FQDN)(1)
globally unique identifier (GUID)
main stream
named pipe
named stream
NetBIOS
NT file system (NTFS)
print job
reparse point
security context (1)
security descriptor
security identifier (SID)
security principal
snapshot
symbolic link
system access control list (SACL)
Transmission Control Protocol (TCP)
Unicode
The following terms are specific to this document:
Authenticated Context: The runtime state that is associated with the successful authentication
of a security principal between the client and the server, such as the security principal itself,
the cryptographic key that was generated during authentication, and the rights and privileges
of this security principal.
Branch Cache: Branch Cache is intended to reduce bandwidth consumption on branch-office

wide area network (WAN) links. Branch Cache clients retrieve content from distributed caches
within a branch instead of remote servers. Distributed caches in the branch can either be on
peer clients within the branch or be on dedicated caching servers. Branch Cache details are
discussed in [MS-PCCRR].
Compounded Requests and Responses: A method of combining multiple SMB 2 Protocol

requests or responses into a single transmission request for submission to the underlying
transport.
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Connection: Either a TCP or NetBIOS over TCP connection between an SMB 2 Protocol client
and an SMB 2 Protocol server.
Content: A file that is accessed by an application. Examples of content include Web pages and
documents stored on either Web Servers or SMB file servers.
Content Information: An opaque blob of data containing a set of hashes for a specific file that
can be used by the application to retrieve the contents of the file using the branch cache. The
details of Content Information are discussed in [MS-PCCRC].
Create Context: A variable-length attribute that is sent with an SMB2 CREATE Request (section
2.2.13) or SMB2 CREATE Response that either gives extra information about how the create
shall be processed, or returns extra information about how the create was processed. See
sections 2.2.13.2 and 2.2.14.2.
Credit: A value that is granted to an SMB 2 Protocol client by an SMB 2 Protocol server that
limits the number of outstanding requests that a client can send to a server.
Durable Open: An open to a file that allows the client to attempt to preserve and reestablish
the open after a network disconnect. It cannot be permissible to a directory, named pipe, or
printer.
I/O Control (IOCTL): A command that is issued to a target file system or target device in order
to query or alter the behavior of the target; or to query or alter the data and attributes that
are associated with the target or the objects that are exposed by the target.
Lease: A lease is a mechanism that is designed to allow clients to dynamically alter their
buffering strategy in a consistent manner in order to increase performance and reduce
network use. The network performance for remote file operations may be increased if a client
can locally buffer file data, which reduces or eliminates the need to send and receive network
packets. For example, a client may not have to write information into a file on a remote server
if the client confirms that no other client is accessing the data. Likewise, the client may buffer
read-ahead data from the remote file if the client confirms that no other client is writing data
to the remote file.
There are three types of leases:
A read-caching lease allows a client to cache reads and can be granted to multiple clients.
A write-caching lease allows a client to cache writes and byte range locks and can only be
granted to a single client.
A handle-caching lease allows a client to cache open handles and can be granted to
multiple clients.
A lease can be a combination of one or more of the lease types listed above. When a client
opens a file, it requests that the server grant it a lease on the file. The response from the
server indicates the lease that is granted to the client. The client uses the granted lease to
adjust its buffering policy.
A lease can span multiple opens as well as multiple connections from the same client.
Lease Break: An unsolicited request that is sent by an SMB 2 Protocol server to an SMB 2
Protocol client to inform the client to change the lease state for a file.
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Local object store: A system that provides the ability to create, query, modify, or apply policy
to a local resource on behalf of a remote client. The object store is backed by either a file
system, a named pipe, or a print job that is accessed as a file.
Open: A runtime object that corresponds to a currently established access to a specific file or
named pipe from a specific client to a specific server, using a specific user security context.
Both clients and servers maintain opens that represent active accesses.
Oplock: An opportunistic lock, or oplock, is a mechanism that is designed to allow clients to

dynamically alter their buffering strategy in a consistent manner in order to increase
performance and reduce network use. The network performance for remote file operations
may be increased if a client can locally buffer file data, which reduces or eliminates the need
to send and receive network packets. For example, a client may not have to write information
into a file on a remote server if the client confirms that no other process is accessing the data.
Likewise, the client may buffer read-ahead data from the remote file if the client confirms that
no other process is writing data to the remote file.
There are three types of oplocks:
An exclusive oplock allows a client to open a file for exclusive access and allows the client
to perform arbitrary buffering.
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.
A Level II oplock indicates that there are multiple readers of a file and no writers.
When a client opens a file, it requests that the server grant it a particular type of oplock on
the file. The response from the server indicates the type of oplock that is granted to the
client. The client uses the granted oplock type to adjust its buffering policy.
Oplock Break: An unsolicited request that is sent by an SMB 2 Protocol server to an SMB 2
Protocol client to inform the client to change the oplock level for a file.
Sequence Number: A number that uniquely identifies a request and response that is sent on an
SMB 2 Protocol connection. For a description of how sequence numbers are allocated, see
sections 3.2.4.1.6 and 3.3.1.1.
Session: An authenticated context that is established between an SMB 2 Protocol client and
an SMB 2 Protocol server over an SMB 2 Protocol connection for a specific security principal.
There could be multiple active sessions over a single SMB 2 Protocol connection. The
SessionId field in the SMB2 packet header (section 2.2.1) distinguishes the various
sessions.
Share: A local resource that is offered by an SMB 2 Protocol server for access by SMB 2 Protocol
clients over the network. The SMB 2 Protocol defines three types of shares: file (or disk)
shares, which represent a directory tree and its included files; pipe shares, which expose
access to named pipes; and print shares, which provide access to print resources on the
server. A pipe share as defined by the SMB 2 Protocol must always have the name "IPC$". A
pipe share must only allow named pipe operations and DFS referral requests to itself.
Tree Connect: A connection by a specific session on an SMB 2 Protocol client to a specific

share on an SMB 2 Protocol server over an SMB 2 Protocol connection. There could be
multiple tree connects over a single SMB 2 Protocol connection. The TreeId field in the
SMB2 packet header (section 2.2.1) distinguishes the various tree connects.
WorldSid: A SID with the specific value of S-1-1-0.
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MAY, SHOULD, MUST, SHOULD NOT, MUST NOT: These terms (in all caps) are used as
described in [RFC2119]. All statements of optional behavior use either MAY, SHOULD, or
SHOULD NOT.
1.2 References
1.2.1 Normative References
We conduct frequent surveys of the normative references to assure their continued availability. If
you have any issue with finding a normative reference, please contact [email protected]. We
will assist you in finding the relevant information. Please check the archive site,
http://msdn2.microsoft.com/en-us/library/E4BD6494-06AD-4aed-9823-445E921C9624, as an
additional source.
[FIPS180-2] Federal Information Processing Standards Publication, "Secure Hash Standard", FIPS
PUB 180-2, August 2002, http://csrc.nist.gov/publications/fips/fips180-2/fips180-2.pdf
[MS-CIFS] Microsoft Corporation, "Common Internet File System (CIFS) Protocol Specification",
September 2009.
[MS-DFSC] Microsoft Corporation, "Distributed File System (DFS): Referral Protocol Specification",
July 2006.
[MS-DTYP] Microsoft Corporation, "Windows Data Types", January 2007.
[MS-ERREF] Microsoft Corporation, "Windows Error Codes", January 2007.
[MS-FSCC] Microsoft Corporation, "File System Control Codes", July 2006.
[MS-KILE] Microsoft Corporation, "Kerberos Protocol Extensions", July 2006.
[MS-NLMP] Microsoft Corporation, "NT LAN Manager (NTLM) Authentication Protocol Specification",
July 2006.
[MS-PCCRC] Microsoft Corporation, "Peer Content Caching and Retrieval: Content Identification",
December 2008.
[MS-RPCE] Microsoft Corporation, "Remote Procedure Call Protocol Extensions", July 2006.
[MS-SMB] Microsoft Corporation, "Server Message Block (SMB) Protocol Specification", July 2006.
[MS-SPNG] Microsoft Corporation, "Simple and Protected Generic Security Service Application
Program Interface Negotiation Mechanism (SPNEGO) Protocol Extensions", July 2006.
[MS-SRVS] Microsoft Corporation, "Server Service Remote Protocol Specification", July 2006.
[RFC1002] Network Working Group, "Protocol Standard for a NetBIOS Service on a TCP/UDP
Transport: Detailed Specifications", STD 19, RFC 1002, March 1987,
http://www.ietf.org/rfc/rfc1002.txt
[RFC2104] Krawczyk, H., Bellare, M., and Canetti, R., "HMAC: Keyed-Hashing for Message
Authentication", RFC 2104, February 1997, http://www.ietf.org/rfc/rfc2104.txt
[RFC2119] Bradner, S., "Key words for use in RFCs to Indicate Requirement Levels", BCP 14, RFC
2119, March 1997, http://www.ietf.org/rfc/rfc2119.txt
15 / 341
[MS-SMB2] — v20100820

[RFC2743] Linn, J., "Generic Security Service Application Program Interface Version 2, Update 1",
RFC 2743, January 2000, http://www.ietf.org/rfc/rfc2743.txt
[RFC4178] Zhu, L., Leach, P., Jaganathan, K., and Ingersoll, W., "The Simple and Protected Generic
Security Service Application Program Interface (GSS-API) Negotiation Mechanism", RFC 4178,
October 2005, http://www.ietf.org/rfc/rfc4178.txt
[UNICODE] The Unicode Consortium, "Unicode Home Page", 2006, http://www.unicode.org/
1.2.2 Informative References
[FSBO] Microsoft Corporation, "File System Behavior in the Microsoft Windows Environment", June
2008, http://download.microsoft.com/download/4/3/8/43889780-8d45-4b2e-9d3a-
c696a890309f/File%20System%20Behavior%20Overview.pdf
[MS-AUTHSO] Microsoft Corporation, "Windows Authentication Services System Overview", August

2009.
[MS-FSA] Microsoft Corporation, "File System Algorithms", March 2010.
[MS-GLOS] Microsoft Corporation, "Windows Protocols Master Glossary", March 2007.
[MS-PCCRR] Microsoft Corporation, "Peer Content Caching and Retrieval: Retrieval Protocol
Specification", December 2008.
[MS-WSO] Microsoft Corporation, "Windows System Overview", January 2010.
[MSDFS] Microsoft Corporation, "How DFS Works", March 2003, http://technet.microsoft.com/en-

us/library/cc782417%28WS.10%29.aspx
[MSDN-IMPERS] Microsoft Corporation, "Impersonation" http://msdn.microsoft.com/en-

us/library/ms691341.aspx
[MSDN-IoCtlCodes] Microsoft Corporation, "Defining I/O Control Codes",

http://msdn.microsoft.com/en-us/library/ms795909.aspx
[OFFLINE] Microsoft Corporation, "Offline Files", January 2005,

http://technet2.microsoft.com/WindowsServer/en/Library/830323a2-23ca-4875-af3c-
06671d68ca9a1033.mspx
1.3 Overview
The Server Message Block (SMB) Version 2 Protocol is an extension of the original Server Message
Block (SMB) Protocol (as specified in [MS-SMB] and [MS-CIFS]). Both protocols are used by clients
to request file and print services from a server system over the network. Both are stateful protocols
in which clients establish a connection to a server, establish an authenticated context on that
connection, and then issue a variety of requests to access files, printers, and named pipes for
interprocess communication.
The SMB 2 Protocol is a major revision of the existing SMB Protocol, as specified in [MS-SMB]. The
packet formats are completely different from those of the SMB Protocol; however, many of the
underlying concepts are carried over. The underlying transports that are used to initiate and accept
connections are either Direct TCP or NetBIOS over TCP transports as specified in [MS-SMB] section
2.1.
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To retain compatibility with existing clients and servers, the existing SMB Protocol can be used to
negotiate the use of the SMB 2 Protocol, as described in section 1.7. However, the two protocols will
never be intermixed on a specified connection after one is selected during negotiation.
Like its predecessor, which was the original SMB Protocol (as specified in [MS-SMB]), the SMB 2
Protocol supports the following features:
Establishing one or more authenticated contexts for different security principals on a connection.
Connecting to multiple shared resources on the target server on a connection.
Opening, reading, modifying, or closing multiple files or named pipes on the target server.
Using the opportunistic locking of files to allow clients to cache data for better performance.
Querying and applying attributes to files or volumes on the target server.
Canceling outstanding operations.
Passing through IO control code operations to the underlying object store on the server machine.
Validating the integrity of requests and responses.
The SMB 2 Protocol provides several enhancements in addition to the preceding features:
Allowing an open to a file to be reestablished after a client connection becomes temporarily

disconnected.
Allowing the server to balance the number of simultaneous operations that a client can have
outstanding at any time.
Providing scalability in terms of the number of shares, users, and simultaneously open files.
Supporting symbolic links.
Using a stronger algorithm to validate the integrity of requests and responses.
The SMB 2.1 dialect introduces the following enhancements:
Allowing a client to indicate support for multiple SMB 2 dialects in a multi-protocol negotiate
request.
Allowing a client to obtain and preserve client caching state across multiple opens from the same
client.
Allowing a client to mark individual write operations on unbuffered handles to be treated as

write-through.
Allowing a client to retrieve hashes of a file for use in branch cache retrieval, as specified in [MS-
PCCRC].
1.4 Relationship to Other Protocols
The Server Message Block (SMB) Version 2 Protocol may be negotiated by using an SMB negotiate,
as specified in [MS-SMB] section 1.7. After a dialect of the SMB 2 Protocol is selected during
negotiation, all messages that are sent on the connection (including the negotiate response) will be
SMB 2 Protocol messages, as specified in this document, and no further SMB traffic will be
exchanged on the connection.
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For authentication, the SMB 2 Protocol relies on Simple and Protected GSS-API Negotiation
(SPNEGO), as specified in [RFC4178] and [MS-SPNG], which in turn may rely on the Kerberos
Protocol Extensions (as specified in [MS-KILE]) or the NT LAN Manager (NTLM) Authentication
Protocol (as specified in [MS-NLMP]).
The SMB 2 Protocol uses either TCP or NetBIOS over TCP as underlying transports.
Machines using the SMB 2 Protocol can use the Distributed File System (DFS): Referral Protocol as
specified in [MS-DFSC] to resolve names from a namespace distributed across many servers and
geographies into local names on specific file servers.
DFS clients communicate with DFS servers via referral requests/responses conveyed in SMB2 IOCTL
messages, analogous to a file system client performing control operations on a remote object store
via requests/responses conveyed in SMB2 IOCTL messages. The communication between the SMB2
server and the DFS server (or SMB2 server and object store), for the purpose of performing the
specified IOCTL operations, is local to the server machine, and takes place via implementation-
dependent means.
The Remote Procedure Call Protocol Extensions, as specified in [MS-RPCE], define an RPC over SMB
Protocol or SMB 2 Protocol sequence that can use SMB 2 Protocol named pipes as its underlying
transport. The selection of protocol is based on client behavior during negotiation, as specified in
section 1.7.
Peer Content Caching and Retrieval framework, or Branch Cache, is designed to reduce bandwidth
consumption on branch-office wide area network (WAN) links by having clients request Content
from distributed caches. Content is uniquely identified by Content Information retrieved from the
server through SMB 2 IOCTL messages, as specified in sections 3.2.4.20.7 and 3.3.5.15.7. This
capability is only supported for the SMB 2.1 dialect.
Figure 1: Relationship to other protocols
The diagram shows the following:
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[MS-SMB2] calls [MS-SPNG] for authenticating the user.
[MS-SMB2] calls [MS-DFSC] to resolve names from a namespace.
[MS-SMB2] calls [MS-SRVS] for server management.
[MS-SMB2] uses either TCP or NetBIOS over TCP as underlying transports.
1.5 Prerequisites/Preconditions
The Server Message Block (SMB) Version 2 Protocol assumes the availability of the following
resources:
Either TCP or NetBIOS over TCP to support reliable, in-order message delivery.
An underlying local resource, such as a file system on the server side, exposing file, named pipe,
or printer objects.
Infrastructure that supports Simple and Protected GSS-API Negotiation (SPNEGO), as specified in
[RFC4178] and [MS-SPNG], on both the client and the server.
1.6 Applicability Statement
The Server Message Block (SMB) Version 2 Protocol<1> is applicable for all scenarios that involve
transferring files between client and server. The SMB 2 Protocol is also applicable for inter-process
communication between client and server using named pipes.
The SMB 2 Protocol may be more applicable than the SMB Protocol in scenarios that require the
following features:
Higher scalability of the number of files that a client may open simultaneously, as well as the
number of shares and user sessions that servers may maintain.
Quality of Service guarantees from the server for the number of requests that can be outstanding
against a server at any specified time.
Symbolic link support.
Stronger end-to-end data integrity protection, using the HMAC-SHA256 hash algorithm. The
HMAC-SHA256 hash is specified in [FIPS180-2] and [RFC2104].
Improved throughput across networks that have disparate characteristics.
Improved resilience to intermittent losses of network connectivity.
1.7 Versioning and Capability Negotiation
This document covers versioning in the following areas:
Supported Transports: This protocol can be implemented on top of NetBIOS or TCP, as defined in
section 2.1.
Protocol Versions: This protocol supports several capability bits. These are defined in section
2.2.5.
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Security and Authentication Methods: The SMB 2 Protocol supports authentication through the
use of the Generic Security Service Application Programming Interface (GSS-API), as specified in
[MS-SPNG].
Capability Negotiation: Though the semantics and the command set for the SMB 2 Protocol
closely match the SMB Protocol, as specified in [MS-SMB], the wire format for SMB 2 Protocol
packets is different from that of the SMB Protocol. For maintaining interoperability between
clients and servers in a mixed SMB 2/SMB Protocol environment, the SMB 2 Protocol can be
negotiated in one of two ways:
By using an SMB negotiate message (as specified in [MS-SMB] sections 2.2.4.5.1 and
3.2.4.2.2) with one of the new dialect strings: "SMB 2.002" or "SMB 2.???".
By using an SMB2 NEGOTIATE Request, as specified in section 2.2.3.
If a client uses an SMB negotiate message to indicate to an SMB 2 Protocol–capable server that it
requests to use SMB 2, the server must respond with an SMB2 NEGOTIATE Response as specified in
section 2.2.4.
A client that maintains a runtime cache for each server with which it communicates, including
whether the server is SMB 2 Protocol–capable, would then use an SMB2 NEGOTIATE Request (as
specified in section 2.2.3) in future attempts to connect to any server whose cached entry indicates
support for the SMB 2 Protocol.
Servers capable of only the SMB 2 Protocol would reject communication with traditional SMB
Protocol clients that do not offer "SMB 2.002" or "SMB 2.???" as a negotiate dialect, and accept
communication only from SMB 2 Protocol clients.
There are currently two dialects of the SMB 2 Protocol. Negotiating the SMB 2.1 dialect implies
support for the requests and responses as specified in this document, unless specifically noted
otherwise. Negotiating the SMB 2.002 dialect implies support for the requests and responses as
specified in this document, except those explicitly marked for the SMB 2.1 dialect. Certain
functionalities are negotiated through the exchange of capabilities as specified in sections 2.2.4 and
2.2.5.
The following state diagram illustrates dialect negotiation in the SMB 2.1 server. In this diagram,
state transitions occur as the SMB_COM_NEGOTIATE, SMB2 NEGOTIATE, and other requests are
received from the client. The server uses a per-connection variable, Connection.NegotiateDialect,
to represent the current state of dialect negotiation between client and server on each transport
connection.
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Figure 2: Connection.NegotiateDialect State Transitions in SMB 2.1 Server
1.8 Vendor-Extensible Fields
There are no vendor-extensible fields for the Server Message Block (SMB) Version 2 Protocol.
1.9 Standards Assignments
This protocol shares the standards assignments of TCP port and NetBIOS-over-TCP port, as specified
in [MS-SMB] section 1.9 and [RFC1002], respectively.
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2 Messages
The following sections specify how Server Message Block (SMB) Version 2 Protocol messages are
encapsulated on the wire and common SMB 2 Protocol data types.
2.1 Transport
The Server Message Block (SMB) Version 2 Protocol shares only direct TCP and NetBIOS over TCP
transports and endpoints specified in the original Server Message Block (SMB) Protocol (as specified
in [MS-SMB] section 2.1).
When the SMB 2 Protocol is negotiated on the connection, there is no inheritance of the base SMB
Protocol state. The SMB 2 Protocol takes over the transport connection that is initially used for
negotiation, and thereafter, all protocol flow on that connection MUST be SMB 2 Protocol.
2.2 Message Syntax
The SMB 2 Protocol is composed of, and driven by, message exchanges between the client and the
server in the following categories:
Protocol negotiation (SMB2 NEGOTIATE)
User authentication (SMB2 SESSION_SETUP, SMB2 LOGOFF)
Share access (SMB2 TREE_CONNECT, SMB2 TREE_DISCONNECT)
File access (SMB2 CREATE, SMB2 CLOSE, SMB2 READ, SMB2 WRITE, SMB2 LOCK, SMB2 IOCTL,
SMB2 QUERY_INFO, SMB2 SET_INFO, SMB2 FLUSH, SMB2 CANCEL)
Directory access (SMB2 QUERY_DIRECTORY, SMB2 CHANGE_NOTIFY)
Volume access (SMB2 QUERY_INFO, SMB2 SET_INFO)
Cache coherency (SMB2 OPLOCK_BREAK)
Simple messaging (SMB2 ECHO)
The SMB 2.1 dialect in the SMB 2 Protocol enhances the following categories of messages in the
SMB 2 Protocol:
Protocol Negotiation (SMB2 NEGOTIATE)
Share Access (SMB2 TREE_CONNECT)
File Access (SMB2 CREATE, SMB2 WRITE)
Cache Coherency (SMB2 OPLOCK_BREAK)
Hash Retrieval (SMB2 IOCTL)
This document specifies the messages in the preceding lists.
An SMB 2 Protocol message is the payload packet encapsulated in a transport packet.
All SMB 2 Protocol messages begin with a fixed-length SMB2 header that is described in section
2.2.1. The SMB2 header contains a Command field indicating the operation code that is requested
by the client or responded to by the server. An SMB 2 Protocol message is of variable length,
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depending on the Command field in the SMB2 header and on whether the SMB 2 Protocol message
is a client request or a server response.
Unless otherwise specified, multiple-byte fields (16-bit, 32-bit, and 64-bit fields) in an SMB 2
Protocol message MUST be transmitted in little-endian order (least-significant byte first).
Unless otherwise indicated, numeric fields are integers of the specified byte length.
Unless otherwise specified, all textual strings MUST be in Unicode version 5.0 format, as specified
in [UNICODE], using the 16-bit Unicode Transformation Format (UTF-16) form of the encoding.
Textual strings with separate fields identifying the length of the string MUST NOT be null-terminated
unless otherwise specified.
Unless otherwise noted, fields marked as "unused" MUST be set to 0 when being sent and MUST be
ignored when received. These fields are reserved for future protocol expansion and MUST NOT be
used for implementation-specific functionality.
When it is necessary to insert unused padding bytes into a buffer for data alignment purposes, such
bytes MUST be set to 0 when being sent and MUST be ignored when received.
When an error occurs, a server MUST send back an SMB 2 Protocol error response as specified in
section 2.2.2, unless otherwise noted in section 3.3.
All constants in section 2 and 3 that begin with STATUS_ have their values defined in [MS-ERREF]
section 2.3.
Operations executed on a printer share are handled on the server by creating a file, and printing the
contents of the file when it is closed. Unless otherwise specified, descriptions in this document
concerning protocol behavior for files also apply to printers. More information about processing
specific to printers is specified in section 2.2.13.
2.2.1 SMB2 Packet Header
The SMB2 Packet Header (also called the SMB2 header) is the header of all SMB 2 Protocol packets.
There are two variants of this header:
ASYNC
SYNC
If the SMB2_FLAGS_ASYNC_COMMAND bit is set in Flags, the header takes the form: SMB2
Protocol Header – ASYNC (section 2.2.1.1). This header format is used for responses to requests
processed asynchronously by SMB2 server. For more details refer to sections 3.3.4.2, 3.2.5.1.4 and
3.2.4.24. The SMB2 CANCEL Request uses this format for canceling requests that are being
processed asynchronously.
If the SMB2_FLAGS_ASYNC_COMMAND bit is not set in Flags, the header takes the form: SMB2
Protocol Header – SYNC (section 2.2.1.2). This format is used for all requests with the exception of
the SMB2 CANCEL Request to cancel a previously sent request being processed asynchronously.
2.2.1.1 SMB2 Packet Header - ASYNC
If the SMB2_FLAGS_ASYNC_COMMAND bit is set in Flags, the header takes the following form.
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
ProtocolId
StructureSize CreditCharge
Status
Command CreditRequest/CreditResponse
Flags
NextCommand
MessageId
...
AsyncId
...
SessionId
...
Signature
...
...
...
ProtocolId (4 bytes): The protocol identifier. The value MUST be (in network order) 0xFE, 'S',
'M', and 'B'.
StructureSize (2 bytes): MUST be set to 64, which is the size, in bytes, of the SMB2 header
structure.
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CreditCharge (2 bytes): In the SMB 2.002 dialect, this field MUST NOT be used and MUST be
reserved. The sender MUST set this to 0, and the receiver MUST ignore it. In the SMB 2.1
dialect, this field indicates the number of credits that this request consumes.
Status (4 bytes): The status code for a response. For a request, the client MUST set this field
to 0 and the server MUST ignore it on receipt. For a response, this field can be set to any
value. For a list of valid status codes, see [MS-ERREF] section 2.3.
Command (2 bytes): The command code of this packet. This field MUST contain one of the
following valid commands:
Name Value
SMB2 NEGOTIATE 0x0000
SMB2 SESSION_SETUP 0x0001
SMB2 LOGOFF 0x0002
SMB2 TREE_CONNECT 0x0003
SMB2 TREE_DISCONNECT 0x0004
SMB2 CREATE 0x0005
SMB2 CLOSE 0x0006
SMB2 FLUSH 0x0007
SMB2 READ 0x0008
SMB2 WRITE 0x0009
SMB2 LOCK 0x000A
SMB2 IOCTL 0x000B
SMB2 CANCEL 0x000C
SMB2 ECHO 0x000D
SMB2 QUERY_DIRECTORY 0x000E
SMB2 CHANGE_NOTIFY 0x000F
SMB2 QUERY_INFO 0x0010
SMB2 SET_INFO 0x0011
SMB2 OPLOCK_BREAK 0x0012
CreditRequest/CreditResponse (2 bytes): On a request, this field indicates the number of

credits the client is requesting. On a response, it indicates the number of credits granted to
the client. If a client does not require more credits, it MUST set this field to 1.
Flags (4 bytes): A flags field, which indicates how to process the operation. This field MUST be
constructed using the following values:
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Value Meaning
SMB2_FLAGS_SERVER_TO_REDIR When set, indicates the message is a response rather than

0x00000001 a request. This MUST be set on responses sent from the
server to the client, and MUST NOT be set on requests
sent from the client to the server.
SMB2_FLAGS_ASYNC_COMMAND When set, indicates that this is an ASYNC SMB2 header.

0x00000002 Always set for headers of the form described in this
section.
SMB2_FLAGS_RELATED_OPERATIONS When set in an SMB2 request, indicates that this request

0x00000004 is a related operation in a compounded request chain. The
use of this flag in an SMB2 request is as specified in
3.2.4.1.4.
When set in an SMB2 response, indicates that the request
corresponding to this response was part of a related
operation in a compounded request chain. The use of this
flag in an SMB2 response is as specified in 3.3.5.2.6.2.
SMB2_FLAGS_SIGNED When set, indicates that this packet has been signed. The
0x00000008 use of this flag is as specified in 3.1.5.1.
SMB2_FLAGS_DFS_OPERATIONS When set, indicates that this command is a Distributed

0x10000000 File System (DFS) operation. The use of this flag is as
specified in 3.3.5.9.
NextCommand (4 bytes): For a compounded request, this field MUST be set to the offset, in
bytes, from the beginning of this SMB2 header to the start of the subsequent 8-byte aligned
SMB2 header. If this is not a compounded request, or this is the last header in a compounded
request, this value MUST be 0.
MessageId (8 bytes): A value that identifies a message request and response uniquely across
all messages that are sent on the same SMB 2 Protocol transport connection.
AsyncId (8 bytes): A unique identification number that is created by the server to handle
operations asynchronously, as specified in section 3.3.4.2.
SessionId (8 bytes): Uniquely identifies the established session for the command. This MUST
be 0 for requests that do not have a user context that is associated with them. This MUST be
0 for the first SMB2 SESSION_SETUP Request for a specified security principal. The following
SMB 2 Protocol commands do not require the SessionId to be set to a nonzero value received
from a previous SMB2 SESSION_SETUP Response. SessionId SHOULD<2> be set to 0 for the
following commands:
SMB2 NEGOTIATE request
SMB2 NEGOTIATE response
SMB2 ECHO request
SMB2 ECHO response
SMB2 CANCEL request
Signature (16 bytes): The 16-byte signature of the message, if SMB2_FLAGS_SIGNED is set in
the Flags field of the SMB2 header. If the message is not signed, this field MUST be 0.
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2.2.1.2 SMB2 Packet Header - SYNC
If the SMB2_FLAGS_ASYNC_COMMAND bit is not set in Flags, the header takes the following form.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
ProtocolId
StructureSize CreditCharge
Status
Command CreditRequest/CreditResponse
Flags
NextCommand
MessageId
...
ProcessId
TreeId
SessionId
...
Signature
...
...
...
ProtocolId (4 bytes): The protocol identifier. The value MUST be (in network order) 0xFE, 'S',
'M', and 'B'.
StructureSize (2 bytes): This MUST be set to 64, which is the size, in bytes, of the SMB2
header structure.
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CreditCharge (2 bytes): In the SMB 2.002 dialect, this field MUST NOT be used and MUST be
reserved. The sender MUST set this to 0, and the receiver MUST ignore it. In the SMB 2.1
dialect, this field indicates the number of credits that this request consumes.
Status (4 bytes): The status code for a response. For a request, the client MUST set this field
to 0 and the server MUST ignore it on receipt. For a response, this field can be set to any
value. For a list of valid status codes, see [MS-ERREF] section 2.3.
Command (2 bytes): The command code of this packet. This field MUST contain one of the
following valid commands.
Name Value
SMB2 NEGOTIATE 0x0000
SMB2 SESSION_SETUP 0x0001
SMB2 LOGOFF 0x0002
SMB2 TREE_CONNECT 0x0003
SMB2 TREE_DISCONNECT 0x0004
SMB2 CREATE 0x0005
SMB2 CLOSE 0x0006
SMB2 FLUSH 0x0007
SMB2 READ 0x0008
SMB2 WRITE 0x0009
SMB2 LOCK 0x000A
SMB2 IOCTL 0x000B
SMB2 CANCEL 0x000C
SMB2 ECHO 0x000D
SMB2 QUERY_DIRECTORY 0x000E
SMB2 CHANGE_NOTIFY 0x000F
SMB2 QUERY_INFO 0x0010
SMB2 SET_INFO 0x0011
SMB2 OPLOCK_BREAK 0x0012
CreditRequest/CreditResponse (2 bytes): On a request, this field indicates the number of

credits the client is requesting. On a response, it indicates the number of credits granted to
the client.
Flags (4 bytes): A Flags field indicates how to process the operation. This field MUST be
constructed using the following values:
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Value Meaning
SMB2_FLAGS_SERVER_TO_REDIR When set, indicates the message is a response, rather

0x00000001 than a request. This MUST be set on responses sent from
the server to the client and MUST NOT be set on requests
sent from the client to the server.
SMB2_FLAGS_ASYNC_COMMAND When set, indicates that this is an ASYNC SMB2 header.

0x00000002 This flag MUST NOT be set when using the SYNC SMB2
header.
SMB2_FLAGS_RELATED_OPERATIONS When set in an SMB2 request, indicates that this request

0x00000004 is a related operation in a compounded request chain. The
use of this flag in an SMB2 request is as specified in
3.2.4.1.4.
When set in an SMB2 response, indicates that the request
corresponding to this response was part of a related
operation in a compounded request chain. The use of this
flag in an SMB2 response is as specified in 3.3.5.2.6.2.
SMB2_FLAGS_SIGNED When set, indicates that this packet has been signed. The
0x00000008 use of this flag is as specified in 3.1.5.1.
SMB2_FLAGS_DFS_OPERATIONS When set, indicates that this command is a DFS operation.

0x10000000 The use of this flag is as specified in 3.3.5.9.
NextCommand (4 bytes): For a compounded request, this field MUST be set to the offset, in
bytes, from the beginning of this SMB2 header to the start of the subsequent 8-byte aligned
SMB2 header. If this is not a compounded request, or this is the last header in a compounded
request, this value MUST be 0.
MessageId (8 bytes): A value that identifies a message request and response uniquely across
all messages that are sent on the same SMB 2 Protocol transport connection.
ProcessId (4 bytes): The identification of the process that is issuing the request. For a
request, the client MUST set this field to 0xFEFF. For a response, the server SHOULD set this
field to 0xFEFF. The client MUST ignore it on receipt.
TreeId (4 bytes): Uniquely identifies the tree connect for the command. This MUST be 0 for
the SMB2 TREE_CONNECT Request. The TreeId MAY be any unsigned 32-bit integer that is
received from a previous SMB2 TREE_CONNECT Response. The following SMB 2 Protocol
commands do not require the TreeId to be set to a nonzero value received from a previous
SMB2 TREE_CONNECT Response. TreeId SHOULD be set to 0 for the following commands:
SMB2 NEGOTIATE Request
SMB2 NEGOTIATE Response
SMB2 SESSION_SETUP Request
SMB2 SESSION_SETUP Response
SMB2 LOGOFF Request
SMB2 LOGOFF Response
SMB2 ECHO Request
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SMB2 ECHO Response
SMB2 CANCEL Request
SessionId (8 bytes): Uniquely identifies the established session for the command. This MUST
be 0 for requests that do not have a user context that is associated with them. This MUST be
0 for the first SMB2 SESSION_SETUP Request for a specified security principal. The following
SMB 2 Protocol commands do not require the SessionId to be set to a nonzero value received
from a previous SMB2 SESSION_SETUP Response. SessionId SHOULD be set to 0 for the
following commands:
SMB2 NEGOTIATE Request
SMB2 NEGOTIATE Response
SMB2 ECHO Request
SMB2 ECHO Response
SMB2 CANCEL Request
Signature (16 bytes): The 16-byte signature of the message, if SMB2_FLAGS_SIGNED is set in
the Flags field of the SMB2 header. If the message is not signed, this field MUST be 0.
2.2.2 SMB2 ERROR Response Packet
The SMB2 ERROR Response packet is sent by the server to respond to a request that has failed or
encountered an error. This response is composed of an SMB2 Packet Header (section 2.2.1) followed
by this response structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize Reserved
ByteCount
ErrorData (variable)
...
StructureSize (2 bytes): The server MUST set this field to 9, indicating the size of the
response structure, not including the header. The server MUST set it to this value regardless
of how long ErrorData[] actually is in the response being sent.
Reserved (2 bytes): This field MUST NOT be used and MUST be reserved. The server MUST set
this to 0, and the client MUST ignore it on receipt.
ByteCount (4 bytes): The number of bytes of data contained in ErrorData[].
ErrorData (variable): A variable-length data field that contains extended error information. If
the Status code in the header of the response is set to STATUS_STOPPED_ON_SYMLINK, this
field MUST contain a Symbolic Link Error Response as specified in section 2.2.2.1. If the
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ByteCount field is zero then the server MUST supply an ErrorData field that is one byte in
length, and SHOULD set that byte to zero; the client MUST ignore it on receipt.<3>
2.2.2.1 Symbolic Link Error Response
The Symbolic Link Error Response is used to indicate that a symbolic link was encountered on
create; it describes the target path that the client must use if it requires to follow the symbolic link.
This structure is contained in the ErrorData section of the SMB2 ERROR Response (section 2.2.2).
This structure MUST NOT be returned in an SMB2 ERROR Response unless the Status code in the
header of that response is set to STATUS_STOPPED_ON_SYMLINK.<4> The structure has the
following format.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
SymLinkLength
SymLinkErrorTag
ReparseTag
ReparseDataLength UnparsedPathLength
SubstituteNameOffset SubstituteNameLength
PrintNameOffset PrintNameLength
Flags
PathBuffer (variable)
...
SymLinkLength (4 bytes): The length, in bytes, of the response including the variable-length
portion and excluding SymLinkLength.
SymLinkErrorTag (4 bytes): The server MUST set this field to 0x4C4D5953.
ReparseTag (4 bytes): The type of link encountered. The server MUST set this field to
0xA000000C.
ReparseDataLength (2 bytes): The length, in bytes, of the variable-length portion of the

symbolic link error response plus the size of the static portion, not including SymLinkLength,
SymLinkErrorTag, ReparseTag, ReparseDataLength, and UnparsedPathLength. The
server MUST set this to the size of PathBuffer[], in bytes, plus 12. (12 is the size of
SubstituteNameOffset, SubstituteNameLength, PrintNameOffset, PrintNameLength,
and Flags.)
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UnparsedPathLength (2 bytes): The length, in bytes, of the unparsed portion of the path.
The unparsed portion is the remaining part of the path after the symbolic link. See section
2.2.2.1.1 for examples.
SubstituteNameOffset (2 bytes): The offset, in bytes, from the beginning of the PathBuffer
field, at which the substitute name is located. The substitute name is the name the client
MUST use to access this file if it requires to follow the symbolic link.
SubstituteNameLength (2 bytes): The length, in bytes, of the substitute name string. If

there is a terminating null character at the end of the string, it is not included in the
SubstituteNameLength count. This value MUST be greater than or equal to 0.
PrintNameOffset (2 bytes): The offset, in bytes, from the beginning of the PathBuffer field,
at which the print name is located. The print name is the user-friendly name the client MUST
return to the application if it requests the name of the symbolic link target.
PrintNameLength (2 bytes): The length, in bytes, of the print name string. If there is a
terminating null character at the end of the string, it is not included in the PrintNameLength
count. This value MUST be greater than or equal to 0.
Flags (4 bytes): A 32-bit bit field that specifies whether the substitute is an absolute target
path name or a path name relative to the directory containing the symbolic link.
This field contains one of the values in the table below.
Value Meaning
0x00000000 The substitute name is an absolute target path name.
SYMLINK_FLAG_RELATIVE When this Flags value is set, the substitute name is a path name
0x00000001 relative to the directory containing the symbolic link.
PathBuffer (variable): A buffer that contains the Unicode strings for the substitute name and
the print name, as described by SubstituteNameOffset, SubstituteNameLength,
PrintNameOffset, and PrintNameLength. The substitute name string MUST be a Unicode
path to the target of the symbolic link. The print name string MUST be a Unicode string,
suitable for display to a user, that also identifies the target of the symbolic link.
For an absolute target that is on a remote machine, the server MUST return the path in the
format "\??\UNC\server\share\..." where server is replaced by the target server name,
share is replaced by the target share name, and ... is replaced by the remainder of the
path to the target.
The server SHOULD NOT return symbolic link information with an absolute target that is a
local resource, because local evaluation will vary based on client operating system
(OS).<5>
For a relative target, the server MUST return a path that does not start with "\". The path
MUST be evaluated, by the calling application, relative to the directory containing the
symbolic link. The path can contain either "." to refer to the current directory or ".." to
refer to the parent directory, and could contain multiple elements.
For more information on absolute and relative targets, see Handling the Symbolic Link Error
Response (section 2.2.2.1.1).
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2.2.2.1.1 Handling the Symbolic Link Error Response
If a symbolic link error response is received, it MUST be processed by the calling application as
follows:
1. The unparsed portion of the original path name that is located at the end of the path-name string
MUST be extracted.
The size, in bytes, of the unparsed portion is specified in the UnparsedPathLength field. The
byte count MUST be used from the end of the path-name string and walked backward to find the
starting location of the unparsed bytes.
2. If the SYMLINK_FLAG_RELATIVE flag is not set in the Flags field of the symbolic link error
response, the unparsed portion of the file name MUST be appended to the substitute name to
create the new target path name.
3. If the SYMLINK_FLAG_RELATIVE flag is set in the Flags field of the symbolic link error response,
the symbolic link name MUST be identified by backing up one path name element from the
unparsed portion of the path name. The symbolic link MUST be replaced with the substitute name
to create the new target path name.
The following clarifies handling of the symbolic link error response:
An absolute symbolic link located on the server links "\\MachX\ShareY\Public\ProtocolDocs" to

"\??\D:\DonHall\MiscDocuments\PDocs".
1. The original open request is for "\\MachX\ShareY\Public\ProtocolDocs\DailyDocs\[MS-

SMB].doc".
2. The server returns a symbolic link error response with the following data:
UnparsedPathLength field value of 0x2E
PathBuffer containing the Unicode string substitute name and print name
"\??\D:\DonHall\MiscDocuments\PDocsD:\DonHall\MiscDocuments\PDocs"
SubstituteNameoffset 0x00
SubstituteNamelength 0x44
The unparsed portion of the path name will be "\DailyDocs\[MS-SMB].doc". Appending the
substitute name with the unparsed portion of the file name gives the new target path name of
"\??\D:\DonHall\MiscDocuments\PDocs\DailyDocs\[MS-SMB].doc".
A relative symbolic link located on the server links "\\MachX\ShareY\Public\ProtocolDocs" to

"..\DonHall\Documents\PDocs".
1. The original open request is for "\\MachX\ShareY\Public\ProtocolDocs\DailyDocs\[MS-

SMB].doc".
2. The server returns a symbolic link error response with the following data:
UnparsedPathLength field value of 0x2E
PathBuffer containing the Unicode string substitute name and print name
"..\DonHall\Documents\PDocs..\DonHall\Documents\PDocs"
SubstituteNameoffset 0x00
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SubstituteNamelength 0x34
The symbolic link name in this case is "ProtocolDocs".
Replacing the symbolic link name "ProtocolDocs" in the original open request (path name
"\\MachX\ShareY\Public\ProtocolDocs\DailyDocs\[MS-SMB].doc") with the substitute name
"..\DonHall\Documents\PDocs" gives the new target path name
"\\MachX\ShareY\Public\..\DonHall\Documents\PDocs\DailyDocs\[MS-SMB].doc". Because "."
and ".." are not permitted as components of a path name to be sent over the wire, before
reissuing the SMB2 CREATE request the client MUST first eliminate the ".." by normalizing the
new target path name to "\\MachX\ShareY\DonHall\Documents\PDocs\DailyDocs\[MS-
SMB].doc".
2.2.3 SMB2 NEGOTIATE Request
The SMB2 NEGOTIATE Request packet is used by the client to notify the server what dialects of the
SMB 2 Protocol the client understands. This request is composed of an SMB2 header, as specified in
section 2.2.1, followed by this request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize DialectCount
SecurityMode Reserved
Capabilities
ClientGuid
...
...
...
ClientStartTime
...
Dialects (variable)
...
StructureSize (2 bytes): The client MUST set this field to 36, indicating the size of a
NEGOTIATE request. This is not the size of the structure with a single dialect in the Dialects[]
array. This value MUST be set regardless of the number of dialects sent.
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DialectCount (2 bytes): The number of dialects that are contained in the Dialects[] array.
This value MUST be greater than 0.<6>
SecurityMode (2 bytes): The security mode field specifies whether SMB signing is enabled,
required at the server, or both. This field MUST be constructed using the following values.
Value Meaning
SMB2_NEGOTIATE_SIGNING_ENABLED When set, indicates that security signatures are enabled

0x0001 on the client. The client MUST set this bit if the
SMB2_NEGOTIATE_SIGNING_REQUIRED bit is not set,
and MUST NOT set this bit if the
SMB2_NEGOTIATE_SIGNING_REQUIRED bit is set. The
server MUST ignore this bit.
SMB2_NEGOTIATE_SIGNING_REQUIRED When set, indicates that security signatures are

0x0002 required by the client.
Reserved (2 bytes): This field MUST NOT be used and MUST be reserved. The client MUST set
this to 0, and the server MUST ignore it on receipt.
Capabilities (4 bytes): This field MUST be set to 0 and the server MUST ignore it on receipt.
ClientGuid (16 bytes): It MUST be a GUID (as specified in [MS-DTYP] section 2.3.2.2)
generated by the client, if the client implements SMB 2.1 dialect. Otherwise, the client MUST
set this to 0.
ClientStartTime (8 bytes): This field MUST NOT be used and MUST be reserved. The client
MUST set this to 0, and the server MUST ignore it on receipt.
Dialects (variable): An array of one or more 16-bit integers specifying the supported dialect
revision numbers. The array MUST contain at least one of the following values.<7>
Value Meaning
0x0202 SMB 2.002 dialect revision number.<8>
2.2.4 SMB2 NEGOTIATE Response
The SMB2 NEGOTIATE Response packet is sent by the server to notify the client of the preferred
common dialect. This response is composed of an SMB2 header, as specified in section 2.2.1,
followed by this response structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize SecurityMode
DialectRevision Reserved
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ServerGuid
...
...
...
Capabilities
MaxTransactSize
MaxReadSize
MaxWriteSize
SystemTime
...
ServerStartTime
...
SecurityBufferOffset SecurityBufferLength
Reserved2
Buffer (variable)
...
response structure, not including the header. The server MUST set it to this value, regardless
of how long Buffer[] actually is in the response being sent.
SecurityMode (2 bytes): The security mode field specifies whether SMB signing is enabled,
Value Meaning

0x0001 on the server. The server MUST set this bit, and the
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Value Meaning
client MUST return

STATUS_INVALID_NETWORK_RESPONSE if the flag is
missing.

0x0002 required by the server.
DialectRevision (2 bytes): The preferred common SMB 2 Protocol dialect number from the
Dialects array that is sent in the SMB2 NEGOTIATE Request (SECTION 2.2.3) or the SMB2
wildcard revision number. The server SHOULD set this field to one of the following
values.<10>
Value Meaning
0x02FF SMB2 wildcard revision number; indicates that the server supports SMB 2.1 or future
dialect revisions and expects the client to send a subsequent SMB2 Negotiate request to
negotiate the actual SMB 2 Protocol revision to be used. The wildcard revision number is
sent only in response to a multi-protocol negotiate request with the "SMB 2.???" dialect
string.<13>
Reserved (2 bytes): This field MUST NOT be used and MUST be reserved. The server SHOULD
set this to 0, and the client MUST ignore it on receipt.<14>
ServerGuid (16 bytes): A globally unique identifier that is generated by the server to uniquely
identify this server. This field MUST NOT be used by a client as a secure method of identifying
a server.<15>
Capabilities (4 bytes): The Capabilities field specifies protocol capabilities for the server. This
field MUST be constructed using the following values.
Value Meaning
SMB2_GLOBAL_CAP_DFS When set, indicates that the server supports the Distributed
0x00000001 File System (DFS).
SMB2_GLOBAL_CAP_LEASING When set, indicates that the server supports leasing. This flag
0x00000002 MUST only be valid for the SMB 2.1 dialect.
SMB2_GLOBAL_CAP_LARGE_MTU When set, indicates that the server supports multi-credit

0x00000004 operations. This flag MUST only be valid for the SMB 2.1
dialect.
MaxTransactSize (4 bytes): The maximum size, in bytes, of the buffer that can be used for
QUERY_INFO, QUERY_DIRECTORY, SET_INFO and CHANGE_NOTIFY operations. This field is
applicable only for buffers sent by the client in SET_INFO requests, or returned from the
server in QUERY_INFO, QUERY_DIRECTORY, and CHANGE_NOTIFY responses.<16>
MaxReadSize (4 bytes): The maximum size, in bytes, of the Length in an SMB2 READ
Request (section 2.2.19) that the server will accept.
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MaxWriteSize (4 bytes): The maximum size, in bytes, of the Length in an SMB2 WRITE
Request (section 2.2.21) that the server will accept.
SystemTime (8 bytes): The system time of the SMB2 server when the SMB2 NEGOTIATE
Request was processed; in FILETIME format as specified in [MS-DTYP] section 2.3.1.
ServerStartTime (8 bytes): The SMB2 server start time, in FILETIME format as specified in
[MS-DTYP] section 2.3.1.
SecurityBufferOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header
to the security buffer.
SecurityBufferLength (2 bytes): The length, in bytes, of the security buffer.
Reserved2 (4 bytes): This field MUST NOT be used and MUST be reserved. The server may set
this to any value, and the client MUST ignore it on receipt.
Buffer (variable): The variable-length buffer that contains the security buffer for the response,
as specified by SecurityBufferOffset and SecurityBufferLength. The buffer SHOULD
contain a token as produced by the GSS protocol as specified in section 3.3.5.3. If
SecurityBufferLength is 0, then client-initiated authentication, with an authentication
protocol of the client's choice, will be used instead of server-initiated SPNEGO authentication
as described in [MS-AUTHSO] section 3.2.2.
2.2.5 SMB2 SESSION_SETUP Request
The SMB2 SESSION_SETUP Request packet is sent by the client to request a new authenticated
session within a new or existing SMB 2 Protocol transport connection to the server. This request is
composed of an SMB2 header as specified in section 2.2.1 followed by this request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize VcNumber SecurityMode
Capabilities
Channel
PreviousSessionId
...
Buffer (variable)
...
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StructureSize (2 bytes): The client MUST set this field to 25, indicating the size of the request
structure, not including the header. The client MUST set it to this value regardless of how long
Buffer[] actually is in the request being sent.
VcNumber (1 byte): The number of other transport connections that are already established.
The client MUST set this field to 0 regardless of the number of outstanding connections.
SecurityMode (1 byte): The security mode field specifies whether SMB signing is enabled,
Value Meaning

0x01 on the client. The client MUST set this bit if the
SMB2_NEGOTIATE_SIGNING_REQUIRED bit is not set,
and MUST NOT set this bit if the
SMB2_NEGOTIATE_SIGNING_REQUIRED bit is set. The
server MUST ignore this bit.

0x02 required by the client.
Capabilities (4 bytes): Specifies protocol capabilities for the client. This field MUST be
constructed using the following values.
Value Meaning
SMB2_GLOBAL_CAP_DFS When set, indicates that the client supports the Distributed File
0x00000001 System (DFS).
SMB2_GLOBAL_CAP_UNUSED1 SHOULD be set to zero, and server MUST ignore.

0x00000002
SMB2_GLOBAL_CAP_UNUSED2 SHOULD be set to zero and server MUST ignore.

0x00000004
SMB2_GLOBAL_CAP_UNUSED3 SHOULD be set to zero and server MUST ignore.

0x00000008
Values other than those that are defined in the previous table are unused at present and
SHOULD<17> be treated as reserved.
Channel (4 bytes): This field MUST NOT be used and MUST be reserved. The client MUST set
SecurityBufferOffset (2 bytes): The offset, in bytes, from the beginning of the SMB 2 Protocol
header to the security buffer.
PreviousSessionId (8 bytes): A previously established session identifier. If this is a

reconnect, the client MUST set this value to its previous session identifier to allow the server
to reconnect. If this is not a reconnect, the client MUST set this to 0.
Buffer (variable): A variable-length buffer that contains the security buffer for the request, as
specified by SecurityBufferOffset and SecurityBufferLength. The buffer SHOULD contain a
token as produced by the GSS protocol as specified in section 3.3.5.5. If
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2.2.6 SMB2 SESSION_SETUP Response
The SMB2 SESSION_SETUP Response packet is sent by the server in response to an SMB2
SESSION_SETUP Request packet. This response is composed of an SMB2 header, as specified in
section 2.2.1, that is followed by this response structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize SessionFlags
Buffer (variable)
...
StructureSize (2 bytes): The server MUST set this to 9, indicating the size of the fixed part of
the response structure not including the header. The server MUST set it to this value
regardless of how long Buffer[] actually is in the response.
SessionFlags (2 bytes): A flags field that indicates additional information about the session.
This field MUST contain either 0 or one of the following values:
Value Meaning
SMB2_SESSION_FLAG_IS_GUEST If set, the client has been authenticated as a guest user.

0x0001
SMB2_SESSION_FLAG_IS_NULL If set, the client has been authenticated as an anonymous

0x0002 user.
SecurityBufferOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header
to the security buffer.
Buffer (variable): A variable-length buffer that contains the security buffer for the response, as
specified by SecurityBufferOffset and SecurityBufferLength. The buffer SHOULD contain a
token as produced by the GSS protocol as specified in section 3.2.5.3. If
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2.2.7 SMB2 LOGOFF Request
The SMB2 LOGOFF Request packet is sent by the client to request termination of a particular
session. This request is composed of an SMB2 header as specified in section 2.2.1 followed by this
request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
structure not including the header.
2.2.8 SMB2 LOGOFF Response
The SMB2 LOGOFF Response packet is sent by the server to confirm that an SMB2 LOGOFF Request
(section 2.2.7) was completed successfully. This response is composed of an SMB2 header, as
specified in section 2.2.1, followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
response structure, not including the header.
2.2.9 SMB2 TREE_CONNECT Request
The SMB2 TREE_CONNECT Request packet is sent by a client to request access to a particular share
on the server. This request is composed of an SMB2 Packet Header (section 2.2.1) that is followed
by this request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
PathOffset PathLength
Buffer (variable)
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...
PathOffset (2 bytes): The offset, in bytes, of the full share path name from the beginning of
the packet header.
PathLength (2 bytes): The length, in bytes, of the path name.
Buffer (variable): A variable-length buffer that contains the path name of the share in Unicode
in the form "\\server\share" for the request, as described by PathOffset and PathLength.
The server component of the path MUST be a NetBIOS name, a fully qualified domain
name (FQDN), a textual IPv4 or IPv6 address, or the alias of an existing server name, and it
MUST be fewer than 256 characters in length. The share component of the path MUST be less
than or equal to 80 characters in length. The share name MUST NOT contain any invalid
characters, as specified in [MS-FSCC] section 2.1.6.<18>
2.2.10 SMB2 TREE_CONNECT Response
The SMB2 TREE_CONNECT Response packet is sent by the server when an SMB2 TREE_CONNECT
request is processed successfully by the server. The server MUST set the TreeId of the newly
created tree connect in the SMB 2 Protocol header of the response. This response is composed of an
SMB2 Packet Header (section 2.2.1) that is followed by this response structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize ShareType Reserved
ShareFlags
Capabilities
MaximalAccess
ShareType (1 byte): The type of share being accessed. This field MUST contain one of the
following values.
Value Meaning
SMB2_SHARE_TYPE_DISK Physical disk share.

0x01
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Value Meaning
SMB2_SHARE_TYPE_PIPE Named pipe share.

0x02
SMB2_SHARE_TYPE_PRINT Printer share.

0x03
Reserved (1 byte): This field MUST NOT be used and MUST be reserved. The server MUST set
ShareFlags (4 bytes): This field contains properties for this share.
This field MUST contain one of the following offline caching properties:
SMB2_SHAREFLAG_MANUAL_CACHING, SMB2_SHAREFLAG_AUTO_CACHING,
SMB2_SHAREFLAG_VDO_CACHING and SMB2_SHAREFLAG_NO_CACHING.
For more information about offline caching, see [OFFLINE].
This field MUST contain zero or more of the following values: SHI1005_FLAGS_DFS,
SHI1005_FLAGS_DFS_ROOT, SHI1005_FLAGS_RESTRICT_EXCLUSIVE_OPENS,
SHI1005_FLAGS_FORCE_SHARED_DELETE, SHI1005_FLAGS_ALLOW_NAMESPACE_CACHING,
SHI1005_FLAGS_ACCESS_BASED_DIRECTORY_ENUM,
SHI1005_FLAGS_FORCE_LEVELII_OPLOCK and SHI1005_FLAGS_ENABLE_HASH.
Descriptions of the individual flags follow.
Value Meaning
SMB2_SHAREFLAG_MANUAL_CACHING The client may cache files that are

0x00000000 explicitly selected by the user for offline
use.
SMB2_SHAREFLAG_AUTO_CACHING The client may automatically cache files

0x00000010 that are used by the user for offline
access.
SMB2_SHAREFLAG_VDO_CACHING The client may automatically cache files

0x00000020 that are used by the user for offline access
and may use those files in an offline mode
even if the share is available.
SMB2_SHAREFLAG_NO_CACHING Offline caching MUST NOT occur.

0x00000030
SHI1005_FLAGS_DFS The specified share is present in a

0x00000001 Distributed File System (DFS) tree
structure. The server MUST set the
SHI1005_FLAGS_DFS bit in the
ShareFlags field if the per-share property
Share.IsDfs is TRUE.
SHI1005_FLAGS_DFS_ROOT The specified share is the root volume in a

0x00000002 DFS tree structure. The server MUST set
the SHI1005_FLAGS_DFS_ROOT bit in the
ShareFlags field if the share is the root of
a DFS namespace.
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Value Meaning
SHI1005_FLAGS_RESTRICT_EXCLUSIVE_OPENS The specified share disallows exclusive file

0x00000100 opens that deny reads to an open file.
SHI1005_FLAGS_FORCE_SHARED_DELETE Shared files in the specified share can be

0x00000200 forcibly deleted.
SHI1005_FLAGS_ALLOW_NAMESPACE_CACHING Clients are allowed to cache the

0x00000400 namespace of the specified share.
SHI1005_FLAGS_ACCESS_BASED_DIRECTORY_ENUM The server will filter directory entries

0x00000800 based on the access permissions of the
client.
SHI1005_FLAGS_FORCE_LEVELII_OPLOCK The server will not issue exclusive caching

0x00001000 rights on this share.<19>
SHI1005_FLAGS_ENABLE_HASH The share supports hash generation for

0x00002000 branch cache retrieval of data. For more
information, see section 2.2.31.2.
Capabilities (4 bytes): Indicates various capabilities for this share. This field MUST be
constructed using the following value.
Value Meaning
SMB2_SHARE_CAP_DFS The specified share is present in a Distributed File System (DFS) tree
0x00000008 structure. The server MUST set the SMB2_SHARE_CAP_DFS bit in the
Capabilities field if the per-share property Share.IsDfs is TRUE.
MaximalAccess (4 bytes): Contains the maximal access for the user that establishes the tree
connect on the share based on the share's permissions. This value takes the form as specified
in section 2.2.13.1.
2.2.11 SMB2 TREE_DISCONNECT Request
The SMB2 TREE_DISCONNECT Request packet is sent by the client to request that the tree connect
that is specified in the TreeId within the SMB2 header be disconnected. This request is composed of
an SMB2 header, as specified in section 2.2.1, that is followed by this variable-length request
structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
structure, not including the header.
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2.2.12 SMB2 TREE_DISCONNECT Response
The SMB2 TREE_DISCONNECT Response packet is sent by the server to confirm that an SMB2
TREE_DISCONNECT Request (section 2.2.11) was successfully processed. This response is
composed of an SMB2 header, as specified in section 2.2.1, that is followed by this request
structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
2.2.13 SMB2 CREATE Request
The SMB2 CREATE Request packet is sent by a client to request either creation of or access to a file.
In case of a named pipe or printer, the server MUST create a new file.
This request is composed of an SMB2 Packet Header, as specified in section 2.2.1, that is followed
by this request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize SecurityFlags RequestedOplockLevel
ImpersonationLevel
SmbCreateFlags
...
Reserved
...
DesiredAccess
FileAttributes
ShareAccess
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CreateDisposition
CreateOptions
NameOffset NameLength
CreateContextsOffset
CreateContextsLength
Buffer (variable)
...
SecurityFlags (1 byte): This field MUST NOT be used and MUST be reserved. The client MUST
set this to 0, and the server MUST ignore it.
RequestedOplockLevel (1 byte): The requested oplock level. This field MUST contain one of
the following values.<20> For named pipes, the server MUST always revert to
SMB2_OPLOCK_LEVEL_NONE irrespective of the value of this field.
Value Meaning
SMB2_OPLOCK_LEVEL_NONE No oplock is requested.

0x00
SMB2_OPLOCK_LEVEL_II A level II oplock is requested.

0x01
SMB2_OPLOCK_LEVEL_EXCLUSIVE An exclusive oplock is requested.

0x08
SMB2_OPLOCK_LEVEL_BATCH A batch oplock is requested.

0x09
SMB2_OPLOCK_LEVEL_LEASE A lease is requested. If set, the request packet MUST contain

0xFF an SMB2_CREATE_REQUEST_LEASE (section 2.2.13.2.8)
create context. This value is only valid for the SMB 2.1
dialect.
ImpersonationLevel (4 bytes): This field specifies the impersonation level of the application
that is issuing the create request. Unless otherwise specified, the security context is that of
the authenticated user that established the session. This field MUST contain one of the
following values.
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Value Meaning
Anonymous The client application is anonymous to the server. The server process
0x00000000 SHOULD<21> impersonate the client.
Identification The server SHOULD use information from the client's security context to perform
0x00000001 access control list (ACL) checks.
Impersonation The server SHOULD impersonate the client's security context while acting on
0x00000002 behalf of the client. The server MAY access local resources as the client.
Delegate The server SHOULD impersonate the client's security context while acting on
0x00000003 behalf of the client. During impersonation, the client's credentials (both local and
network) MAY be passed to any number of machines.
Impersonation is specified in [MS-WSO] section 3.1.2.4; for more information about

impersonation, see [MSDN-IMPERS].
SmbCreateFlags (8 bytes): This field MUST NOT be used and MUST be reserved. The client
sets this to any value, and the server MUST ignore it on receipt.
Reserved (8 bytes): This field MUST NOT be used and MUST be reserved. The client sets this
to any value, and the server MUST ignore it on receipt.
DesiredAccess (4 bytes): The level of access that is required, as specified in section 2.2.13.1.
FileAttributes (4 bytes): This field MUST be a combination of the values specified in [MS-
FSCC] section 2.6, and MUST NOT include any values other than those specified in that
section. This field is only valid when a file is created.
When a client requests that a file be created or opened, if any bits other than those
documented in [MS-FSCC] section 2.6 are set, the server MUST fail the request with
STATUS_INVALID_PARAMETER.
The server MUST ignore the FileAttributes field when opening an existing file, and the client
SHOULD<22> set the FileAttributes field to 0.
The server MUST ignore FileAttributes for pipe opens.
For print files, if FileAttributes includes FILE_ATTRIBUTE_DIRECTORY the server MUST fail
the open with the error code STATUS_NOT_SUPPORTED. All other attributes MUST be ignored
by the server.
ShareAccess (4 bytes): Specifies the sharing mode for the open. If ShareAccess values of
FILE_SHARE_READ, FILE_SHARE_WRITE and FILE_SHARE_DELETE are set for a printer file or
a named pipe, the server SHOULD<23> ignore these values. The field MUST be constructed
using a combination of zero or more of the following bit values.
Value Meaning
FILE_SHARE_READ When set, indicates that other opens are allowed to read this file while this
0x00000001 open is present. This bit MUST NOT be set for a named pipe or a printer
file. Each open creates a new instance of a named pipe. Likewise, opening
a printer file always creates a new file.
FILE_SHARE_WRITE When set, indicates that other opens are allowed to write this file while this
0x00000002 open is present. This bit MUST NOT be set for a named pipe or a printer
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Value Meaning
file. Each open creates a new instance of a named pipe. Likewise, opening
a printer file always creates a new file.
FILE_SHARE_DELETE When set, indicates that other opens are allowed to delete or rename this
0x00000004 file while this open is present. This bit MUST NOT be set for a named pipe
or a printer file. Each open creates a new instance of a named pipe.
Likewise, opening a printer file always creates a new file.
CreateDisposition (4 bytes): Defines the action the server MUST take if the file that is
specified in the name field already exists. For opening named pipes, this field may be set to
any value by the client and MUST be ignored by the server. For other files, this field MUST
contain one of the following values.
Value Meaning
FILE_SUPERSEDE If the file already exists, supersede it. Otherwise, create the file. This value
0x00000000 SHOULD NOT be used for a printer object.<24>
FILE_OPEN If the file already exists, return success; otherwise, fail the operation.
0x00000001 MUST NOT be used for a printer object.
FILE_CREATE If the file already exists, fail the operation; otherwise, create the file.
0x00000002
FILE_OPEN_IF Open the file if it already exists; otherwise, create the file. This value
FILE_OVERWRITE Overwrite the file if it already exists; otherwise, fail the operation. MUST
0x00000004 NOT be used for a printer object.
FILE_OVERWRITE_IF Overwrite the file if it already exists; otherwise, create the file. This value
CreateOptions (4 bytes): Specifies the options to be applied when creating or opening the file.
Combinations of the bit positions listed below are valid, unless otherwise noted. This field
MUST be constructed using the following values.<27>
Value Meaning
FILE_DIRECTORY_FILE The file being created or opened is a directory file. With

0x00000001 this flag, the CreateDisposition field MUST be set to
FILE_CREATE or FILE_OPEN_IF. With this flag, only the
following CreateOptions values are valid:
FILE_WRITE_THROUGH, and
FILE_OPEN_FOR_BACKUP_INTENT. If the file being
created or opened already exists and is not a directory file
and FILE_CREATE is specified in the CreateDisposition
field, then the server MUST fail the request with
STATUS_OBJECT_NAME_COLLISION. If the file being
created or opened already exists and is not a directory file
and FILE_CREATE is not specified in the
CreateDisposition field, then the server MUST fail the
request with STATUS_NOT_A_DIRECTORY. The server
MUST fail an invalid CreateDisposition field or an invalid
combination of CreateOptions flags with
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Value Meaning
FILE_WRITE_THROUGH The server MUST propagate writes to this open to

0x00000002 persistent storage before returning success to the client
on write operations.
FILE_SEQUENTIAL_ONLY This indicates that the application intends to read or write

0x00000004 at sequential offsets using this handle, so the server
SHOULD optimize for sequential access. However, the
server MUST accept any access pattern. This flag value is
incompatible with the FILE_RANDOM_ACCESS value.
FILE_NO_INTERMEDIATE_BUFFERING The server or underlying object store SHOULD NOT cache

0x00000008 data at intermediate layers and SHOULD allow it to flow
through to persistent storage.
FILE_SYNCHRONOUS_IO_ALERT This bit SHOULD be set to 0 and MUST be ignored by the

0x00000010 server.<28>
FILE_SYNCHRONOUS_IO_NONALERT This bit SHOULD be set to 0 and MUST be ignored by the

0x00000020 server.<29>
FILE_NON_DIRECTORY_FILE The file being opened MUST NOT be a directory file or the
0x00000040 server MUST fail the request with
STATUS_FILE_IS_A_DIRECTORY. This flag MUST NOT be
used with FILE_DIRECTORY_FILE or the server MUST fail
the request with STATUS_INVALID_PARAMETER.
FILE_COMPLETE_IF_OPLOCKED This bit SHOULD be set to 0 and MUST be ignored by the

0x00000100 server.<30>
FILE_NO_EA_KNOWLEDGE The caller does not understand how to handle extended

0x00000200 attributes. If the request includes an
SMB2_CREATE_EA_BUFFER create context, then the
server MUST fail this request with
STATUS_ACCESS_DENIED. If extended attributes with the
FILE_NEED_EA flag (see [MS-FSCC] section 2.4.15) set
are associated with the file being opened, then the server
MUST fail this request with STATUS_ACCESS_DENIED.
FILE_RANDOM_ACCESS This indicates that the application intends to read or write

0x00000800 at random offsets using this handle, so the server
SHOULD optimize for random access. However, the server
MUST accept any access pattern. This flag value is
incompatible with the FILE_SEQUENTIAL_ONLY value. If
both FILE_RANDOM_ACCESS and
FILE_SEQUENTIAL_ONLY are set, then
FILE_SEQUENTIAL_ONLY is ignored.
FILE_DELETE_ON_CLOSE The file MUST be automatically deleted when the last

0x00001000 open request on this file is closed. When this option is set,
the DesiredAccess field MUST include the DELETE flag.
This option is often used for temporary files.
FILE_OPEN_BY_FILE_ID This bit SHOULD be set to 0 and the server MUST fail the
0x00002000 request with a STATUS_NOT_SUPPORTED error if this bit
is set.<31>
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Value Meaning
FILE_OPEN_FOR_BACKUP_INTENT The file is being opened for backup intent. That is, it is
0x00004000 being opened or created for the purposes of either a
backup or a restore operation. The server MAY check to
ensure that the caller is capable of overriding whatever
security checks have been placed on the file to allow a
backup or restore operation to occur. The server MAY
check for access rights to the file before checking the
DesiredAccess field.
FILE_NO_COMPRESSION The file cannot be compressed.

0x00008000
FILE_RESERVE_OPFILTER This bit SHOULD be set to 0 and the server MUST fail the
0x00100000 request with a STATUS_NOT_SUPPORTED error if this bit
is set.<32>
FILE_OPEN_REPARSE_POINT If the file or directory being opened is a reparse point,

0x00200000 open the reparse point itself rather than the target that
the reparse point references.
FILE_OPEN_NO_RECALL In an HSM (Hierarchical Storage Management)

0x00400000 environment, this flag means the file SHOULD NOT be
recalled from tertiary storage such as tape. The recall can
take several minutes. The caller can specify this flag to
avoid those delays.
FILE_OPEN_FOR_FREE_SPACE_QUERY Open file to query for free space. The client SHOULD set
0x00800000 this to 0 and the server MUST ignore it.<33>
NameOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header to the 8-
byte aligned file name. If SMB2_FLAGS_DFS_OPERATIONS is set in the Flags field of the SMB2
header, the file name can be prefixed with DFS link information that will be removed during
DFS name normalization as specified in section 3.3.5.9. Otherwise, the file name is relative to
the share that is identified by the TreeId in the SMB2 header. The NameOffset field SHOULD
be set to the offset of the Buffer field from the beginning of the SMB2 header. The file name
(after DFS normalization if needed) MUST conform to the specification of a relative pathname
in [MS-FSCC] section 2.1.5. A zero length file name indicates a request to open the root of the
share.
NameLength (2 bytes): The length of the file name, in bytes. If no file name is provided, this
field MUST be set to 0.
CreateContextsOffset (4 bytes): The offset, in bytes, from the beginning of the SMB2 header
to the first 8-byte aligned SMB2_CREATE_CONTEXT structure in the request. If no
SMB2_CREATE_CONTEXTs are being sent, this value MUST be 0.
CreateContextsLength (4 bytes): The length, in bytes, of the list of SMB2_CREATE_CONTEXT

structures sent in this request.
Buffer (variable): A variable-length buffer that contains the Unicode file name and create
context list, as defined by NameOffset, NameLength, CreateContextsOffset, and
CreateContextsLength. In the request, the Buffer field MUST be at least one byte in length.
The file name (after DFS normalization if needed) MUST conform to the specification of a
relative pathname in [MS-FSCC] section 2.1.5.
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2.2.13.1 SMB2 Access Mask Encoding
The SMB2 Access Mask Encoding in SMB2 is a 4-byte bit field value that contains an array of flags.
An access mask can specify access for one of two basic groups: either for a file, pipe, or printer
(specified in section 2.2.13.1.1) or for a directory (specified in section 2.2.13.1.2). Each access
mask MUST be a combination of zero or more of the bit positions that are shown below.
2.2.13.1.1 File_Pipe_Printer_Access_Mask
The following SMB2 Access Mask flag values can be used when accessing a file, pipe or printer.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
File_Pipe_Printer_Access_Mask
File_Pipe_Printer_Access_Mask (4 bytes): For a file, pipe, or printer, the value MUST be

constructed using the following values (for a printer, the value MUST have at least one of the
following: FILE_WRITE_DATA, FILE_APPEND_DATA, or GENERIC_WRITE).
Value Meaning
FILE_READ_DATA This value indicates the right to read data from the file or named
0x00000001 pipe.
FILE_WRITE_DATA This value indicates the right to write data into the file or named
0x00000002 pipe beyond the end of the file.
FILE_APPEND_DATA This value indicates the right to append data into the file or named
0x00000004 pipe.
FILE_READ_EA This value indicates the right to read the extended attributes of the
0x00000008 file or named pipe.
FILE_WRITE_EA This value indicates the right to write or change the extended
0x00000010 attributes to the file or named pipe.
FILE_EXECUTE This value indicates the right to execute the file.

0x00000020
FILE_READ_ATTRIBUTES This value indicates the right to read the attributes of the file.
0x00000080
FILE_WRITE_ATTRIBUTES This value indicates the right to change the attributes of the file.
0x00000100
DELETE This value indicates the right to delete the file.

0x00010000
READ_CONTROL This value indicates the right to read the security descriptor for the
WRITE_DAC This value indicates the right to change the discretionary access
0x00040000 control list (DACL) in the security descriptor for the file or named
pipe. For the DACL data structure, see ACL in [MS-DTYP].
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Value Meaning
WRITE_OWNER This value indicates the right to change the owner in the security
0x00080000 descriptor for the file or named pipe.
SYNCHRONIZE SMB2 clients set this flag to any value.<34>

0x00100000 SMB2 servers SHOULD<35> ignore this flag.
ACCESS_SYSTEM_SECURITY This value indicates the right to read or change the system access
0x01000000 control list (SACL) in the security descriptor for the file or named
pipe. For the SACL data structure, see ACL in [MS-DTYP].<36>
MAXIMUM_ALLOWED This value indicates that the client is requesting an open to the file
0x02000000 with the highest level of access the client has on this file. If no
access is granted for the client on this file, the server MUST fail the
open with STATUS_ACCESS_DENIED.
GENERIC_ALL This value indicates a request for all the access flags that are
0x10000000 previously listed except MAXIMUM_ALLOWED and
ACCESS_SYSTEM_SECURITY.
GENERIC_EXECUTE This value indicates a request for the following combination of

0x20000000 access flags listed above: FILE_READ_ATTRIBUTES|
FILE_EXECUTE| SYNCHRONIZE| READ_CONTROL.
GENERIC_WRITE This value indicates a request for the following combination of

0x40000000 access flags listed above: FILE_WRITE_DATA| FILE_APPEND_DATA|
FILE_WRITE_ATTRIBUTES| FILE_WRITE_EA| SYNCHRONIZE|
READ_CONTROL.
GENERIC_READ This value indicates a request for the following combination of

0x80000000 access flags listed above: FILE_READ_DATA|
FILE_READ_ATTRIBUTES| FILE_READ_EA| SYNCHRONIZE|
READ_CONTROL.
2.2.13.1.2 Directory_Access_Mask
The following SMB2 Access Mask flag values can be used when accessing a directory.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Directory_Access_Mask
Directory_Access_Mask (4 bytes): For a directory, the value MUST be constructed using the
following values:
Value Meaning
FILE_LIST_DIRECTORY This value indicates the right to enumerate the contents of the
0x00000001 directory.
FILE_ADD_FILE This value indicates the right to create a file under the directory.
0x00000002
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Value Meaning
FILE_ADD_SUBDIRECTORY This value indicates the right to add a sub-directory under the
FILE_READ_EA This value indicates the right to read the extended attributes of the
FILE_WRITE_EA This value indicates the right to write or change the extended
0x00000010 attributes of the directory.
FILE_TRAVERSE This value indicates the right to traverse this directory if the server
0x00000020 enforces traversal checking.
FILE_DELETE_CHILD This value indicates the right to delete the files and directories
0x00000040 within this directory.
FILE_READ_ATTRIBUTES This value indicates the right to read the attributes of the directory.
0x00000080
FILE_WRITE_ATTRIBUTES This value indicates the right to change the attributes of the
DELETE This value indicates the right to delete the directory.

0x00010000
READ_CONTROL This value indicates the right to read the security descriptor for the
WRITE_DAC This value indicates the right to change the DACL in the security
0x00040000 descriptor for the directory. For the DACL data structure, see ACL
in [MS-DTYP].
WRITE_OWNER This value indicates the right to change the owner in the security
0x00080000 descriptor for the directory.
SYNCHRONIZE SMB2 clients set this flag to any value.<37> SMB2 servers MUST
0x00100000 ignore this flag.
ACCESS_SYSTEM_SECURITY This value indicates the right to read or change the SACL in the
0x01000000 security descriptor for the directory. For the SACL data structure,
see ACL in [MS-DTYP].
MAXIMUM_ALLOWED This value indicates that the client is requesting an open to the
0x02000000 directory with the highest level of access the client has on this
directory. If no access is granted for the client on this directory, the
server MUST fail the open with STATUS_ACCESS_DENIED.
GENERIC_ALL This value indicates a request for all the access flags that are listed
0x10000000 above except MAXIMUM_ALLOWED and
ACCESS_SYSTEM_SECURITY.
GENERIC_EXECUTE This value indicates a request for the following access flags listed
0x20000000 above: FILE_READ_ATTRIBUTES| FILE_TRAVERSE| SYNCHRONIZE|
READ_CONTROL.
GENERIC_WRITE This value indicates a request for the following access flags listed
0x40000000 above: FILE_ADD_FILE| FILE_ADD_SUBDIRECTORY|
FILE_WRITE_ATTRIBUTES| FILE_WRITE_EA| SYNCHRONIZE|
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Value Meaning
READ_CONTROL.
GENERIC_READ This value indicates a request for the following access flags listed
0x80000000 above: FILE_LIST_DIRECTORY| FILE_READ_ATTRIBUTES|
FILE_READ_EA| SYNCHRONIZE| READ_CONTROL.
2.2.13.2 SMB2_CREATE_CONTEXT Request Values
The SMB2_CREATE_CONTEXT structure is used by the SMB2 CREATE Request and the SMB2
CREATE Response to encode additional flags and attributes: in requests to specify how the CREATE
request MUST be processed, and in responses to specify how the CREATE request was in fact
processed.
There is no required ordering when multiple create context structures are used. The server MUST
support receiving the contexts in any order.
Each structure takes the following form.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Next
NameOffset NameLength
Reserved DataOffset
DataLength
Buffer (variable)
...
Next (4 bytes): The offset from the beginning of this create context to the beginning of a
subsequent 8-byte aligned create context. This field MUST be set to 0 if there are no
subsequent contexts.
NameOffset (2 bytes): The offset from the beginning of this structure to its 8-byte aligned
name value. The name is represented as four or more ASCII characters and MUST be one of
the values provided in the following table. The structure name indicates what information is
encoded by the data payload. The following values are the valid create context values. The
names are case-sensitive. More details are provided for each of these values in the following
subsections.
Value Meaning
SMB2_CREATE_EA_BUFFER The data contains the extended attributes

"ExtA" that MUST be stored on the created file.
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Value Meaning
This value MUST NOT be set for named

pipes and print files.
SMB2_CREATE_SD_BUFFER The data contains a security descriptor that

"SecD" MUST be stored on the created file.
This value MUST NOT be set for named
pipes and print files.
SMB2_CREATE_DURABLE_HANDLE_REQUEST The client is requesting the open to be

"DHnQ" durable (see section 3.3.5.9.6).
SMB2_CREATE_DURABLE_HANDLE_RECONNECT The client is requesting to reconnect to a

"DHnC" durable open after being disconnected
(see section 3.3.5.9.7).
SMB2_CREATE_ALLOCATION_SIZE The data contains the required allocation

"AlSi" size of the newly created file.
SMB2_CREATE_QUERY_MAXIMAL_ACCESS_REQUEST The client is requesting that the server

"MxAc" return maximal access information.
SMB2_CREATE_TIMEWARP_TOKEN The client is requesting that the server

"TWrp" open an earlier version of the file with the
provided time stamp.
SMB2_CREATE_QUERY_ON_DISK_ID The client is requesting that the server

"QFid" return a 32-byte opaque blob that uniquely
identifies the file being opened on disk. No
data is passed to the server by the client.
SMB2_CREATE_REQUEST_LEASE The client is requesting that the server

"RqLs" return a lease. This value is only
supported for the SMB 2.1 dialect.
NameLength (2 bytes): The length, in bytes, of the create context name.
Reserved (2 bytes): This field MUST NOT be used and MUST be reserved. This value MUST be
set to 0 by the client, and ignored by the server.
DataOffset (2 bytes): The offset, in bytes, from the beginning of this structure to the 8-byte
aligned data payload. If DataLength is 0, the client SHOULD set this value to 0 and the server
MUST ignore it on receipt.<38>
DataLength (4 bytes): The length, in bytes, of the data. The format of the data is determined
by the type of SMB2_CREATE_CONTEXT request, as outlined in the following sections. The
type is indicated in the NameOffset field in the message.
Buffer (variable): A variable-length buffer that contains the name and data fields, as defined
by NameOffset, NameLength, DataOffset, and DataLength.
2.2.13.2.1 SMB2_CREATE_EA_BUFFER
The SMB2_CREATE_EA_BUFFER context is specified on an SMB2 CREATE Request (section 2.2.13)

when the client is applying extended attributes as part of creating a new file. The server MUST
ignore this Create Context for requests to open an existing file, a pipe, or a printer. The extended
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attributes are provided in the Data buffer of the SMB2_CREATE_CONTEXT request and MUST be in
the format that is specified for FILE_FULL_EA_INFORMATION in [MS-FSCC] section 2.4.15.
2.2.13.2.2 SMB2_CREATE_SD_BUFFER
The SMB2_CREATE_SD_BUFFER context is specified on an SMB2 CREATE Request when the client is
applying a security descriptor to a newly created file. The server MUST ignore this Create Context
for requests to open an existing file, a pipe, or a printer. The Data in the Buffer field of the
SMB2_CREATE_CONTEXT MUST contain a security descriptor that MUST be a self-relative
SECURITY_DESCRIPTOR in the format as specified in [MS-DTYP] section 2.4.6.
2.2.13.2.3 SMB2_CREATE_DURABLE_HANDLE_REQUEST
When requesting a durable open, the client SHOULD also request a batch oplock (by setting
RequestedOplockLevel to SMB2_OPLOCK_LEVEL_BATCH) or a handle caching lease (by using an
SMB2_CREATE_REQUEST_LEASE Create Context with a LeaseState that includes
SMB2_LEASE_HANDLE_CACHING). The server MUST ignore this Create Context if neither a batch
oplock nor a handle caching lease is requested and granted. The format of the Data in the Buffer
field of this SMB2_CREATE_CONTEXT MUST be as follows.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
DurableRequest
...
...
...
DurableRequest (16 bytes): A 16-byte field that MUST NOT be used and MUST be reserved.
This value MUST be set to 0 by the client and ignored by the server.
2.2.13.2.4 SMB2_CREATE_DURABLE_HANDLE_RECONNECT
The SMB2 CREATE_DURABLE_HANDLE_RECONNECT context is specified when the client is

attempting to reestablish a durable open as specified in section 3.3.5.9.7.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Data
...
...
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...
Data (16 bytes): An SMB2_FILEID structure, as specified in section 2.2.14.1, for the open that
is being reestablished.
2.2.13.2.5 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_REQUEST
The SMB2 CREATE_QUERY_MAXIMAL_ACCESS_REQUEST context is specified on an SMB2 CREATE

Request when the client is requesting the server to retrieve maximal access information as part of
processing the open. The Data in the Buffer field of the SMB2_CREATE_CONTEXT MUST either
contain the following structure or be empty (0 bytes in length).
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Timestamp
...
Timestamp (8 bytes): A time stamp in the FILETIME format, as specified in [MS-DTYP]

section 2.3.1.
This time stamp MUST be compared (as specified in section 3.3.5.9.5) with the
LastModifiedTime of the file being opened in the underlying object store.
2.2.13.2.6 SMB2_CREATE_ALLOCATION_SIZE
The SMB2 CREATE_ALLOCATION_SIZE context is specified on an SMB2 CREATE Request (section

2.2.13) when the client is setting the allocation size of a file that is being newly created or
overwritten. The Data in the Buffer field of the SMB2_CREATE_CONTEXT MUST be as follows.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
AllocationSize
...
AllocationSize (8 bytes): The size, in bytes, that the newly created file MUST have reserved
on disk.
2.2.13.2.7 SMB2_CREATE_TIMEWARP_TOKEN
The SMB2_CREATE_TIMEWARP_TOKEN context is specified on an SMB2 CREATE Request (section

2.2.13) when the client is requesting the server to open a version of the file at a previous point in
time. The Data in the Buffer field of the SMB2_CREATE_CONTEXT MUST contain the following
structure.
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Timestamp
...
Timestamp (8 bytes): The time stamp of the version of the file to be opened, in FILETIME
format as specified in [MS-DTYP] section 2.3.1. If no version of this file exists at this time
stamp, the operation MUST be failed.
2.2.13.2.8 SMB2_CREATE_REQUEST_LEASE
The SMB2_CREATE_REQUEST_LEASE context is specified on an SMB2 CREATE Request (section

2.2.13) packet when the client is requesting the server to return a lease. This is only valid for the
SMB 2.1 dialect. The Data in the Buffer field of the SMB2_CREATE_CONTEXT (section 2.2.13.2)
structure MUST contain the following structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
LeaseKey
...
...
...
LeaseState
LeaseFlags
LeaseDuration
...
LeaseKey (16 bytes): A unique key that identifies the owner of the lease.
LeaseState (4 bytes): The requested lease state. This field MUST be constructed as a
combination of the following values.<39>
Value Meaning
SMB2_LEASE_NONE No lease is requested.

0x00
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Value Meaning
SMB2_LEASE_READ_CACHING A read caching lease is requested.

0x01
SMB2_LEASE_HANDLE_CACHING A handle caching lease is requested.

0x02
SMB2_LEASE_WRITE_CACHING A write caching lease is requested.

0x04
LeaseFlags (4 bytes): This field MUST NOT be used and MUST be reserved. The client MUST
set this to 0, and the server MUST ignore it on receipt.
LeaseDuration (8 bytes): This field MUST NOT be used and MUST be reserved. The client
2.2.14 SMB2 CREATE Response
The SMB2 CREATE Response packet is sent by the server to notify the client of the status of its
SMB2 CREATE Request. This response is composed of an SMB2 header, as specified in section 2.2.1,
followed by this response structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize OplockLevel Reserved
CreateAction
CreationTime
...
LastAccessTime
...
LastWriteTime
...
ChangeTime
...
AllocationSize
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...
EndofFile
...
FileAttributes
Reserved2
FileId
...
...
...
CreateContextsOffset
CreateContextsLength
Buffer (variable)
...
request structure, not including the header. The server MUST set this field to this value
regardless of how long Buffer[] actually is in the request being sent.
OplockLevel (1 byte): The oplock level that is granted to the client for this open. This field
MUST contain one of the following values.<40>
Value Meaning
SMB2_OPLOCK_LEVEL_NONE No oplock was granted.

0x00
SMB2_OPLOCK_LEVEL_II A level II oplock was granted.

0x01
SMB2_OPLOCK_LEVEL_EXCLUSIVE An exclusive oplock was granted.

0x08
SMB2_OPLOCK_LEVEL_BATCH A batch oplock was granted.

0x09
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Value Meaning
OPLOCK_LEVEL_LEASE A lease is requested. If set, the response packet MUST

0xFF contain an SMB2_CREATE_RESPONSE_LEASE create context.
Reserved (1 byte): This field MUST NOT be used and MUST be reserved. The server sets this
to any value, and the client MUST ignore it on receipt.
CreateAction (4 bytes): The action taken in establishing the open. This field MUST contain one
of the following values.<41>
Value Meaning
FILE_SUPERSEDED An existing file was deleted and a new file was created in its place.
0x00000000
FILE_OPENED An existing file was opened.

0x00000001
FILE_CREATED A new file was created.

0x00000002
FILE_OVERWRITTEN An existing file was overwritten.

0x00000003
CreationTime (8 bytes): The time when the file was created; in FILETIME format as specified
in [MS-DTYP] section 2.3.1.
LastAccessTime (8 bytes): The time the file was last accessed; in FILETIME format as
specified in [MS-DTYP] section 2.3.1.
LastWriteTime (8 bytes): The time when data was last written to the file; in FILETIME
format as specified in [MS-DTYP] section 2.3.1.
ChangeTime (8 bytes): The time when the file was last modified; in FILETIME format as
specified in [MS-DTYP] section 2.3.1.
AllocationSize (8 bytes): The size, in bytes, of the data that is allocated to the file.
EndofFile (8 bytes): The size, in bytes, of the file.
FileAttributes (4 bytes): The attributes of the file. The valid flags are as specified in [MS-
FSCC] section 2.6.
Reserved2 (4 bytes): This field MUST NOT be used and MUST be reserved. The server
SHOULD set this to 0, and the client MUST ignore it on receipt.<42>
FileId (16 bytes): An SMB2_FILEID, as specified in section 2.2.14.1.
The identifier of the open to a file or pipe that was established.
CreateContextsOffset (4 bytes): The offset, in bytes, from the beginning of the SMB2 header
to the first 8-byte aligned SMB2_CREATE_CONTEXT response that is contained in this
response. If none are being returned in the response, this value MUST be 0. These values are
specified in section 2.2.14.2.
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CreateContextsLength (4 bytes): The length, in bytes, of the list of SMB2_CREATE_CONTEXT
response structures that are contained in this response.
Buffer (variable): A variable-length buffer that contains the list of create contexts that are
contained in this response, as described by CreateContextsOffset and
CreateContextsLength. This takes the form of a list of SMB2 CREATE_CONTEXT Response
Values, as specified in section 2.2.14.2.
2.2.14.1 SMB2_FILEID
The SMB2 FILEID is used to represent an open to a file.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Persistent
...
Volatile
...
Persistent (8 bytes): A file handle that remains persistent when an open is reconnected after
being lost on a disconnect, as specified in section 3.3.5.9.7. The server MUST return this file
handle as part of an SMB2 CREATE Response (section 2.2.14). If the open is a durable open,
this value MUST be globally unique. If the open is not a durable open, this value MUST be
unique for all persistent handles on that SMB2 transport connection.
Volatile (8 bytes): A file handle that MAY be changed when an open is reconnected after being
lost on a disconnect, as specified in section 3.3.5.9.7. The server MUST return this file handle
as part of an SMB2 CREATE Response (section 2.2.14). This value MUST NOT change unless a
reconnection is performed. This value MUST be unique for all volatile handles on the SMB2
transport connection.
2.2.14.2 SMB2_CREATE_CONTEXT Response Values
The SMB2_CREATE_CONTEXT Response Values MUST take the same form as specified in section
2.2.13.2. The individual values that are contained in the data buffer of the create context responses
varies, based on the name of the create context in the request. For each well-known name that is
specified in the definition of the NameOffset field in section 2.2.13, representing a type of
SMB2_CREATE_CONTEXT Request Values, the format of the response is provided below.
2.2.14.2.1 SMB2_CREATE_EA_BUFFER
The SMB2_CREATE_EA_BUFFER request does not generate an SMB2_CREATE_CONTEXT Response.
2.2.14.2.2 SMB2_CREATE_SD_BUFFER
The SMB2_CREATE_SD_BUFFER request does not generate an SMB2_CREATE_CONTEXT Response.
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2.2.14.2.3 SMB2_CREATE_DURABLE_HANDLE_RESPONSE
If the server succeeds in opening a durable handle to a file as requested by the client via the
SMB2_CREATE_DURABLE_HANDLE_REQUEST (section 2.2.13.2.3), it MUST send an SMB2
CREATE_DURABLE_HANDLE_RESPONSE back to the client to inform the client that the handle is
durable.
If the server does not mark it for durable operation or the server does not implement durable
handles, it MUST ignore this request.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Reserved
...
this to 0, and the client MUST ignore the value on receipt.
2.2.14.2.4 SMB2_CREATE_DURABLE_HANDLE_RECONNECT
The SMB2 CREATE_DURABLE_HANDLE_RECONNECT (section 2.2.13.2.4) request MUST NOT

generate an SMB2 CREATE_CONTEXT Response. If the server implements SMB 2.1 and the
reconnect handle is durable, the server MUST send an
SMB2_CREATE_DURABLE_HANDLE_RESPONSE create context with a
SMB2_CREATE_RESPONSE_LEASE create context to the client upon successful reconnect.
2.2.14.2.5 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE
The SMB2 CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE returns an SMB2_CREATE_CONTEXT in

the response with the Name that is identified by SMB2_CREATE_QUERY_MAXIMAL ACCESS as
specified in SMB2_CREATE_CONTEXT Request Values (section 2.2.13.2), if the server attempts to
query maximal access as part of processing a create request.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
QueryStatus
MaximalAccess
QueryStatus (4 bytes): The resulting status code of the attempt to query maximal access. The
MaximalAccess field is valid only if QueryStatus is STATUS_SUCCESS. The status code
MUST be one of those defined in [MS-ERREF] section 2.3.
MaximalAccess (4 bytes): The maximal access that the user who is described by SessionId
has on the file or named pipe that was opened. This is an access mask value, as specified in
section 2.2.13.1.
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2.2.14.2.6 SMB2_CREATE_ALLOCATION_SIZE
The SMB2_CREATE_ALLOCATION_SIZE request does not generate an SMB2_CREATE_CONTEXT

Response.
2.2.14.2.7 SMB2_CREATE_TIMEWARP_TOKEN
The SMB2_CREATE_TIMEWARP_TOKEN request does not generate an SMB2_CREATE_CONTEXT

Response.
2.2.14.2.8 SMB2_CREATE_QUERY_ON_DISK_ID
The server responds with an opaque 32-byte BLOB that uniquely identifies the opened file on disk.
This value cannot change for the lifetime of the file.
2.2.14.2.9 SMB2_CREATE_RESPONSE_LEASE
The server responds with a lease that is granted for this open. The data in the Buffer field of the
SMB2_CREATE_CONTEXT structure MUST contain the following structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
LeaseKey
...
...
...
LeaseState
LeaseFlags
LeaseDuration
...
LeaseKey (16 bytes): A unique key that identifies the owner of the lease.
LeaseState (4 bytes): The granted lease state. This field MUST be constructed using the
following values.
Value Meaning
SMB2_LEASE_NONE No lease is granted.

0x00
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Value Meaning
SMB2_LEASE_READ_CACHING A read caching lease is granted.

0x01
SMB2_LEASE_HANDLE_CACHING A handle caching lease is granted.

0x02
SMB2_LEASE_WRITE_CACHING A write caching lease is granted.

0x04
LeaseFlags (4 bytes): If the server implements SMB 2.1, this field MUST be set to 0 or the
following value. Otherwise, it is unused and MUST be reserved; the server MUST set this to 0,
and the client MUST ignore it on receipt.
Value Meaning
SMB2_LEASE_FLAG_BREAK_IN_PROGRESS A break for the lease identified by the lease key is in

0x02 progress.
LeaseDuration (8 bytes): This field MUST NOT be used and MUST be reserved. The server
MUST set this to 0, and the client MUST ignore it on receipt.
2.2.15 SMB2 CLOSE Request
The SMB2 CLOSE Request packet is used by the client to close an instance of a file that was opened
previously with a successful SMB2 CREATE Request. This request is composed of an SMB2 header,
as specified in section 2.2.1, followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize Flags
Reserved
FileId
...
...
...
constructed using the following value:
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Value Meaning
SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB If set, the server MUST set the attribute fields in the
0x0001 response, as specified in section 2.2.16, to valid
values. If not set, the client MUST NOT use the values
that are returned in the response.
FileId (16 bytes): An SMB2_FILEID structure, as specified in section 2.2.14.1.
The identifier of the open to a file or named pipe that is being closed.
2.2.16 SMB2 CLOSE Response
The SMB2 CLOSE Response packet is sent by the server to indicate that an SMB2 CLOSE Request
was processed successfully. This response is composed of an SMB2 header, as specified in section
2.2.1, followed by this response structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize Flags
Reserved
CreationTime
...
LastAccessTime
...
LastWriteTime
...
ChangeTime
...
AllocationSize
...
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EndofFile
...
FileAttributes
Flags (2 bytes): A Flags field indicates how to process the operation. This field MUST be the
logical OR of the following value, or zero if none are selected:
Value Meaning
SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB If set, the client MUST use the attribute fields in the
0x0001 response. If not set, the client MUST NOT use the
attribute fields that are returned in the response.
CreationTime (8 bytes): The time when the file was created; in FILETIME format as specified
in [MS-DTYP] section 2.3.1. If the SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB flag in the SMB2
CLOSE Request was set, this field MUST be set to the value that is returned by the attribute
query. If the flag is not set, the field SHOULD be set to zero and MUST NOT be checked on
receipt.
LastAccessTime (8 bytes): The time when the file was last accessed; in FILETIME format as
specified in [MS-DTYP] section 2.3.1. If the SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB flag in
the SMB2 CLOSE Request was set, this field MUST be set to the value that is returned by the
attribute query. If the flag is not set, this field MUST be set to zero.
LastWriteTime (8 bytes): The time when data was last written to the file; in FILETIME
format as specified in [MS-DTYP] section 2.3.1. If the
SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB flag in the SMB2 CLOSE Request was set, this field
MUST be set to the value that is returned by the attribute query. If the flag is not set, this
field MUST be set to zero.
ChangeTime (8 bytes): The time when the file was last modified; in FILETIME format as
specified in [MS-DTYP] section 2.3.1. If the SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB flag in
the SMB2 CLOSE Request was set, this field MUST be set to the value that is returned by the
attribute query. If the flag is not set, this field MUST be set to zero.
AllocationSize (8 bytes): The size, in bytes, of the data that is allocated to the file. If the
EndofFile (8 bytes): The size, in bytes, of the file. If the

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FileAttributes (4 bytes): The attributes of the file. If the
field MUST be set to zero. For more information about valid flags, see [MS-FSCC] section 2.6.
2.2.17 SMB2 FLUSH Request
The SMB2 FLUSH Request packet is sent by a client to request that a server flush all cached file
information for a specified open of a file to the persistent store that backs the file. If the open refers
to a named pipe, the operation will complete once all data written to the pipe has been consumed
by a reader. This request is composed of an SMB2 header, as specified in section 2.2.1, followed by
this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize Reserved1
Reserved2
FileId
...
...
...
Reserved1 (2 bytes): This field MUST NOT be used and MUST be reserved. The client MUST
The client MUST set this field to the identifier of the open to a file or named pipe that is being
flushed.
2.2.18 SMB2 FLUSH Response
The SMB2 FLUSH Response packet is sent by the server to confirm that an SMB2 FLUSH Request
(section 2.2.17) was successfully processed. This response is composed of an SMB2 header, as
specified in section 2.2.1, followed by this request structure:
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
this field to 0, and the client MUST ignore it on receipt.
2.2.19 SMB2 READ Request
The SMB2 READ Request packet is sent by the client to request a read operation on the file that is
specified by the FileId. This request is composed of an SMB2 header, as specified in section 2.2.1,
followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize Padding Reserved
Length
Offset
...
FileId
...
...
...
MinimumCount
Channel
RemainingBytes
ReadChannelInfoOffset ReadChannelInfoLength
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Buffer (variable)
...
Padding (1 byte): The requested offset from the start of the SMB2 header, in bytes, at which
to place the data read in the SMB2 READ Response (section 2.2.20). This value is provided to
optimize data placement on the client and is not binding on the server.
Reserved (1 byte): This field MUST NOT be used and MUST be reserved. The client MUST set
this field to 0, and the server MUST ignore it on receipt.
Length (4 bytes): The length, in bytes, of the data to read from the specified file or pipe. The
length of the data being read may be zero bytes.
Offset (8 bytes): The offset, in bytes, into the file from which the data MUST be read. If the
read is being executed on a pipe, the Offset MUST be set to 0 by the client and MUST be
ignored by the server.
The identifier of the file or pipe on which to perform the read.
MinimumCount (4 bytes): The minimum number of bytes to be read for this operation to be
successful. If fewer than the minimum number of bytes are read by the server, the server
MUST return an error rather than the bytes read.
RemainingBytes (4 bytes): The number of subsequent bytes that the client intends to read
from the file after this operation completes. This value is provided to facilitate read-ahead
caching, and is not binding on the server.
ReadChannelInfoOffset (2 bytes): This field MUST NOT be used and MUST be reserved. The
client MUST set this field to 0, and the server MUST ignore it on receipt.
ReadChannelInfoLength (2 bytes): This field MUST NOT be used and MUST be reserved. The
Buffer (variable): A variable-length buffer that contains the read channel information, as
described by ReadChannelInfoOffset and ReadChannelInfoLength. Unused at present.
The client MUST set one byte of this field to 0, and the server MUST ignore it on receipt.
2.2.20 SMB2 READ Response
The SMB2 READ Response packet is sent in response to an SMB2 READ Request (section 2.2.19)
packet. This response is composed of an SMB2 header, as specified in section 2.2.1, followed by this
response structure:
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize DataOffset Reserved
DataLength
DataRemaining
Reserved2
Buffer (variable)
...
response structure, not including the header. This value MUST be used regardless of how large
Buffer[] is in the actual response.
DataOffset (1 byte): The offset, in bytes, from the beginning of the header to the data read
being returned in this response.
DataLength (4 bytes): The length, in bytes, of the data read being returned in this response.
The minimum size is 1 byte.
DataRemaining (4 bytes): This field MUST NOT be used and MUST be reserved. The server
MUST set this field to 0, and the client MUST ignore it on receipt.
Reserved2 (4 bytes): This field MUST NOT be used and MUST be reserved. The server MUST
set this to 0, and the client MUST ignore it on receipt.
Buffer (variable): A variable-length buffer that contains the data read for the response, as
described by DataOffset and DataLength. The minimum length is 1 byte. If 0 bytes are
returned from the underlying object store, the server MUST send a failure response with
status == STATUS_END_OF_FILE.
2.2.21 SMB2 WRITE Request
The SMB2 WRITE Request packet is sent by the client to write data to the file or named pipe on the
server. This request is composed of an SMB2 header, as specified in section 2.2.1, followed by this
request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize DataOffset
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Length
Offset
...
FileId
...
...
...
Channel
RemainingBytes
WriteChannelInfoOffset WriteChannelInfoLength
Flags
Buffer (variable)
...
DataOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header to the data
being written.
Length (4 bytes): The length of the data being written, in bytes. The length of the data being
written may be zero bytes.
Offset (8 bytes): The offset, in bytes, of where to write the data in the destination file. If the
write is being executed on a pipe, the Offset MUST be set to 0 by the client and MUST be
ignored by the server.
The identifier of the file or pipe on which to perform the write.
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RemainingBytes (4 bytes): The number of subsequent bytes the client intends to write to the
file after this operation completes. This value is provided to facilitate write caching and is not
binding on the server.
WriteChannelInfoOffset (2 bytes): This field MUST NOT be used and MUST be reserved. The
WriteChannelInfoLength (2 bytes): This field MUST NOT be used and MUST be reserved. The
constructed using the following value:
Value Meaning
SMB2_WRITEFLAG_WRITE_THROUGH The write request should be written to persistent storage

0x00000001 before the response is sent regardless of how the file was
opened. This value is only supported for the SMB 2.1
dialect.
Buffer (variable): A variable-length buffer that contains the data to write and the write channel
information, as described by DataOffset, Length, WriteChannelInfoOffset, and
WriteChannelInfoLength.
2.2.22 SMB2 WRITE Response
The SMB2 WRITE Response packet is sent in response to an SMB2 WRITE Request (section 2.2.21)
packet. This response is composed of an SMB2 header, as specified in section 2.2.1, followed by this
response structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Count
Remaining
WriteChannelInfoOffset WriteChannelInfoLength
StructureSize (2 bytes): The server MUST set this field to 17, the actual size of the response
structure notwithstanding.
Count (4 bytes): The number of bytes written.
Remaining (4 bytes): This field MUST NOT be used and MUST be reserved. The server MUST
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WriteChannelInfoOffset (2 bytes): This field MUST NOT be used and MUST be reserved. The
server MUST set this to 0, and the client MUST ignore it on receipt.
WriteChannelInfoLength (2 bytes): This field MUST NOT be used and MUST be reserved. The
server MUST set this to 0, and the client MUST ignore it on receipt.
2.2.23 SMB2 OPLOCK_BREAK Notification
2.2.23.1 Oplock Break Notification
The SMB2 Oplock Break Notification packet is sent by the server when the underlying object store
indicates that an opportunistic lock (oplock) is being broken, representing a change in the oplock
level. This response is composed of an SMB2 header, as specified in section 2.2.1, followed by this
notification structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Reserved2
FileId
...
...
...
StructureSize (2 bytes): The server MUST set this to 24, indicating the size of the response
OplockLevel (1 byte): The server MUST set this to the maximum value of the OplockLevel
that the server will accept for an acknowledgment from the client. Because
SMB2_OPLOCK_LEVEL_BATCH is the highest oplock level, and it is being broken to a lower
level, the server will never send a break from SMB2_OPLOCK_LEVEL_BATCH to
SMB2_OPLOCK_LEVEL_BATCH. Thus this field MUST contain one of the following values.<43>
Value Meaning
SMB2_OPLOCK_LEVEL_NONE No oplock is available.

0x00
SMB2_OPLOCK_LEVEL_II A level II oplock is available.

0x01
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The identifier of the file or pipe on which the oplock break occurred.
2.2.23.2 Lease Break Notification
The SMB2 Lease Break Notification packet is sent by the server when the underlying object store
indicates that a lease is being broken, representing a change in the lease state. This is only valid on
the SMB 2.1 dialect. This response is composed of an SMB2 header, as specified in section 2.2.1,
followed by this notification structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Flags
LeaseKey
...
...
...
CurrentLeaseState
NewLeaseState
BreakReason
AccessMaskHint
ShareMaskHint
Flags (4 bytes): The field MUST be constructed using the following value.
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Value Meaning
SMB2_NOTIFY_BREAK_LEASE_FLAG_ACK_REQUIRED If set, indicate a Lease Break

0x01 Acknowledgment is required.
LeaseKey (16 bytes): A unique key which identifies the owner of the lease.
CurrentLeaseState (4 bytes): The current lease state of the open. This field MUST be
constructed using the following values.
Value Meaning

0x01

0x02

0x04
NewLeaseState (4 bytes): The new lease state for the open. This field MUST be constructed
using the SMB2_LEASE_NONE or above values.
BreakReason (4 bytes): This field MUST NOT be used and MUST be reserved. The server
AccessMaskHint (4 bytes): This field MUST NOT be used and MUST be reserved. The server
ShareMaskHint (4 bytes): This field MUST NOT be used and MUST be reserved. The server
2.2.24 SMB2 OPLOCK_BREAK Acknowledgment
2.2.24.1 Oplock Break Acknowledgment
The Oplock Break Acknowledgment packet is sent by the client in response to an SMB2 Oplock Break
Notification packet sent by the server. The server responds to an oplock break acknowledgment with
an SMB2 Oplock Break response. The client MUST NOT send an oplock break acknowledgment for an
oplock break from level II to none. A break from level II MUST transition to none. Thus, the client
does not send a request to the server because there is no question how the transition was made.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Reserved2
FileId
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...
...
...
StructureSize (2 bytes): The client MUST set this to 24, indicating the size of the request
OplockLevel (1 byte): The resulting oplock level. This MUST be at least as permissive as the
level that is specified by the server in its initial oplock break notification packet. For example,
if the server specifies an SMB2_OPLOCK_LEVEL_II, the client can respond with an
SMB2_OPLOCK_LEVEL_II or an SMB2_OPLOCK_LEVEL_NONE. Because
SMB2_OPLOCK_LEVEL_BATCH is the highest oplock level, the server will never send a break
from SMB2_OPLOCK_LEVEL_BATCH to SMB2_OPLOCK_LEVEL_BATCH. Thus this field MUST
contain one of the following values.<44>
Value Meaning
SMB2_OPLOCK_LEVEL_NONE The client has lowered its oplock level for this file to none.
0x00
SMB2_OPLOCK_LEVEL_II The client has lowered its oplock level for this file to level II.
0x01
Reserved (1 byte): This field MUST NOT be used and MUST be reserved. The client MUST set
2.2.24.2 Lease Break Acknowledgment
The SMB2 Lease Break Acknowledgment packet is sent by the client in response to an SMB2 Lease
Break Notification packet sent by the server. This request is valid only in the SMB 2.1 dialect. The
server responds to a lease break acknowledgment with an SMB2 Lease Break Response.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Flags
LeaseKey
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...
...
...
LeaseState
LeaseDuration
...
Flags (4 bytes): This field MUST NOT be used and MUST be reserved. The client MUST set this
to 0, and the server MUST ignore it on receipt.
LeaseState (4 bytes): The lease state in the Lease Break Acknowledgment message MUST be
a subset of the lease state granted by the server via the preceding Lease Break Notification
message.<45> This field MUST be constructed using the following values:
Value Meaning

0x00
SMB2_LEASE_READ_CACHING A read caching lease is accepted.

0x01
SMB2_LEASE_HANDLE_CACHING A handle caching lease is accepted.

0x02
SMB2_LEASE_WRITE_CACHING A write caching lease is accepted.

0x04
LeaseDuration (8 bytes): This field MUST NOT be used and MUST be reserved. The client
2.2.25 SMB2 OPLOCK_BREAK Response
2.2.25.1 Oplock Break Response
The Oplock Break Response packet is sent by the server in response to an Oplock Break
Acknowledgment from the client. This response is composed of an SMB2 header, as specified in
section 2.2.1, followed by this response structure:
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Reserved2
FileId
...
...
...
OplockLevel (1 byte): The resulting oplock level. This MUST be the same as the level that is
specified by the client in its oplock break acknowledgment packet. This field MUST contain
one of the following values.
Value Meaning
SMB2_OPLOCK_LEVEL_NONE The server has lowered oplock level for this file to none.
0x00
SMB2_OPLOCK_LEVEL_II The server has lowered oplock level for this file to level II.
0x01
2.2.25.2 Lease Break Response
The SMB2 Lease Break Response packet is sent by the server in response to a Lease Break
Acknowledgment from the client. This request is valid only in the SMB 2.1 dialect.
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Flags
LeaseKey
...
...
...
LeaseState
LeaseDuration
...
Flags (4 bytes): This field MUST NOT be used and MUST be reserved. The server MUST set this
to 0, and the client MUST ignore it on receipt.
LeaseState (4 bytes): The requested lease state. This field MUST be constructed using the
following values:
Value Meaning

0x00

0x01

0x02

0x04
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LeaseDuration (8 bytes): This field MUST NOT be used and MUST be reserved. The server
2.2.26 SMB2 LOCK Request
The SMB2 LOCK Request packet is sent by the client to either lock or unlock portions of a file.
Several different segments of the file can be affected with a single SMB2 LOCK Request packet, but
they all MUST be within the same file.
Byte range locks in SMB2 are associated with the handle (SMB2 FileID) on which the lock is taken.
Read/write/lock requests using the same SMB2 FileID will not conflict. However, I/O on a different
handle (a different SMB2 FileID) will conflict. It is the client's responsibility to locally resolve lock
conflicts across multiple processes on the same client, if any such conflicts exist.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize LockCount
LockSequence
FileId
...
...
...
Locks (variable)
...
StructureSize (2 bytes): The client MUST set this to 48, indicating the size of an SMB2 LOCK
Request with a single SMB2_LOCK_ELEMENT structure. This value is set regardless of the
number of locks that are sent.
LockCount (2 bytes): MUST be set to the number of SMB2_LOCK_ELEMENT structures that are
contained in the Locks[] array. The lock count MUST be greater than or equal to 1.
LockSequence (4 bytes): In the SMB 2.002 dialect, this field is unused and MUST be reserved.
The client MUST set this to 0, and the server MUST ignore it on receipt. In the SMB 2.1
dialect, this field indicates a value that identifies a lock or unlock request uniquely across all
lock or unlock requests that are sent on the same file.
FileId (16 bytes): An SMB2_FILEID that identifies the file on which to perform the byte range
locks or unlocks.
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Locks (variable): An array of LockCount (SMB2_LOCK_ELEMENT) structures that define the
ranges to be locked or unlocked.
2.2.26.1 SMB2_LOCK_ELEMENT Structure
The SMB2 LOCK_ELEMENT Structure packet is used by the SMB2 LOCK Request packet to indicate
segments of files that should be locked or unlocked.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Offset
...
Length
...
Flags
Reserved
Offset (8 bytes): The starting offset, in bytes, in the destination file from where the range
being locked or unlocked starts.
Length (8 bytes): The length, in bytes, of the range being locked or unlocked.
Flags (4 bytes): The description of how the range is being locked or unlocked and how to
process the operation. This field takes the following format:
Value Meaning
SMB2_LOCKFLAG_SHARED_LOCK The range MUST be locked shared, allowing other opens

0x00000001 to read from or take a shared lock on the range. All opens
MUST NOT be allowed to write within the range. Other
locks can be requested and taken on this range.
SMB2_LOCKFLAG_EXCLUSIVE_LOCK The range MUST be locked exclusive, not allowing other

0x00000002 opens to read, write, or lock within the range.
SMB2_LOCKFLAG_UNLOCK The range MUST be unlocked from a previous lock taken

0x00000004 on this range. The unlock range MUST be identical to the
lock range. Sub-ranges cannot be unlocked.
SMB2_LOCKFLAG_FAIL_IMMEDIATELY The lock operation MUST fail immediately if it conflicts

0x00000010 with an existing lock, instead of waiting for the range to
become available.
The following are the only valid combinations for the flags field:
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SMB2_LOCKFLAG_SHARED_LOCK
SMB2_LOCKFLAG_EXCLUSIVE_LOCK
SMB2_LOCKFLAG_SHARED_LOCK | SMB2_LOCKFLAG_FAIL_IMMEDIATELY
SMB2_LOCKFLAG_EXCLUSIVE_LOCK | SMB2_LOCKFLAG_FAIL_IMMEDIATELY
SMB2_LOCKFLAG_UNLOCK
2.2.27 SMB2 LOCK Response
The SMB2 LOCK Response packet is sent by a server in response to an SMB2 LOCK Request (section
2.2.26) packet. This response is composed of an SMB2 header, as specified in section 2.2.1,
followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
2.2.28 SMB2 ECHO Request
The SMB2 ECHO Request packet is sent by a client to determine whether a server is processing
requests. This request is composed of an SMB2 header, as specified in section 2.2.1, followed by
this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
2.2.29 SMB2 ECHO Response
The SMB2 ECHO Response packet is sent by the server to confirm that an SMB2 ECHO Request
(section 2.2.28) was successfully processed. This response is composed of an SMB2 header, as
specified in section 2.2.1, followed by the following response structure.
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1 2 3
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2.2.30 SMB2 CANCEL Request
The SMB2 CANCEL Request packet is sent by the client to cancel a previously sent message on the
same SMB2 transport connection. The MessageId of the request to be canceled MUST be set in the
SMB2 header of the request. This request is composed of an SMB2 header, as specified in section
2.2.1, followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
2.2.31 SMB2 IOCTL Request
The SMB2 IOCTL Request packet is sent by a client to issue an implementation-specific file system
control or device control (FSCTL/IOCTL) command across the network. For a list of IOCTL
operations, see section 3.2.4.20 and [MS-FSCC] section 2.3. This request is composed of an SMB2
header, as specified in section 2.2.1, followed by this request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
CtlCode
FileId
...
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...
...
InputOffset
InputCount
MaxInputResponse
OutputOffset
OutputCount
MaxOutputResponse
Flags
Reserved2
Buffer (variable)
...
structure, not including the header. The client MUST set this field to this value regardless of
how long Buffer[] actually is in the request being sent.
CtlCode (4 bytes): The control code of the FSCTL/IOCTL method. The values are listed in
subsequent sections, and in [MS-FSCC] section 2.3. The following values indicate SMB2-
specific processing as specified in sections 3.2.4.20 and 3.3.5.15.
Name Value
FSCTL_DFS_GET_REFERRALS 0x00060194
FSCTL_PIPE_PEEK 0x0011400C
FSCTL_PIPE_WAIT 0x00110018
FSCTL_PIPE_TRANSCEIVE 0x0011C017
FSCTL_SRV_COPYCHUNK 0x001440F2
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Name Value
FSCTL_SRV_ENUMERATE_SNAPSHOTS 0x00144064
FSCTL_SRV_REQUEST_RESUME_KEY 0x00140078
FSCTL_SRV_READ_HASH 0x001441bb
FSCTL_SRV_COPYCHUNK_WRITE 0x001480F2
FSCTL_LMR_REQUEST_RESILIENCY 0x001401D4
FSCTL_PIPE_TRANSCEIVE is valid only on a named pipe with mode set to

FILE_PIPE_MESSAGE_MODE as specified in [MS-FSCC] section 2.4.29
FSCTL_SRV_COPYCHUNK and FSCTL_SRV_COPYCHUNK_WRITE FSCTL codes are used for

performing server side copy operations. These FSCTLs are issued by the application against
an open handle to the target file. FSCTL_SRV_COPYCHUNK is issued when a handle has
FILE_READ_DATA and FILE_WRITE_DATA access to the file; FSCTL_SRV_COPYCHUNK_WRITE
is issued when a handle only has FILE_WRITE_DATA access.
FileId (16 bytes): An SMB2_FILEID identifier of the file on which to perform the command. For
FSCTL_DFS_GET_REFERRALS and FSCTL_PIPE_WAIT CtlCode values, this parameter MUST
be set to -1.
InputOffset (4 bytes): The offset, in bytes, from the beginning of the SMB2 header to the
input data buffer. If no input data is required for the FSCTL/IOCTL command being issued, the
client SHOULD set this value to 0 and the server MUST ignore it on receipt.<46>
InputCount (4 bytes): The size, in bytes, of the input data.
MaxInputResponse (4 bytes): The maximum number of bytes that the server can return for
the input data in the SMB2 IOCTL Response.
OutputOffset (4 bytes): This field MUST NOT be used and MUST be reserved. The client
SHOULD set this to 0, and the server MUST ignore it.<47>
OutputCount (4 bytes): This field MUST NOT be used and MUST be reserved. The client MUST
set this to 0, and the server MUST ignore it.
MaxOutputResponse (4 bytes): The maximum number of bytes that the server can return for
the output data in the SMB2 IOCTL Response.
Flags (4 bytes): A Flags field indicating how to process the operation. This field MUST be
constructed using one of the following values.
Value Meaning
0x00000000 If Flags is set to this value, the request is an IOCTL request.
SMB2_0_IOCTL_IS_FSCTL If Flags is set to this value, the request is an FSCTL request.

0x00000001
set this field to 0, and the server MUST ignore it on receipt.
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Buffer (variable): A variable-length buffer that contains the input and output data buffer for
the request, as described by the InputOffset, InputCount, OutputOffset, and
OutputCount. There is no minimum size restriction for this field as there can be FSCTLs with
no input or output buffers. For FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE,
the format of this buffer is specified in SRV_COPYCHUNK_COPY. The Buffer format for
FSCTL_DFS_GET_REFERRALS is specified in [MS-DFSC] section 2.2.2. The format of this
buffer for all other FSCTLs is specified in the reference topic for the FSCTL being called.
2.2.31.1 SRV_COPYCHUNK_COPY
The SRV_COPYCHUNK_COPY packet is sent in an SMB2 IOCTL Request by the client to initiate a
server-side copy of data. It is set as the contents of the input data buffer. This packet consists of
the following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
SourceKey
...
...
...
...
...
ChunkCount
Reserved
Chunks (variable)
...
SourceKey (24 bytes): A key, obtained from the server in a SRV_REQUEST_RESUME_KEY

Response (section 2.2.32.3), that represents the source file for the copy.
ChunkCount (4 bytes): The number of chunks of data that are to be copied.
Reserved (4 bytes): This field MUST NOT be used and MUST be reserved. This field MUST be
set to 0 by the client, and ignored by the server.
Chunks (variable): An array of packets describing the ranges to be copied. This array MUST be
of a length equal to ChunkCount * size of SRV_COPYCHUNK.
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2.2.31.1.1 SRV_COPYCHUNK
The SRV_COPYCHUNK packet is sent in the Chunks array of a SRV_COPYCHUNK_COPY packet to

describe an individual data range to copy. This packet consists of the following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
SourceOffset
...
TargetOffset
...
Length
Reserved
SourceOffset (8 bytes): The offset, in bytes, from the beginning of the source file to the
location from which the data will be copied.
TargetOffset (8 bytes): The offset, in bytes, from the beginning of the destination file to
where the data will be copied.
Length (4 bytes): The number of bytes of data to copy.
Reserved (4 bytes): this field MUST NOT be used and MUST be reserved. SHOULD be set to
zero and MUST be ignored.<48>
2.2.31.2 SRV_READ_HASH Request
The SRV_READ_HASH request is sent to the server by the client in an SMB2 IOCTL Request
FSCTL_SRV_READ_HASH to retrieve the hash blob for a specified file. The request is valid only for
the SMB 2.1 dialect. It is set as the contents of the input data buffer. This packet consists of the
following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
HashType
HashVersion
HashRetrievalType
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Length
Offset
HashType (4 bytes): The hash type of the request indicates what the hash is used for. This
field MUST be set to the following value:
Value Meaning
SRV_HASH_TYPE_PEER_DIST Indicates the hash is requested for branch caching as described in

0x00000001 [MS-PCCRC].
HashVersion (4 bytes): The version number of the algorithm used to create the Content
Information. This field MUST be set to the following value:
Value Meaning
SRV_HASH_VER_1 Branch cache version 1.

0x00000001
HashRetrievalType (4 bytes): Defines the Offset field relative to the Content Information.
This field MUST be set to the following value:
Value Meaning
SRV_HASH_RETRIEVE_HASH_BASED The Offset field in the SRV_READ_HASH request is relative

0x00000001 to the Content Information data structure specified in [MS-
PCCRC] section 2.3.
Length (4 bytes): The maximum length, in bytes, of the Content Information to be returned in
the SRV_READ_HASH response to the client.
Offset (4 bytes): The starting offset of the Content Information to be retrieved. If the
HashRetrievalType is SRV_HASH_RETRIEVE_HASH_BASED, this value is an offset, in bytes,
from the beginning of the Content Information data structure.
2.2.31.2.1 HASH_HEADER
All hash files storing a hash BLOB MUST start from a valid format HASH_HEADER as follows. The
format is valid only for the SMB 2.1 dialect.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
HashType
HashVersion
SourceFileChangeTime
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...
SourceFileSize
...
HashBlobLength
HashBlobOffset
Dirty SourceFileNameLength
SourceFileName (variable)
...
HashType (4 bytes): The hash type of the request indicates what the hash is used for. This
field MUST be constructed using the following value.
Value Meaning
SRV_HASH_TYPE_PEER_DIST Indicates that the hash is requested for branch caching as

0x00000001 described in [MS-PCCRC].
HashVersion (4 bytes): The version number of the algorithm that is used to create the
Content Information algorithm. This field MUST be constructed using the following value.
Value Meaning
SRV_HASH_VER_1 Branch cache version 1.

0x00000001
SourceFileChangeTime (8 bytes): The last update time for the source file from which the
hash BLOB is generated, in FILETIME format as specified in [MS-DTYP] section 2.3.1.
SourceFileSize (8 bytes): The length, in bytes, of the source file from which the hash BLOB is
generated.
HashBlobLength (4 bytes): The length, in bytes, of the hash BLOB.
HashBlobOffset (4 bytes): The offset of the hash BLOB, in bytes, from the beginning of the
hash file.
Dirty (2 bytes): The flag that indicates whether the hash file is currently being updated. A
nonzero value indicates TRUE.
SourceFileNameLength (2 bytes): The length, in bytes, of the source file full name.
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SourceFileName (variable): A variable-length buffer that contains the source file full name,
with length indicated by SourceFileNameLength.<49>
2.2.31.3 NETWORK_RESILIENCY_REQUEST Request
The NETWORK_RESILIENCY_REQUEST request packet is sent to the server by the client in an SMB2
IOCTL Request (section 2.2.31) FSCTL_LMR_REQUEST_RESILIENCY to request resiliency for a
specified open file. The request is valid only for the SMB 2.1 dialect. It is set as the contents of the
input data buffer. This packet consists of the following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Timeout
Reserved
Timeout (4 bytes): The requested time the server should hold the file open after a disconnect
before releasing it. This time is in milliseconds.
2.2.32 SMB2 IOCTL Response
The SMB2 IOCTL Response packet is sent by the server to transmit the results of a client SMB2
IOCTL Request. This response consists of an SMB2 header, as specified in section 2.2.1, followed by
this response structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
CtlCode
FileId
...
...
...
InputOffset
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InputCount
OutputOffset
OutputCount
Flags
Reserved2
Buffer (variable)
...
response structure, not including the header. This value MUST be used regardless of how large
Buffer[] is in the actual response.
CtlCode (4 bytes): The control code of the FSCTL/IOCTL method that was executed. SMB2-
specific values are listed in section 2.2.31.
FileId (16 bytes): An SMB2_FILEID identifier of the file on which the command was performed.
InputOffset (4 bytes): InputOffset SHOULD<50> be set to zero in the IOCTL response. An

exception for pass-through operations is discussed in section 3.3.5.15.8.
InputCount (4 bytes): InputCount SHOULD<51> be set to zero in the IOCTL response. An

exception for pass-through operations is discussed in section 3.3.5.15.8.
OutputOffset (4 bytes): The offset, in bytes, from the beginning of the SMB2 header to the
output data buffer. If output data is returned, the output offset MUST be set to InputOffset
+ InputCount rounded up to a multiple of 8. If no output data is returned for the
FSCTL/IOCTL command that was issued, then this value SHOULD<52> be set to 0.
OutputCount (4 bytes): The size, in bytes, of the output data.
Flags (4 bytes): This field MUST NOT be used and MUST be reserved. The server MUST set this
field to 0, and the client MUST ignore it on receipt.
set this field to 0, and the client MUST ignore it on receipt.
Buffer (variable): A variable-length buffer that contains the input and output data buffer for
the response, as described by InputOffset, InputCount, OutputOffset, and OutputCount.
For more details, refer to section 3.3.5.15.
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2.2.32.1 SRV_COPYCHUNK_RESPONSE
The SRV_COPYCHUNK_RESPONSE packet is sent in an SMB2 IOCTL Response by the server to

return the results of a server-side copy operation. It is placed in the Buffer field of the SMB2 IOCTL
Response packet. This packet consists of the following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
ChunksWritten
ChunkBytesWritten
TotalBytesWritten
ChunksWritten (4 bytes): If the Status field in the SMB2 header of the response is not
STATUS_INVALID_PARAMETER, as specified in [MS-ERREF] section 2.3, this value indicates
the number of chunks that were successfully written. If the Status field in the SMB2 header of
the response is STATUS_INVALID_PARAMETER, this value indicates the maximum number of
chunks that the server will accept in a single request. This would allow the client to correctly
reissue the request.
ChunkBytesWritten (4 bytes): If the Status field in the SMB2 header of the response is not
the number of bytes written in the last chunk that did not successfully process (if a partial
write occurred). If the Status field in the SMB2 header of the response is
STATUS_INVALID_PARAMETER, this value indicates the maximum number of bytes the server
will allow to be written in a single chunk.
TotalBytesWritten (4 bytes): If the Status field in the SMB2 header of the response is not
the total number of bytes written in the server-side copy operation. If the Status field in the
SMB2 header of the response is STATUS_INVALID_PARAMETER, this value indicates the
maximum number of bytes the server will accept to copy in a single request.
2.2.32.2 SRV_SNAPSHOT_ARRAY
The SRV_SNAPSHOT_ARRAY packet is returned to the client by the server in an SMB2 IOCTL
Response for the FSCTL_SRV_ENUMERATE_SNAPSHOTS request, as specified in section 3.3.5.15.1.
This packet MUST contain all the revision time-stamps that are associated with the Tree Connect
share in which the open resides, provided that the buffer size required is less than or equal to the
maximum output buffer size received in the SMB2 IOCTL request. This SRV_SNAPSHOT_ARRAY is
placed in the Buffer field in the SMB2 IOCTL Response,<53> and the OutputOffset and
OutputCount fields MUST be updated to describe the buffer as specified in section 2.2.32. This
packet consists of the following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
NumberOfSnapShots
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NumberOfSnapShotsReturned
SnapShotArraySize
SnapShots (variable)
...
NumberOfSnapShots (4 bytes): The number of previous versions associated with the volume
that backs this file.
NumberOfSnapShotsReturned (4 bytes): The number of previous version time stamps

returned in the SnapShots[ ] array. If the output buffer could not accommodate the entire
array, NumberOfSnapShotsReturned will be zero.
SnapShotArraySize (4 bytes): The length, in bytes, of the SnapShots[ ] array. If the output
buffer is too small to accommodate the entire array, SnapShotArraySize will be the amount of
space that the array would have occupied.
SnapShots (variable): An array of time stamps in GMT format, as specified by an @GMT

token, which are separated by UNICODE null characters and terminated by two UNICODE null
characters. It will be empty if the output buffer could not accommodate the entire array.
2.2.32.3 SRV_REQUEST_RESUME_KEY Response
The SRV_REQUEST_RESUME_KEY packet is returned to the client by the server in an SMB2 IOCTL
Response for the FSCTL_SRV_REQUEST_RESUME_KEY request. This
SRV_REQUEST_RESUME_KEY is placed in the Buffer field in the SMB2 IOCTL Response, and the
OutputOffset and OutputCount fields MUST be updated to describe the buffer as specified in
section 2.2.32. This packet consists of the following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
ResumeKey
...
...
...
...
...
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ContextLength
Context (variable)
...
ResumeKey (24 bytes): A 24-byte resume key generated by the server that can be
subsequently used by the client to uniquely identify the source file in an
FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE request. The resume key
MUST be treated as a 24-byte opaque structure. The client that receives the 24-byte resume
key MUST NOT attach any interpretation to this key and MUST treat it as an opaque value.
ContextLength (4 bytes): The length, in bytes, of the context information. This field is
unused. The server MUST set this field to 0, and the client MUST ignore it on receipt.
Context (variable): The context extended information.<54>
2.2.32.4 SRV_READ_HASH Response
The SRV_READ_HASH response is returned to the client by the server in an SMB2 IOCTL Response
for the FSCTL_SRV_READ_HASH request. This structure is placed in the Buffer field in the SMB2
IOCTL Response, and the OutputOffset and OutputCount fields MUST be updated to describe the
buffer as specified in section 2.2.32. The SRV_READ_HASH response MUST be formatted as follows:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
NextOffset
...
BufferLength
Reserved
Buffer (variable)
...
NextOffset (8 bytes): If the hash retrieval type specified in the SRV_READ_HASH request is
SRV_HASH_RETRIEVE_HASH_BASED, this field is the offset, in bytes, to the next portion of
the Content Information data structure, as specified in [MS-PCCRC] section 2.3, retrieved
from the server. This is equal to the sum of the value of the Offset field in the
SRV_READ_HASH request and the value of the BufferLength field in this response.
BufferLength (4 bytes): The length, in bytes, of the retrieved portion of the Content
Information data structure.
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Buffer (variable): A variable-length buffer that contains the retrieved portion of the Content
Information data structure as specified in [MS-PCCRC] section 2.3.
2.2.33 SMB2 QUERY_DIRECTORY Request
The SMB2 QUERY_DIRECTORY Request packet is sent by the client to obtain a directory
enumeration on a directory open. This request consists of an SMB2 header, as specified in section
2.2.1, followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize FileInformationClass Flags
FileIndex
FileId
...
...
...
FileNameOffset FileNameLength
OutputBufferLength
Buffer (variable)
...
FileInformationClass (1 byte): The file information class describing the format that data
MUST be returned in. Possible values are as specified in [MS-FSCC] section 2.4. This field
MUST contain one of the following values:
Value Meaning
FileDirectoryInformation Basic information about a file or directory. Basic information is

0x01 defined as the file's name, time stamp, size and attributes. File
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Value Meaning
attributes are as specified in [MS-FSCC] section 2.6.
FileFullDirectoryInformation Full information about a file or directory. Full information is

0x02 defined as all the basic information plus extended attribute size.
FileIdFullDirectoryInformation Full information plus volume file ID about a file or directory. A

0x26 volume file ID is defined as a number assigned by the underlying
object store that uniquely identifies a file within a volume.
FileBothDirectoryInformation Basic information plus extended attribute size and short name
0x03 about a file or directory.
FileIdBothDirectoryInformation FileBothDirectoryInformation plus volume file ID about a file or

0x25 directory.
FileNamesInformation Detailed information on the names of files and directories in a

0x0C directory.
Flags (1 byte): Flags indicating how the query directory operation MUST be processed. This
field MUST be a logical OR of the following values, or zero if none are selected:
Value Meaning
SMB2_RESTART_SCANS The server MUST restart the enumeration from the beginning,
0x01 but the search pattern is not changed.
SMB2_RETURN_SINGLE_ENTRY The server MUST only return the first entry of the search results.
0x02
SMB2_INDEX_SPECIFIED The server SHOULD<55> return entries beginning at the byte

0x04 number specified by FileIndex.
SMB2_REOPEN The server MUST restart the enumeration from the beginning,
0x10 and the search pattern MUST be changed to the provided value.
This often involves silently closing and reopening the directory
on the server side.
SMB2_REOPEN implies SMB2_RESTART_SCANS as well.
FileIndex (4 bytes): The byte offset within the directory, indicating the position at which to
resume the enumeration. If SMB2_INDEX_SPECIFIED is set in Flags, this value MUST be
supplied, and should be based on the FileIndex value received in a previous enumeration
response. Otherwise, it MUST be set to zero and the server MUST ignore it.
FileId (16 bytes): An SMB2_FILEID identifier of the directory on which to perform the
enumeration. This is returned from an SMB2 Create Request to open a directory on the server.
FileNameOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header to the
search pattern to be used for the enumeration. This field MUST be 0 if no search pattern is
provided.
FileNameLength (2 bytes): The length, in bytes, of the search pattern. This field MUST be 0 if
no search pattern is provided.
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OutputBufferLength (4 bytes): The maximum number of bytes the server is allowed to return
in the SMB2 QUERY_DIRECTORY Response.
Buffer (variable): A variable-length buffer containing the Unicode search pattern for the
request, as described by the FileNameOffset and FileNameLength fields. The format,
including wildcards and other conventions for this pattern, is specified in [MS-CIFS] section
2.2.1.1.3.
2.2.34 SMB2 QUERY_DIRECTORY Response
The SMB2 QUERY_DIRECTORY Response packet is sent by a server in response to an SMB2

QUERY_DIRECTORY Request (section 2.2.33). This response consists of an SMB2 header, as
specified in section 2.2.1, followed by this response structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize OutputBufferOffset
OutputBufferLength
Buffer (variable)
...
StructureSize (2 bytes): The server MUST set this field to 9, indicating the size of the request
structure, not including the header. The server MUST set this field to this value regardless of
how long Buffer[] actually is in the request.
OutputBufferOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header to
the directory enumeration data being returned.
OutputBufferLength (4 bytes): The length, in bytes, of the directory enumeration being

returned.
Buffer (variable): A variable-length buffer containing the directory enumeration being returned
in the response, as described by the OutputBufferOffset and OutputBufferLength. The
format of this content is as specified in [MS-FSCC] section 2.4, within the topic for the specific
file information class referenced in the SMB2 QUERY_DIRECTORY Request.
2.2.35 SMB2 CHANGE_NOTIFY Request
The SMB2 CHANGE_NOTIFY Request packet is sent by the client to request change notifications on a
directory. This request consists of an SMB2 header, as specified in section 2.2.1, followed by this
request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize Flags
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OutputBufferLength
FileId
...
...
...
CompletionFilter
Reserved
Flags (2 bytes): Flags indicating how the operation MUST be processed. This field MUST be the
logical OR of the following value, or zero if none is selected:
Value Meaning
SMB2_WATCH_TREE The request MUST monitor changes on any file or directory contained
0x0001 beneath the directory specified by FileId.
OutputBufferLength (4 bytes): The maximum number of bytes the server is allowed to return
in the SMB2 CHANGE_NOTIFY Response (section 2.2.36).
FileId (16 bytes): An SMB2_FILEID identifier of the directory to monitor for changes.
CompletionFilter (4 bytes): Specifies the types of changes to monitor. It is valid to choose

multiple trigger conditions. In this case, if any condition is met, the client is notified of the
change and the CHANGE_NOTIFY operation is completed. This field MUST be constructed
using the following values:
Value Meaning
FILE_NOTIFY_CHANGE_FILE_NAME The client is notified if a file-name changes.

0x00000001
FILE_NOTIFY_CHANGE_DIR_NAME The client is notified if a directory name changes.

0x00000002
FILE_NOTIFY_CHANGE_ATTRIBUTES The client is notified if a file's attributes change. Possible

0x00000004 file attribute values are specified in [MS-FSCC] 2.6.
FILE_NOTIFY_CHANGE_SIZE The client is notified if a file's size changes.

0x00000008
FILE_NOTIFY_CHANGE_LAST_WRITE The client is notified if the last write time of a file
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Value Meaning
0x00000010 changes.
FILE_NOTIFY_CHANGE_LAST_ACCESS The client is notified if the last access time of a file

0x00000020 changes.
FILE_NOTIFY_CHANGE_CREATION The client is notified if the creation time of a file

0x00000040 changes.
FILE_NOTIFY_CHANGE_EA The client is notified if a file's extended attributes (EAs)

0x00000080 change.
FILE_NOTIFY_CHANGE_SECURITY The client is notified of a file's access control list (ACL)

0x00000100 settings change.
FILE_NOTIFY_CHANGE_STREAM_NAME The client is notified if a named stream is added to a

0x00000200 file.
FILE_NOTIFY_CHANGE_STREAM_SIZE The client is notified if the size of a named stream is

0x00000400 changed.
FILE_NOTIFY_CHANGE_STREAM_WRITE The client is notified if a named stream is modified.

0x00000800
2.2.36 SMB2 CHANGE_NOTIFY Response
The SMB2 CHANGE_NOTIFY Response packet is sent by the server to transmit the results of a
client's SMB2 CHANGE_NOTIFY Request (section 2.2.35). The server MUST send this packet only if a
change occurs and MUST NOT send this packet otherwise. An SMB2 CHANGE_NOTIFY Request
(section 2.2.35) will result in, at most, one response from the server. A server may choose to
aggregate multiple changes into the same change notify response. The server MUST include at least
one FILE_NOTIFY_INFORMATION structure if it detects a notification. This response consists of an
SMB2 header, as specified in section 2.2.1, followed by this response structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
OutputBufferLength
Buffer (variable)
...
structure, not including the header. The server MUST set the field to this value regardless of
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the change information being returned.
OutputBufferLength (4 bytes): The length, in bytes, of the change information being

returned.
Buffer (variable): A variable-length buffer containing the change information being returned in
the response, as described by the OutputBufferOffset and OutputBufferLength fields. This
field is an array of FILE_NOTIFY_INFORMATION.
2.2.36.1 FILE_NOTIFY_INFORMATION
The FILE_NOTIFY_INFORMATION packet is sent in the SMB2 CHANGE_NOTIFY Response (section

2.2.36) to return the changes that the client is being notified of. The structure consists of the
following:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
NextEntryOffset
Action
FileNameLength
FileName (variable)
...
NextEntryOffset (4 bytes): The offset, in bytes, from the beginning of this structure to the
subsequent FILE_NOTIFY_INFORMATION structure. If there are no subsequent structures, the
NextEntryOffset field MUST be 0. NextEntryOffset MUST always be an integral multiple of
4. The FileName array MUST be padded to the next 4-byte boundary counted from the
beginning of the structure.
Action (4 bytes): The changes that occurred on the file. This field MUST contain one of the
following values.
Value Meaning
FILE_ACTION_ADDED The file was added to the directory.

0x00000001
FILE_ACTION_REMOVED The file was removed from the directory.

0x00000002
FILE_ACTION_MODIFIED The file was modified. This may be a change to the data or
0x00000003 attributes of the file.
FILE_ACTION_RENAMED_OLD_NAME The file was renamed, and this is the old name. If the new
0x00000004 name resides within the directory being monitored, the
client will also receive the
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Value Meaning
FILE_ACTION_RENAMED_NEW_NAME as described below.

If the new name resides outside of the directory being
monitored, the client will not receive the
FILE_ACTION_RENAMED_NEW_NAME.
FILE_ACTION_RENAMED_NEW_NAME The file was renamed, and this is the new name. If the old
0x00000005 name resides within the directory being monitored, the
client will also receive the
FILE_ACTION_RENAME_OLD_NAME. If the old name
resides outside of the directory being monitored, the client
will not receive the FILE_ACTION_RENAME_OLD_NAME.
If two or more files have been renamed, then the corresponding FILE_NOTIFY_INFORMATION
entries for each file rename MUST be consecutive in this response, in order for the client to
make the correct correspondence between old and new names.
FileNameLength (4 bytes): The length, in bytes, of the file name in the FileName[] field.
FileName (variable): A Unicode string with the name of the file that changed.
2.2.37 SMB2 QUERY_INFO Request
The SMB2 QUERY_INFO Request (section 2.2.37) packet is sent by a client to request information on
a file, named pipe, or underlying volume. This request consists of an SMB2 header, as specified in
section 2.2.1, followed by this request structure:
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize InfoType FileInfoClass
OutputBufferLength
InputBufferOffset Reserved
InputBufferLength
AdditionalInformation
Flags
FileId
...
...
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...
Buffer (variable)
...
InfoType (1 byte): The type of information queried. This field MUST contain one of the
following values:
Value Meaning
SMB2_0_INFO_FILE The file information is requested.

0x01
SMB2_0_INFO_FILESYSTEM The underlying object store information is requested.

0x02
SMB2_0_INFO_SECURITY The security information is requested.

0x03
SMB2_0_INFO_QUOTA The underlying object store quota information is requested.

0x04
FileInfoClass (1 byte): For file information queries, this field MUST contain one of the
following FILE_INFORMATION_CLASS values, as specified in section 3.3.5.20.1 and in [MS-
FSCC] section 2.4:
FileAccessInformation
FileAlignmentInformation
FileAllInformation
FileAlternateNameInformation
FileAttributeTagInformation
FileBasicInformation
FileCompressionInformation
FileEaInformation
FileFullEaInformation
FileInternalInformation
FileModeInformation
FileNetworkOpenInformation
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FilePipeInformation
FilePipeLocalInformation
FilePipeRemoteInformation
FilePositionInformation
FileStandardInformation
FileStreamInformation
For underlying object store information queries, this field MUST contain one of the following
FS_INFORMATION_CLASS values, as specified in section 3.3.5.20.2 and in [MS-FSCC] section
2.5:
FileFsAttributeInformation
FileFsControlInformation
FileFsDeviceInformation
FileFsFullSizeInformation
FileFsObjectIdInformation
FileFsSizeInformation
FileFsVolumeInformation
For quota and security queries, this field MUST be set to 0.
OutputBufferLength (4 bytes): The maximum number of bytes of information the server can
send in the response.
InputBufferOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header to
the input buffer. For quota requests, the input buffer MUST contain an
SMB2_QUERY_QUOTA_INFO, as specified in section 2.2.37.1. For FileFullEaInformation
requests, the input buffer MUST contain the user supplied EA list with zero or more
FILE_GET_EA_INFORMATION structures, specified in [MS-FSCC] section 2.4.15.1. For other
information queries, this field SHOULD<56> be set to 0.
InputBufferLength (4 bytes): The length of the input buffer. For quota requests, this MUST
be the length of the contained SMB2_QUERY_QUOTA_INFO embedded in the request. For
FileFullEaInformation requests, this MUST be set to the length of the user supplied EA list
specified in [MS-FSCC] section 2.4.15.1. For other information queries, this field MUST be set
to 0.
AdditionalInformation (4 bytes): Provides additional information to the server.
If security information is being queried, this value contains a 4-byte bit field of flags indicating
what security attributes MUST be returned. For more information about security descriptors,
see SECURITY_DESCRIPTOR in [MS-DTYP].
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Value Meaning
OWNER_SECURITY_INFORMATION The client is querying the owner from the security descriptor
0x00000001 of the file or named pipe.
GROUP_SECURITY_INFORMATION The client is querying the group from the security descriptor
0x00000002 of the file or named pipe.
DACL_SECURITY_INFORMATION The client is querying the discretionary access control list

0x00000004 from the security descriptor of the file or named pipe.
SACL_SECURITY_INFORMATION The client is querying the system access control list from the
0x00000008 security descriptor of the file or named pipe.
LABEL_SECURITY_INFORMATION The client is querying the integrity label from the security
0x00000010 descriptor of the file or named pipe.
If FileFullEaInformation is being queried and the application has not provided a list of EAs
to query, but has provided an index into the object's full extended attribute information array
at which to start the query, this field MUST contain a ULONG representation of that index. For
all other queries, this field MUST be set to 0 and the server MUST ignore it.
Flags (4 bytes): The flags MUST be set to a combination of zero or more of these bit values for
a FileFullEaInformation query.
Value Meaning
SL_RESTART_SCAN Restart the scan for EAs from the beginning.

0x00000001
SL_RETURN_SINGLE_ENTRY Return a single EA entry in the response buffer.

0x00000002
SL_INDEX_SPECIFIED The caller has specified an EA index.

0x00000004
For all other queries, the client MUST set this field to 0, and the server MUST ignore it on
receipt.
FileId (16 bytes): An SMB2_FILEID identifier of the file or named pipe on which to perform the
query. Queries for underlying object store or quota information are directed to the volume on
which the file resides.
Buffer (variable): A variable-length buffer containing the input buffer for the request, as
described by the InputBufferOffset and InputBufferLength fields.<57>
For quota requests, the input Buffer MUST contain an SMB2_QUERY_QUOTA_INFO, as

specified in section 2.2.37.1. For a FileFullEaInformation query, the Buffer MUST be in one of
the following formats:
A zero-length buffer as indicated by an InputBufferLength that is equal to zero.
A list of FILE_GET_EA_INFORMATION structures provided by the application, as specified in

[MS-FSCC] section 2.4.15.1.
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2.2.37.1 SMB2_QUERY_QUOTA_INFO
The SMB2_QUERY_QUOTA_INFO packet specifies the quota information to return.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
ReturnSingle RestartScan Reserved
SidListLength
StartSidLength
StartSidOffset
SidBuffer (variable)
...
ReturnSingle (1 byte): A Boolean value, where zero represents FALSE and nonzero represents
TRUE.<58> If the ReturnSingle field is TRUE, the server MUST return a single value.
Otherwise, the server SHOULD return the maximum number of entries that will fit in the
maximum output size that is indicated in the request.
RestartScan (1 byte): A Boolean value, where zero represents FALSE and nonzero represents
TRUE.<59> If RestartScan is TRUE, the quota information MUST be read from the beginning.
Otherwise, the quota information MUST be continued from the previous enumeration that was
executed on this open.
SidListLength (4 bytes): The length, in bytes, of the SidBuffer when sent in format 1 as
defined in the SidBuffer field or zero in all other cases.
StartSidLength (4 bytes): The length, in bytes, of the SID, as specified in [MS-DTYP] section
2.4.2, when sent in format 2 as defined in the SidBuffer field, or zero in all other cases.
StartSidOffset (4 bytes): The offset, in bytes, from the start of the SidBuffer field to the SID
when sent in format 2 as defined in the SidBuffer field, or zero in all other cases.<60>
SidBuffer (variable): If this field is empty, then SidListLength, StartSidLength and

StartSidOffset MUST each be set to zero. If the field is not empty, then it MUST contain
either one of the following two formats:
1. A list of FILE_GET_QUOTA_INFORMATION structures, as described in [MS-FSCC] section

2.4.33.1
2. A SID.<61>
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2.2.38 SMB2 QUERY_INFO Response
The SMB2 QUERY_INFO Response packet is sent by the server in response to an SMB2 QUERY_INFO
Request packet. This response consists of an SMB2 header, as specified in section 2.2.1, followed by
this response structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
OutputBufferLength
Buffer (variable)
...
structure, not including the header. The server MUST set this field to this value regardless of
the information being returned.
OutputBufferLength (4 bytes): The length, in bytes, of the information being returned.
Buffer (variable): A variable-length buffer that contains the information that is returned in the
response, as described by the OutputBufferOffset and OutputBufferLength fields. Buffer
format depends on InfoType and AdditionalInformation, as follows.
InfoType AdditionalInformation Buffer format specification
SMB2_0_INFO_FILE The value depends on See [MS-FSCC] section 2.4.

FileInfoClass, as specified in For FileFullEaInformation, the
section 2.2.37. server MUST return the list of
extended attributes (EA) that
will fit in the Buffer,
beginning with the attribute
whose index is specified by
the AdditionalInformation
field of the request. The size
of the returned buffer is equal
to the size of the EA entries
that are returned.
SMB2_0_INFO_FILESYSTEM 0 See [MS-FSCC] section 2.5.
SMB2_0_INFO_SECURITY Any combination of the values: The security descriptor data

OWNER_SECURITY_INFORMATION structure, as specified in [MS-
DTYP] section 2.4.6,
GROUP_SECURITY_INFORMATION
populated with the data
LABEL_SECURITY_INFORMATION specified by the
DACL_SECURITY_INFORMATION AdditionalInformation value.
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SACL_SECURITY_INFORMATION
SMB2_0_INFO_QUOTA 0 See [MS-FSCC] section

2.4.33.
2.2.39 SMB2 SET_INFO Request
The SMB2 SET_INFO Request packet is sent by a client to set information on a file or underlying
object store. This request consists of an SMB2 header, as specified in section 2.2.1, followed by this
request structure.
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize InfoType FileInfoClass
BufferLength
BufferOffset Reserved
AdditionalInformation
FileId
...
...
...
Buffer (variable)
...
InfoType (1 byte): The type of information being set. The valid values are as follows.
Value Meaning
SMB2_0_INFO_FILE The file information is being set.

0x01
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Value Meaning
SMB2_0_INFO_FILESYSTEM The underlying object store information is being set.

0x02
SMB2_0_INFO_SECURITY The security information is being set.

0x03
SMB2_0_INFO_QUOTA The underlying object store quota information is being set.

0x04
FileInfoClass (1 byte): For setting file information, this field MUST contain one of the following
FILE_INFORMATION_CLASS values, as specified in section 3.3.5.21.1 and [MS-FSCC] section
2.4:
FileAllocationInformation
FileBasicInformation
FileDispositionInformation
FileEndOfFileInformation
FileFullEaInformation
FileLinkInformation
FileModeInformation
FilePipeInformation
FilePositionInformation
FileRenameInformation
FileShortNameInformation
FileValidDataLengthInformation
For setting underlying object store information, this field MUST contain one of the following
FS_INFORMATION_CLASS values, as specified in [MS-FSCC] section 2.5:
FileFsControlInformation
FileFsObjectIdInformation
For setting quota and security information, this field MUST be 0.
BufferLength (4 bytes): The length, in bytes, of the information to be set.
BufferOffset (2 bytes): The offset, in bytes, from the beginning of the SMB2 header to the
information to be set.
AdditionalInformation (4 bytes): Provides additional information to the server.
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If security information is being set, this value MUST contain a 4-byte bit field of flags
indicating what security attributes MUST be applied. For more information about security
descriptors, see [MS-DTYP] section 2.4.6.
Value Meaning
OWNER_SECURITY_INFORMATION The client is setting the owner in the security descriptor of the
GROUP_SECURITY_INFORMATION The client is setting the group in the security descriptor of the
DACL_SECURITY_INFORMATION The client is setting the discretionary access control list in the
SACL_SECURITY_INFORMATION The client is setting the system access control list in the
LABEL_SECURITY_INFORMATION The client is setting the integrity label in the security

0x00000010 descriptor of the file or named pipe.
For all other set requests, this field MUST be 0.
FileId (16 bytes): An SMB2_FILEID identifier of the file or named pipe on which to perform the
set. Set operations for underlying object store and quota information are directed to the
volume on which the file resides.
Buffer (variable): A variable-length buffer that contains the information being set for the
request, as described by the BufferOffset and BufferLength fields. Buffer format depends
on InfoType and the AdditionalInformation, as follows.
SMB2_0_INFO_FILE 0 See [MS-FSCC] section 2.4
SMB2_0_INFO_FILESYSTEM 0 See [MS-FSCC] section 2.5
SMB2_0_INFO_SECURITY Any combination of the values: The security descriptor data

OWNER_SECURITY_INFORMATION structure, as specified in [MS-
DTYP] section 2.4.6,
GROUP_SECURITY_INFORMATION
populated with the data
LABEL_SECURITY_INFORMATION specified by the
DACL_SECURITY_INFORMATION AdditionalInformation value.
SACL_SECURITY_INFORMATION
SMB2_0_INFO_QUOTA 0 See [MS-FSCC] section

2.4.33.
2.2.40 SMB2 SET_INFO Response
The SMB2 SET_INFO Response packet is sent by the server in response to an SMB2 SET_INFO
Request (section 2.2.39) to notify the client that its request has been successfully processed. This
response consists of an SMB2 header, as specified in section 2.2.1, followed by this response
structure:
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1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
StructureSize
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3 Protocol Details
3.1 Common Details
3.1.1 Abstract Data Model
This section describes a conceptual model of possible data organization that an implementation
maintains to participate in this protocol. The described organization is provided to facilitate the
explanation of how the protocol behaves. This document does not mandate that implementations
adhere to this model as long as their external behavior is consistent with what is described in this
document.
3.1.1.1 Global
The following global data is required by both the client and server:
RequireMessageSigning: A Boolean that, if set, indicates that this node requires that messages
MUST be signed if the message is sent with a user security context that is neither anonymous nor
guest. If not set, this node does not require that any messages be signed, but MAY still choose to do
so if the other node requires it.
3.1.2 Timers
There are no timers common to both client and server.
3.1.3 Initialization
The value of RequireMessageSigning MUST be set based on system configuration, which is

implementation-dependent.<62>
3.1.4 Higher-Layer Triggered Events
3.1.4.1 Signing An Outgoing Message
If the client or server sending the message requires that the message be signed, it provides the
message length, the buffer containing the message, and the session key to use for signing. The
following steps describe the signing process:
1. The sender MUST zero out the 16-byte signature field in the SMB2 Header of the message to be
sent prior to generating the signature.
2. The sender MUST compute a 32-byte hash using HMAC-SHA256 over the entire message,
beginning with the SMB2 Header from step 1, and using the session key as the signing key. The
HMAC-SHA256 hash is specified in [FIPS180-2] and [RFC2104]. If the message is part of a
compounded chain, any padding at the end of the message MUST be used in the hash
computation.
3. The first 16 bytes (the high-order portion) of the hash created in step 2 MUST be copied
(beginning with the first, most significant, byte) into the 16-byte signature field of the SMB2
Header.
Determining when a client will sign an outgoing message is specified in 3.2.4.1.1, and determining
when a server will sign an outgoing message is specified in 3.3.4.1.1.
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3.1.5 Processing Events and Sequencing Rules
None.
3.1.5.1 Verifying an Incoming Message
If a client or server requires verification of a signed message, it provides the message length, the
buffer containing the message, and the session key. The following steps describe how the signature
MUST be verified:
1. The receiver MUST save the 16-byte signature from the Signature field in the SMB2 Header for
use in step 4.
2. The receiver MUST zero out the 16-byte signature field in the SMB2 Header of the incoming
message.
3. The receiver MUST compute a 32-byte hash using HMAC-SHA256 over the entire message,
beginning with the SMB2 Header from step 2, and using the session key as the signing key. The
HMAC-SHA256 hash is specified in [FIPS180-2] and [RFC2104]. If the message is part of a
compounded chain, any padding at the end of the message MUST be used in the hash
computation.
4. If the first 16 bytes (the high-order portion) of the computed signature from step 3 matches the
saved signature from step 1, the message is signed correctly.
Determining when a client will verify a signature and the action taken on the result of verification is
specified in section 3.2.5.1.2. Determining when a server will verify a signature and the action taken
on the result of verification is specified in section 3.3.5.2.3.
3.1.6 Timer Events
There are no timers common to both client and server.
3.1.7 Other Local Events
There are no local events common to both client and server.
3.2 Client Details
This document specifies a conceptual model of possible data organization that an implementation
maintains to participate in this protocol. The described organization is provided to explain how the
protocol behaves. This document does not mandate that implementations adhere to this model as
long as their external behavior is consistent with what is described in this document.
3.2.1.1 Global
The client MUST implement the following:
ConnectionTable: A table of active SMB2 transport connections, as specified in section 3.2.1.2,

that are established to remote servers, indexed by the textual server name. The textual
server name is a fully qualified domain name, a NetBIOS name, or an IP address.
If a client implements the SMB 2.100 dialect, it MUST also implement the following:
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GlobalFileTable: A table of uniquely opened files, as specified in section 3.2.1.5, indexed by a
concatenation of the ServerName, ShareName, and the share-relative FileName, and also
indexed by File.LeaseKey.
ClientGuid: A global identifier for this client.
3.2.1.2 Per SMB2 Transport Connection
Connection.SessionTable: A table of authenticated sessions, as specified in section 3.2.1.3,

that the client has established on this SMB2 transport connection. The table MUST allow
lookup by both Session.SessionId and by the security context of the user that established
the connection.
Connection.OutstandingRequests: A table of requests that have been issued on this

connection and are awaiting a response. The table MUST allow lookup by MessageId, and
each request MUST store a time stamp of when the request was sent and references to the
Connection, Session, TreeConnect and Open associated with the request.
Connection.SequenceWindow: A table of available sequence numbers for sending requests

to the server, as specified in section 3.2.4.1.6.
Connection.OpenTable: A table of opens, as specified in section 3.2.1.6. The table MUST allow
lookup by either file name or by Open.FileId.
Connection.GSSNegotiateToken: A byte array containing the token received during a

negotiation and remembered for authentication.
Connection.MaxTransactSize: The maximum buffer size, in bytes, that the server will accept
on this connection for QUERY_INFO, QUERY_DIRECTORY, SET_INFO and CHANGE_NOTIFY
operations. This field is applicable only for buffers sent by the client in SET_INFO requests, or
returned from the server in QUERY_INFO, QUERY_DIRECTORY, and CHANGE_NOTIFY
responses.<63>
Connection.MaxReadSize: The maximum read size, in bytes, that the server will accept in an
SMB2 READ Request on this connection.
Connection.MaxWriteSize: The maximum write size, in bytes, that the server will accept in an
SMB2 WRITE Request on this connection.
Connection.ServerGuid: A globally unique identifier that is generated by the remote server to

uniquely identify the remote server. This field MUST NOT be used by a client as a secure
method of identifying a server.
Connection.RequireSigning: A Boolean indicating whether the server requires

requests/responses on this connection to be signed.
If a client implements the SMB 2.1 dialect, it MUST also implement the following:
Connection.Dialect: The dialect of SMB2 negotiated with the server. This value MUST be
either "2.002", "2.100", or "Unknown".
Connection.SupportsLeasing: A Boolean indicating whether the server supports leasing

functionality.
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3.2.1.3 Per Session
Session.SessionId: An 8-byte identifier returned by the server to identify this session on this
SMB2 transport connection.
Session.TreeConnectTable: A table of tree connects, as specified in section 3.2.1.4. The table

MUST allow lookup by both TreeConnect.TreeConnectId and by share name.
Session.SessionKey: The first 16 bytes of the cryptographic key for this authenticated context.
If the cryptographic key is less than 16 bytes, it is right-padded with zero bytes.
Session.ShouldSign: A Boolean that indicates whether this session MUST sign communication if
signing is enabled on this connection.
Session.Connection: A reference to the connection on which this session was established.
Session.UserCredentials: An opaque implementation-specific entity that identifies the

credentials that were used to authenticate to the server.
3.2.1.4 Per Tree Connect
TreeConnect.TreeConnectId: A 4-byte identifier returned by the server to identify this tree

connect.
TreeConnect.MaximalAccess: The maximal rights that the security principal that is described
by TreeConnect.Session has on the target share. This MUST be an access mask value, as
TreeConnect.Session: A reference to the session on which this tree connect was established.
TreeConnect.IsDFSShare: A Boolean that, if set, indicates that the tree connect was
established to a DFS share.
3.2.1.5 Per unique open file
If a client implements the SMB 2.1 dialect, then for each unique file opened by this client, the client
MUST create the items in the following list.
The uniqueness is based on the name of the file being opened and is defined by the concatenation of
the server name, the share name and the share relative-path name.
File.OpenTable: A table of Opens to this file.
File.LeaseKey: A unique 128-bit key identifying this file on the client.
File.LeaseState: The lease level state granted for this file by the server as described in
2.2.13.2.8.
A lease state containing SMB2_LEASE_WRITE_CACHING implies that the client has exclusive
access to the file and it MAY choose to cache writes to the file. The client MAY also choose to
cache byte-range-locks.
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A lease state containing SMB2_LEASE_READ_CACHING implies there might be multiple readers
of the file, and the client MAY choose to satisfy reads from its cache. The client MUST send all
writes to the server.
A lease state containing SMB2_LEASE_HANDLE_CACHING implies that the client MAY choose to
keep open handles to the file even after the application that opened the file has closed its
handles or has ended.
3.2.1.6 Per Application Open of a File
Open.File: A reference to an SMB2 File (described in section 3.2.1.5) uniquely describing the
open file.
Open.FileId: The SMB2_FILEID, as specified in section 2.2.14.1, returned by the server for this
open.
Open.MaximalAccess: The maximal rights that the security principal, as specified in

Open.TreeConnect.Session, has on the file or named pipe. This MUST be an access mask
value, as specified in section 2.2.13.1.
Open.TreeConnect: A reference to the tree connect on which this Open was established.
Open.Connection: A reference to the SMB2 transport connection on which this open was
established.
Open.OplockLevel: The current oplock level for this open.
Open.Durable: A Boolean that indicates whether this open is setup for reestablishment after a
disconnect.
Open.FileName: A Unicode string with the name of the file.
Open.ResilientHandle: A Boolean that indicates whether resiliency was granted for this open by
the server.
Open.ResilientTimeout: The minimum time (in milliseconds) for which the server will hold this
open, while waiting for the client to reestablish the open after a network disconnect.
Open.OperationBuckets[]: An array of 64 elements used to maintain information about

outstanding lock and unlock operations performed on resilient Opens. An element's zero-
based index is referred to as its BucketIndex, and its BucketNumber is BucketIndex + 1.
Each element is a structure with the following fields:
SequenceNumber: A rolling 4-bit sequence number which counts from 0 through 15.
Free: A value of FALSE indicates that there is an outstanding lock or unlock request using
this BucketNumber and SequenceNumber combination.
3.2.2 Timers
3.2.2.1 Request Expiration Timer
This timer optionally regulates the amount of time the client waits for a response from the server
before failing the request and disconnecting the connection. The client MAY<64> choose to
implement this timer.
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3.2.2.2 Idle Connection Timer
The client SHOULD scan existing connections on a periodic basis, and disconnect connections on
which no opens exist and no operations have been issued within an implementation-specific<65>
time-out.
A client that implements the idle connection timer MUST scan through the global ConnectionTable
(defined in section 3.2.1.1). For each connection, if Connection.OpenTable is empty and the idle
time-out has expired, the client MUST tear down the Connection and all associated sessions from
Connection.SessionTable. The client is not required to explicitly send SMB2 LOGOFF and SMB2
TREE_DISCONNECT requests to the server because the teardown of the connection will implicitly
result in the teardown of all Sessions and Tree Connects on the connection, as specified in section
3.3.7.1.
ConnectionTable is set to an empty table.
GlobalFileTable, if implemented, is set to an empty table.
ClientGuid, if implemented, is set to a newly generated GUID.
The SMB2 client protocol is initiated and subsequently driven by a series of higher-layer triggered
events in the following categories:
Initiating a connection to a remote share
Opening a file, named pipe, or directory on a remote share
Accessing a file, named pipe, or directory on a remote share (reading, writing, locking, unlocking,
handling IOCTL requests, querying or applying attributes, and so on)
Closing a file, named pipe, or directory on a remote share
Closing a connection to a remote share
Required actions for sending any outgoing message
Requests for the session key for authenticated sessions
The following sections provide details on these events.
3.2.4.1 Sending Any Outgoing Message
Unless specifically noted in a subsequent section, the following logic MUST be applied to any request
message being sent from the client to the server.
3.2.4.1.1 Signing the Message
If the request message being sent contains a nonzero SessionId in the SMB2 header field, and the
session identified by that identifier has Session.ShouldSign equal to TRUE, the client MUST sign
the request as specified below. If Session.ShouldSign is FALSE, the client MAY<66> sign the
request.
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The client MUST sign the request as specified in section 3.1.4.1. The client provides the
Session.SessionKey, the length of the request, and the request itself, and calculates the signature
as described.
3.2.4.1.2 Requesting Credits from the Server
The client MAY request more credits if it requires to have more outstanding simultaneous requests.
If the client is requesting more credits, it MUST set CreditRequest equal to the number of credits it
is requesting from the server. To request that its number of credits be maintained, a client
SHOULD<67> set the number of credits it is requesting to 1. To decrease the number of credits, the
client SHOULD set the number of credits it is requesting to 0.
3.2.4.1.3 Associating the Message with a MessageId
Any message sent from the client to the server MUST have a valid MessageId placed in the SMB2
header. The client MUST take an available identifier from Connection.SequenceWindow. If there
are no available identifiers, the request MUST wait for an available identifier before it can be sent to
the server. For a description of how the available credit window is changed, see sections 3.2.4.1.6
and 3.3.1.1. The request MUST be inserted into Connection.OutstandingRequests. If the client
chooses to implement the Request Expiration Timer, the client MUST then set the Request Expiration
Timer to signal at the configured time-out interval for this command.
3.2.4.1.4 Sending Compounded Requests
A nonzero value for the NextCommand field in the SMB2 header indicates a compound request.
NextCommand in the SMB2 header of a request specifies an offset, in bytes, from the beginning of
the SMB2 header under consideration to the start of the 8-byte aligned SMB2 header of the
subsequent request. Such compounding MAY be used to append multiple requests up to the
maximum size that is supported by the transport. The client MUST choose one of two possible styles
of message compounding specified in subsequent sections. These two styles MUST NOT be
intermixed in the same transport send and, in such a case, the server SHOULD<68> fail the
requests with STATUS_INVALID_PARAMETER. Compounded requests MUST be aligned on 8-byte
boundaries; the last request of the compounded requests does not need to be padded to an 8-byte
boundary. If a client or server receives a message that is not aligned on such a boundary, the
machine SHOULD<69> disconnect the connection.
Compounding Unrelated Requests
SMB2_FLAGS_RELATED_OPERATIONS MUST NOT be set in the Flags field of all SMB2 headers in
the chain. The client MUST NOT expect the responses of unrelated requests to arrive in the same
transport receive from the server, or even in the same order they were sent.<70>
Compounding Related Requests
SMB2_FLAGS_RELATED_OPERATIONS MUST be set in the Flags field of SMB2 headers on all

requests except the first one. The client MAY choose to send multiple requests required to perform a
desired action as a compounded send containing related operations. Two examples would be to open
a file and read from it, or to write to an open and close it. This form of compounding MUST NOT be
used in combination with compounding unrelated requests within a single send.<71>
To issue a compounded send of related requests, take the following steps:
1. The client MUST construct the initial request as it would if sending the requests separately.
2. It MUST set the NextCommand field in the SMB2 header of the initial request to the offset, in
bytes, from the beginning of the SMB2 header to the beginning of the 8-byte aligned SMB2
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header of the subsequent request. It MUST NOT set SMB2_FLAGS_RELATED_OPERATIONS in the
Flags field of the SMB2 header for this request.
3. The client MUST construct the subsequent request as it would do normally. For any subsequent
requests the client MUST set SMB2_FLAGS_RELATED_OPERATIONS in the Flags field of the
SMB2 header to indicate that it is using the SessionID, TreeID, and FileID supplied in the
previous request (or generated by the server in processing that request). The client SHOULD set
the SessionID, TreeID, and FileID fields of the request to 0xFFFFFFFFFFFFFFFF, 0xFFFFFFFF,
and { 0xFFFFFFFFFFFFFFFF, 0xFFFFFFFFFFFFFFFF }.
3.2.4.1.5 Sending Multi-Credit Requests
The client MAY<72> send multi-credit requests if the server supports multi-credit operations.
CreditCharge in the SMB2 header MUST base on the payload size of the request or the anticipated
payload size of the response.
CreditCharge >= (max(SendPayloadSize, Expected ResponsePayloadSize) – 1)/ 65536 + 1
If the server does not support multi-credit operations, CreditCharge SHOULD be set to 0 and the
payload size of a request or an anticipated response MUST be a maximum of 64 kilobytes.
Before sending a multi-credit request, the client MUST consume 1 or more consecutive MessageIds
from Connection.SequenceWindow.
3.2.4.1.6 Algorithm for Handling Available Message Sequence Numbers by the

Client
The client MUST implement an algorithm to manage message sequence numbers. Sequence
numbers are used to associate requests with responses and to determine what requests are allowed
for processing. The algorithm MUST meet the following conditions:
When the connection is first established, the allowable sequence numbers for sending a request
MUST be set to the set { 0 }.
The client MUST never send a request on a given connection with a sequence number that has
already been used unless it is a request to cancel a previously sent request.
The client MUST grow the set in a monotonically increasing manner based on the credits granted.
If the set is { 0 }, and 2 credits are granted, the set MUST grow to { 0, 1, 2 }.
The client SHOULD use the lowest available sequence number in its allowable set for each
request.
If a cancel request is sent, a client MUST NOT consume a sequence number. Otherwise, the client
MUST consume a sequence number when it sends out an SMB2 request.
For the server side of this algorithm, see section 3.3.1.1.
3.2.4.2 Application Requests a Connection to a Share
The application provides the following:
ServerName: The name of the server to connect to.
ShareName: The name of the share to connect to.
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UserCredentials: An opaque implementation-specific entity that identifies the credentials to be
used when authenticating to the remote server.
TransportIdentifier: An optional implementation-specific identifier for the transport on which

the connection is to be established.
Upon successful completion, the client MUST return an existing or newly constructed Session
(section 3.2.1.3) and an existing or newly constructed TreeConnect (section 3.2.1.4) to the caller.
The request to connect to a server could be either explicit (the application requests the connection
directly) or implicit (the application requests opening a file with a network path including server and
share). In either case, the client MUST follow the steps described in the following flow chart.<73>
For the implicit case, any error returned from the connection attempt MUST be returned as the error
code for the operation that initiated the implicit connection attempt. For the explicit case, any error
returned from the connection attempt MUST be returned to the calling application.
The client SHOULD search the ConnectionTable and attempt to find an SMB connection where
Connection.ServerName matches the application-supplied ServerName. If a connection is found,
the client MAY choose to use the existing connection or establish a new one. For each existing
connection to the target server, the client MUST search through Connection.SessionTable for a
Session that satisfies the client implementation requirements for session reuse. <74><75>
If UserCredentials, the credentials to be used for the application request, do not match
Session.UserCredentials, those used in establishing the existing session, the session MUST
NOT be reused.
For operations on an existing Open, the client MUST select the same session that was used to
establish the Open.
The client SHOULD attempt to minimize redundant sessions to the same server.
The client MAY establish multiple sessions to the same server by the same security context.
If a new session is being established, the client MAY reuse an existing connection such that
multiple sessions are multiplexed on the same connection. If not reusing an existing connection,
the client can establish a new connection for the new session.
The client MUST synchronize simultaneous application requests, as needed, if an existing

compatible session is currently being established.
If a matching session is found, the client MUST search through Session.TreeConnectTable to find
a matching tree connection to the share. If a tree connection is found, the client MUST use the
existing tree connection, and no additional steps are required to be performed. If a matching tree
connection is not found, the client MUST proceed with establishing a tree connection to the share as
described in section 3.2.4.2.4.
If a matching session is not found, but a compatible connection is found, the client MAY<76> either
attempt to establish the session on the existing connection, or establish a new connection. If the
client is reusing an existing connection, the client MUST perform the following steps:
1. Authenticate to the server as described in section 3.2.4.2.3.
2. Establish a new tree connection to the target share as described in section 3.2.4.2.4.
Otherwise, the client MUST perform the following steps:
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1. Establish a new connection as described in section 3.2.4.2.1.
2. Negotiate the protocol as described in section 3.2.4.2.2.
3. Authenticate to the server as described in section 3.2.4.2.3.
4. Establish a new tree connection to the target share as described in section 3.2.4.2.4.
Figure 3: The client MUST follow the steps outlined in this chart.
3.2.4.2.1 Connecting to the Target Server
The client MUST attempt to connect to the target server over the registered transports specified in
section 2.1 and [MS-SMB] section 2.1. The ServerName and the optional TransportIdentifier
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provided by the caller are used to establish the connection. The client MAY attempt to initiate the
SMB2 connection on all SMB2 transports that it supports, most commonly NetBIOS over TCP and the
other transports described in section 2.1. The client MAY choose to prioritize the SMB transport
order and try each SMB transport sequentially or try to connect on all SMB transports and select one
using any implementation-specific heuristic. The client MAY accept the TransportIdentifier
parameter from the calling application, which specifies what SMB transport to use, and then attempt
to use the transport specified. If the connection attempt is successful, a connection object MUST be
created, as specified in section 3.2.1.2, with the following default parameters:
Connection.SessionTable MUST be set to an empty table.
Connection.OutstandingRequests MUST be set to an empty table.
Connection.SequenceWindow MUST be set to a sequence window, as specified in section

3.2.4.1.6, with a single starting sequence number available, which is "0".
Connection.OpenTable MUST be set to an empty table.
Connection.GSSNegotiateToken MUST be set to an empty array.
Connection.Dialect MUST be set to "Unknown".
Connection.RequireSigning MUST be set to FALSE.
This connection MUST be inserted into ConnectionTable, and processing MUST continue, as
specified in section 3.2.4.2.2.
If the connection attempt fails, the client returns the error code to the calling application.
3.2.4.2.2 Negotiating the Protocol
When a new connection is established, the client MUST negotiate capabilities with the server. The
client MAY<77> use either of two possible methods for negotiation.
The first is a multi-protocol negotiation that involves sending an SMB message to negotiate the use
of SMB2. If the server does not support the SMB 2 Protocol, this method allows the negotiation to
fall back to older SMB dialects, as specified in [MS-SMB].
The second method is to send an SMB2-only negotiate message. This method will result in
successful negotiation only for servers that support the SMB 2 Protocol.
3.2.4.2.2.1 Multi-Protocol Negotiate
To negotiate either the SMB 2 Protocol or the SMB Protocol, the client MUST allocate sequence
number 0 from Connection.SequenceWindow. It MUST construct an SMB_COM_NEGOTIATE
message following the syntax as specified in [MS-SMB] sections 2.2.4.5.1 and 3.2.4.2 and in [MS-
CIFS] sections 2.2.4.52 and 3.2.4.2.2.
If a client does not implement the SMB 2.1 dialect, it MUST perform the following:
The client MUST include the dialect string "SMB 2.002"<78>in the list of dialects, along with any
other SMB dialects that it supports. The remaining field in the request MUST be set up as
specified in [MS-SMB] section 3.2.4.2.
If a client implements the SMB 2.1 dialect, it MUST perform the following:
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The client MUST include the dialect string "SMB 2.002" and "SMB 2.???" in the list of dialects,
along with any SMB dialects that it supports. The remaining field in the request MUST be set up
as specified in [MS-SMB] section 3.2.4.2.
3.2.4.2.2.2 SMB2-Only Negotiate
To issue an SMB2-only negotiate, the client MUST construct an SMB2 NEGOTIATE Request following
the syntax as specified in section 2.2.3:
Allocate sequence number 0 from the Connection.SequenceWindow and place it in the

MessageId field of the SMB2 header.
Set the Command field in the SMB2 header to SMB2 NEGOTIATE.
Set DialectCount to 0.
If the client implements the SMB 2.002 dialect, it MUST do the following:
Increment the DialectCount by 1.
Set the value in Dialects[DialectCount-1] array to 0x0202.
If the client implements the SMB 2.1 dialect, it MUST do the following:
Increment the DialectCount by 1.
Set the value in Dialects[DialectCount-1] array to 0x0210.
If RequireMessageSigning is TRUE, the client MUST set the

SMB2_NEGOTIATE_SIGNING_REQUIRED bit to TRUE in SecurityMode. If
RequireMessageSigning is FALSE, the client MUST set the SMB2_NEGOTIATE_SIGNING_ENABLED
bit to TRUE in SecurityMode.
Set Capabilities and ClientStartTime to 0.
If the client implements the SMB 2.1 dialect, ClientGuid MUST be set to the global ClientGuid
value; otherwise it MUST be set to 0.
This request MUST be sent to the server.
3.2.4.2.3 Authenticating the User
To establish a new session, the client MAY<79> either:
Pass the Connection.GSSNegotiateToken to the configured GSS authentication mechanism to

obtain a GSS output token for the authentication protocol exchange, as specified in [MS-SPNG]
section 3.3.5.1.
OR
Choose to ignore the Connection.GSSNegotiateToken that is received from the server, and
initiate a normal GSS sequence, as specified in [MS-SPNG] section 3.3.4 and [RFC4178] section
3.2.
In either case, it MUST call the GSS authentication protocol with the MutualAuth and Delegate
options. In addition the client MUST also set the GSS_C_FRAGMENT_TO_FIT parameter as specified
in [MS-SPNG] section 3.3.1. The GSS-API output token is up to a size limit determined by local
policy <80> when GSS_C_FRAGMENT_TO_FIT is set.
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If the GSS authentication protocol returns an error, the share connect attempt MUST be aborted and
the error MUST be returned to the higher-level application.
If the GSS authentication succeeds, the client MUST construct an SMB2 SESSION_SETUP Request,
as specified in section 2.2.5. The SMB2 header MUST be initialized as follows:
The Command field MUST be set to SMB2 SESSION_SETUP.
A sequence number is allocated from Connection.SequenceWindow. If no sequence number is

available, it MUST wait for one to become available. The client sets MessageId to the sequence
number received from Connection.SequenceWindow.
The SMB2 SESSION_SETUP Request MUST be initialized as follows:

SMB2_NEGOTIATE_SIGNING_REQUIRED bit in the SecurityMode field.
If RequireMessageSigning is FALSE, the client MUST set the

SMB2_NEGOTIATE_SIGNING_ENABLED bit in the SecurityMode field.
The VcNumber field MUST be set to 0.
If the client supports the Distributed File System (DFS), as specified in [MS-DFSC], the
SMB2_GLOBAL_CAP_DFS bit in the Capabilities field MUST be set.
The GSS output token is copied into the Buffer field in the request. The client MUST set
SecurityBufferOffset and SecurityBufferLength to describe the location and length of the
GSS output token in the request.
3.2.4.2.3.1 Application Requests Reauthenticating a User
It is possible that the server indicates that authentication has expired, as specified in sections
3.3.5.7 and 3.3.5.9, and the application or the client itself requests that an existing session be
reauthenticated. To do so, the client MUST issue a subsequent session setup request for the
SessionId of the session being reauthenticated.
The client MAY<81> either:
Pass the Connection.GSSNegotiateToken to the configured GSS authentication mechanism to

obtain a GSS output token for the authentication protocol exchange, as specified in [MS-SPNG]
section 3.3.5.1.
or
Choose to ignore the Connection.GSSNegotiateToken received from the server, and initiate a
normal GSS sequence as specified in [MS-SPNG] section 3.3.4 and [RFC4178] section 3.2.
In either case, it initializes the GSS authentication protocol with the MutualAuth and Delegate
options. In addition the client MUST also set the GSS_C_FRAGMENT_TO_FIT parameter as specified
in [MS-SPNG] section 3.3.1. The GSS-API output token is up to a size limit determined by local
policy <82> when GSS_C_FRAGMENT_TO_FIT is set.
If the GSS authentication protocol returns an error, the reauthentication attempt MUST be aborted,
and the error MUST be returned to the higher-level application.
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If the GSS authentication succeeds, the client MUST construct an SMB2 SESSION_SETUP request, as
specified in section 2.2.5. The SMB2 header MUST be initialized as follows:

number that is received from Connection.SequenceWindow.
The SessionId field MUST be set to the Session.SessionId for the session being
reauthenticated.


The VcNumber field MUST be set to 0.
If the client supports the Distributed File System (DFS), as specified in [MS-DFSC], the
SMB2_GLOBAL_CAP_DFS bit in the Capabilities field MUST be set.
The GSS output token is copied into the Buffer field in the request. The client MUST set
SecurityBufferOffset and SecurityBufferLength to describe the location and length of the
GSS output token in the request.
3.2.4.2.4 Connecting to the Share
To connect to a share, the client MUST follow the steps outlined below.
The client MUST construct an SMB2 TREE_CONNECT Request using the syntax specified in section
2.2.9. The SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 TREE_CONNECT.

The SessionId field is set to Session.SessionId of the session identified or established as part
of processing section 3.2.4.2.3.
The SMB2 TREE_CONNECT Request MUST be initialized as follows:
The target share path, including server name, in the format "\\server\share", is copied into the
Buffer field of the request. PathOffset and PathLength MUST be set to describe the location
and length of the target share path in the request.
3.2.4.3 Application Requests Opening a File
To open a file on a remote share, the application provides the following:
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The TreeConnect representing the share in which the file to be opened exists.
The path name of the file being opened, relative to the TreeConnect.
The Session representing the security context of the user opening the file.
The required access for the open, as specified in section 2.2.13.1.
The sharing mode for the open, as specified in section 2.2.13.
The create options to be applied for the open, as specified in section 2.2.13.
The create disposition for the open, as specified in section 2.2.13.
The file attributes for the open, as specified in section 2.2.13.
The impersonation level for the open, as specified in section 2.2.13 (optional).
The security flags for the open, as specified in section 2.2.13 (optional).
The requested oplock level or lease state for the open, as specified in section 2.2.13 (optional).
As outlined in subsequent sections, the application may also provide a series of create contexts,
as specified in section 2.2.13.2.
Upon successful completion, the newly constructed Open MUST be returned to the calling
application.
The caller MUST ensure that the supplied TreeConnect is valid within the Session.
TreeConnect.Session MUST match the caller supplied Session.
The client MUST use the Connection referenced by Session.Connection to send the request to the
server.
If the client supports leasing and the server supports leasing as identified by
Connection.SupportsLeasing, the client MUST look up the GlobalFileTable for an entry matching
the concatenation of ServerName, ShareName, and share-relative PathName. If an entry is not
found, a new File entry MUST be created and added to the GlobalFileTable and a unique
File.LeaseKey MUST be assigned to the entry. File.OpenTable MUST be initialized to an empty
table and File.LeaseState MUST be initialized to SMB2_LEASE_NONE.
The client MUST construct an SMB2 CREATE Request using the syntax specified in section 2.2.13.
The SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 CREATE.

The SessionId field is set to TreeConnect.Session.SessionId.
The TreeId field is set to TreeConnect.TreeConnectId.
If TreeConnect.IsDFSShare is TRUE, the SMB2_FLAGS_DFS_OPERATIONS flag is set in the

Flags field.
The SMB2 CREATE Request MUST be initialized as follows:
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The SecurityFlags field is set to 0.
The RequestedOplockLevel field is set to the oplock level that is requested by the application.
If the application does not provide a requested oplock level, the client MUST choose an
implementation-specific oplock level.<83>
The ImpersonationLevel field is set to the application-provided impersonation level. If the

application did not provide an impersonation level, the client sets the ImpersonationLevel to
Impersonation.
The client sets the DesiredAccess field to the value that is provided by the application.
The client sets the FileAttributes field to the attributes that are provided by the application.
The client sets the ShareAccess field to the sharing mode that is provided by the application.
The client sets the CreateDisposition field to the create disposition that is provided by the
application.
The client sets the CreateOptions field to the create options that are provided by the
application.
The client copies the relative path into the Buffer, and sets the NameLength to the length, in
bytes, of the relative path and the NameOffset to the offset, in bytes, to the relative path from
the beginning of the SMB2 header.
The client copies any provided create contexts into the Buffer after the file name, and sets the
CreateContextOffset to the offset, in bytes, to the create contexts from the beginning of the
SMB2 header and sets the CreateContextLength to the length, in bytes, of the array of create
contexts. If there are no provided create contexts, CreateContextLength and
CreateContextOffset MUST be set to 0.
This request MUST be sent to the server. The response from the server MUST be processed as
described in section 3.2.5.7.
3.2.4.3.1 Application Requests Opening a Named Pipe
For opening a named pipe, the application provides the same parameters that are specified in
section 3.2.4.3, except the name of the share MUST be "IPC$". This share name indicates that the
open targets a named pipe.
3.2.4.3.2 Application Requests Sending a File to Print
For sending a file to a printer, the application opens the root of a print share, writes data, and closes
the file. The semantics and parameters are the same as specified in section 3.2.4.3, except that the
name of the share MUST be the name of a printer share, and the share relative path MUST be NULL.
3.2.4.3.3 Application Requests Creating a File with Extended Attributes
To create a file with extended attributes, in addition to the parameters that are specified in section
3.2.4.3, the application MUST provide a buffer of extended attributes in the format that is specified
in [MS-FSCC] section 2.4.15. The client MUST construct a create context, as specified in section
2.2.13.2.1, and append it to any other create contexts being issued and pass it in for create
processing.
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3.2.4.3.4 Application Requests Creating a File with a Security Descriptor
To create a file with a security descriptor, in addition to the parameters that are specified in section
3.2.4.3, the application MUST provide a buffer with a SECURITY_DESCRIPTOR in the format as
specified in [MS-DTYP] section 2.4.6. The client MUST construct a create context using the syntax
specified for SMB2_CREATE_SD_BUFFER in section 2.2.13.2.2, and append it to any other create
contexts being issued and pass it in for create processing.
3.2.4.3.5 Application Requests Creating a File Opened for Durable Operation
To request durable operation on a file being opened or created, in addition to the parameters that
are specified in section 3.2.4.3, the application MUST provide a Boolean indicating whether durability
is requested. If the application is requesting durability, the client MUST construct a create context
using the syntax specified in section 2.2.13.2.3. The client MUST append it to any other create
contexts being issued and pass it in for create processing. If the application is not requesting
durability, the client MUST follow the normal processing, as specified in section 3.2.4.3.
3.2.4.3.6 Application Requests Opening a Previous Version of a File
To open a previous version of a file, in addition to the parameters that are specified in section
3.2.4.3, the application MUST provide a time stamp for the version to be opened, in FILETIME
format as specified in [MS-DTYP] section 2.3.1. The client MUST construct a create context following
the syntax as specified in section 2.2.13.2.7 using this time stamp. The client MUST append it to
any other create contexts being issued and pass it in for create processing.
3.2.4.3.7 Application Requests Creating a File with a Specific Allocation Size
To create a file with a specific allocation size, in addition to the parameters specified in section
3.2.4.3, the application MUST provide an allocation size in LARGE_INTEGER format. The client MUST
construct a create context following the syntax that is specified in section 2.2.13.2.6 and using this
allocation size. The client MUST append it to any other create contexts being issued and pass it in
for create processing.
3.2.4.3.8 Requesting a Lease on a File
To request a lease, in addition to the parameters that are specified in 3.2.4.3, the application MUST
provide a Boolean value indicating that a lease requires to be taken and a LeaseState value (as
defined in section 2.2.13.2.8) that indicates the type of lease to be requested.<84>
If the client does not support the SMB 2.1 dialect, the client MUST fail this request with
STATUS_NOT_SUPPORTED.
If Connection.Dialect is not equal to "2.100" or Connection.SupportsLeasing is FALSE, the

client MUST fail this request with STATUS_NOT_SUPPORTED.
The client MUST construct an SMB2 CREATE request as described in 3.2.4.3, with a
RequestedOplockLevel of SMB2_OPLOCK_LEVEL_LEASE. The client MUST attach an
SMB2_CREATE_REQUEST_LEASE create context to the request. The create context MUST be
formatted as described in section 2.2.13.2.8, with the LeaseState value provided by the
application.
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3.2.4.4 Re-establishing a Durable Open
When an application requests an operation on a durable open that existed on a now-disconnected

connection, that is, Open.Connection is NULL, and Open.Durable is TRUE, then the client
SHOULD attempt to reconnect to this open as specified here.
The client MUST attempt to connect to the target share, as specified in section 3.2.4.2, by obtaining
the name of the server and the name of the share to connect to from the Open.FileName. If this
attempt fails, the client MUST fail the re-establishment attempt. If this attempt succeeds, the client
MUST construct an SMB2 CREATE Request according to the syntax specified in section 2.2.13. The
SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 CREATE.

The SMB2 CREATE Request MUST be initialized as follows:
The SecurityFlags field is set to 0.
The RequestedOplockLevel field is set to 0.
The ImpersonationLevel field is set to 0.
The client sets the DesiredAccess field to 0.
The client sets the FileAttributes field to 0.
The client sets the ShareAccess field to 0.
The client sets the CreateDisposition field to 0.
The client sets the CreateOptions field to 0.
The client copies the relative path into Buffer and sets NameLength to the length, in bytes, of
the relative path, and NameOffset to the offset, in bytes, to the relative path from the
beginning of the SMB2 header.
An SMB2_CREATE_DURABLE_HANDLE_RECONNECT create context is constructed according to

the syntax specified in section 2.2.13.2.4. The data value is set to Open.FileId, and the create
context is appended to the create request.
If a client implements the SMB 2.1 dialect, and the original open was performed using a lease as
described in section 3.2.4.3.8, it MUST also implement the following:
The client MUST re-request the lease as described in section 3.2.4.3.8.
3.2.4.5 Application Requests Closing a File or Named Pipe
The application MUST provide:
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The Open identifying the file or named pipe to be closed.
A Boolean that, if set, specifies that it requires the attributes of the file after the close is
executed.
If Open.Connection is NULL, and Open.Durable is TRUE, the client SHOULD attempt to reconnect
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the close MUST be retried. If
it fails, the error code MUST be returned to the application.
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the close operation.
If Open.Connection is not NULL, the client MUST initialize an SMB2 CLOSE Request by following
the syntax specified in section 2.2.15. The SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 CLOSE.

The SessionId field is set to Open.TreeConnect.Session.SessionId.
The TreeId field is set to Open.TreeConnect.TreeConnectId.
The SMB2 CLOSE Request MUST be initialized as follows:
If the application requires to have the attributes of the file returned after close, the client sets
SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB to TRUE in the Flags field.
The FileId field is set to Open.FileId.
3.2.4.6 Application Requests Reading from a File or Named Pipe
The Open identifying a file or named pipe.
The offset from which to read data.
The number of bytes to read.
The minimum number of bytes it would like to be read (optional).
to this Open, as specified in section 3.2.4.4. If the reconnect succeeds, the read MUST be retried. If
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the read operation.
If Open.Connection is not NULL, the client initializes an SMB2 READ Request following the syntax
The Command field is set to SMB2 READ.
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A sequence number is allocated from the Connection.SequenceWindow. If no sequence
number is available, it MUST wait for one to become available. The client sets MessageId to the
sequence number received from Connection.SequenceWindow.
The SMB2 READ Request MUST be initialized as follows:
The Length field is set to the number of bytes the application requested to read.
The Offset field is set to the offset within the file, in bytes, at which the application requested
the read to start.
The MinimumCount field is set to the value that is provided by the application. If no value is
provided by the application, the client MUST set this field to 0.
The Padding field SHOULD be set to 0x50, which is the default padding of an SMB2 READ
Response.
If the number of bytes to read exceeds Connection.MaxReadSize, the client MUST split the read
up into separate read operations no larger than Connection.MaxReadSize. The client MAY send
these separate reads in any order.<85>
If the client requests reading from a file and the server supports multi-credit operations, the
CreditCharge field in the SMB2 header MUST be set to ( 1 + (Length – 1) / 65536 ).
The request MUST be sent to the server.
3.2.4.7 Application Requests Writing to a File or Named Pipe
The offset, in bytes, from where data should be written.
The number of bytes to write.
A buffer containing the bytes to be written.
to this open as specified in section 3.2.4.4. If the reconnect succeeds, the write MUST be retried. If
If Open.Connection is NULL and Open.Durable is FALSE, the client MUST fail the write operation.
If Open.Connection is not NULL, the client initializes an SMB2 WRITE Request, following the syntax
The Command field is set to SMB2 WRITE.

sequence number received from the Connection.SequenceWindow.
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The SMB2 WRITE Request MUST be initialized as follows:
The Length field is set to the number of bytes the application requested to write.
The Offset field is set to the offset within the file, in bytes, at which the application requested
the write to start.
The DataOffset field is set to the offset from the beginning of the SMB2 header to the data
being written. This value SHOULD be 0x70, which is the default offset for write requests.
The data being written is copied into the request at DataOffset bytes from the beginning of the
SMB2 header.
The client MUST fill the bytes, if any, between the beginning of the Buffer field and the
beginning of the data (at DataOffset) with zeros.<86>
If the number of bytes to write exceeds the Connection.MaxWriteSize, the client MUST split the
write into separate write operations no larger than the Connection.MaxWriteSize. The client
MAY<87> send these separate writes in any order.
If the client requests writing to a file and the server supports multi-credit operations, the
CreditCharge field in the SMB2 header MUST be set to ( 1 + (Length – 1) / 65536 ).
3.2.4.8 Application Requests Querying File Attributes
The maximum output buffer it will accept.
The InformationClass of the attributes being queried, as specified in [MS-FSCC] section 2.4.
If the information being queried is FileFullEaInformation, the application also MUST provide
the following:
A Boolean indicating whether to restart the EA scan.
A Boolean indicating whether only a single entry must be returned.
It also MAY provide one of the following:
The index of the first EA entry to return from the array of extended attributes that are
associated with the file or named pipe. An index value of 1 corresponds to the first extended
attribute.
A list of FILE_GET_EA_INFORMATION structures, as specified in [MS-FSCC] section 2.4.15.1.
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If Open.Connection is NULL and Open.Durable is TRUE, the client SHOULD attempt to reconnect
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the query MUST be retried. If
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the query
operation.
If Open.Connection is not NULL, the client initializes an SMB2 QUERY_INFO Request following the
syntax specified in section 2.2.37. The SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 QUERY_INFO.

The SMB2 QUERY_INFO Request MUST be initialized as follows:
The InfoType field is set to SMB2_0_INFO_FILE.
The FileInfoClass field is set to the InformationLevel received from the application.
The OutputBufferLength field is set to the maximum output buffer the calling application will
accept.
If the query is for FileFullEaInformation and the application has provided a list of EAs to query,
the InputBufferOffset field MUST be set to the offset of the Buffer field from the start of the
SMB2 header. Otherwise, the InputBufferOffset field SHOULD be set to 0.<88>
If the query is for FileFullEaInformation and the application has provided a list of EAs to query,
the InputBufferLength field MUST be set to the length of the FILE_GET_EA_INFORMATION
buffer provided by the application, as specified in [MS-FSCC] section 2.4.15.1. Otherwise, the
InputBufferLength field MUST be set to 0.
If the query is for FileFullEaInformation, and the application has not provided a list of EAs to
query, but has provided an extended attribute index, the AdditionalInformation field MUST be
set to the extended attribute index provided by the calling application. Otherwise, the
AdditionalInformation field MUST be set to 0.
If the query is for FileFullEaInformation, the Flags field in the SMB2 QUERY_INFO request
MUST be set to zero or more of the following bit flags. Otherwise, it MUST be set to 0.
SL_RESTART_SCAN if the application requested that the EA scan be restarted.
SL_RETURN_SINGLE_ENTRY if the application requested that only a single entry be returned.
SL_INDEX_SPECIFIED if the application provided an EA index instead of a list of EAs.
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3.2.4.9 Application Requests Applying File Attributes
The InformationClass of the information being applied to the file or pipe, as specified in [MS-
FSCC] section 2.4.
A buffer containing the information being applied.
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the set MUST be retried. If it
fails, the error code MUST be returned to the application.
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the set operation.
If Open.Connection is not NULL, the client initializes an SMB2 SET_INFO Request following the
The Command field is set to SMB2 SET_INFO.

available, it MUST wait for one to become available. The client sets the MessageId to the
sequence number that is received from the Connection.SequenceWindow.
The SMB2 SET_INFO Request MUST be initialized as follows:
The InfoType field is set to SMB2_0_INFO_FILE.
The FileInfoClass field is set to the InformationClass provided by the application.
The buffer provided by the client is copied into Buffer[].
The BufferOffset field is set to the offset, in bytes, from the beginning of the SMB2 header to
Buffer[].
The BufferLength field is set to the length, in bytes, of the buffer that is provided by the
application.
The AdditionalInformation is set to 0.
3.2.4.10 Application Requests Querying File System Attributes
The Open identifying a file whose attributes are being queried.
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The InformationClass of the file system attributes being queried, as specified in [MS-FSCC]
section 2.5.
operation.

The InfoType field is set to SMB2_0_INFO_FILESYSTEM.
The FileInfoClass field is set to the InformationLevel that is received from the application.
The OutputBufferLength field is set to the maximum output buffer that the calling application
will accept.
The InputBufferOffset field SHOULD<89> be set to 0.
The InputBufferLength field is set to 0.
3.2.4.11 Application Requests Applying File System Attributes
The Open identifying a file whose attributes are being changed.
The InformationClass of the file system attributes being queried, as specified in [MS-FSCC]
section 2.5.
A buffer that contains the attributes being applied.
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sequence number that is received from Connection.SequenceWindow.
The InfoType field is set to SMB2_0_INFO_FILESYSTEM.
The FileInfoClass field is set to the InformationClass that is provided by the application.
The buffer provided by the application is copied into Buffer[].
Buffer[].
The BufferLength field is set to the length, in bytes, of the buffer that is provided by the
application.
3.2.4.12 Application Requests Querying File Security
The security attributes it is querying for the file, as specified in the AdditionalInformation
description of section 2.2.37.
operation.
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The InfoType field is set to SMB2_0_INFO_SECURITY.
The FileInfoClass field is set to 0.
will accept.
The InputBufferOffset field SHOULD<90> be set to 0.
The InputBufferLength field is set to 0.
The AdditionalInformation is set to the security attributes that are provided by the calling
application.
3.2.4.13 Application Requests Applying File Security
The security information being applied in security descriptor format, as specified in [MS-DTYP]
section 2.4.6.
The security attributes it requires to set for the file, as specified in section 2.2.37.

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The InfoType field is set to SMB2_0_INFO_SECURITY.
The security descriptor that is provided by the client is copied into Buffer[].
Buffer[].
The BufferLength field is set to the length, in bytes, of the security descriptor that is provided
by the application.
The AdditionalInformation is set to the security attributes that are provided by the calling
application.
3.2.4.14 Application Requests Querying Quota Information
The Open identifying a directory.
A Boolean indicating whether the enumeration is being restarted.
A Boolean indicating whether only a single entry is to be returned.
It also optionally can provide either a StartSid to determine where the enumeration should begin,
or a SidList via FILE_GET_QUOTA_INFORMATION structures linked via the NextOffset field.
operation.

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The InfoType field is set to SMB2_0_INFO_QUOTA.
will accept.
An SMB2_QUERY_QUOTA_INFO structure is constructed and copied into the SidBuffer of the
SMB2 QUERY_INFO structure field, and initialized as follows:
If only a single entry is to be returned, the client sets ReturnSingle to TRUE. Otherwise, it is
set to FALSE.
If the application requires to restart the scan, the client sets RestartScan to TRUE.
Otherwise, it is set to FALSE.
SidListLength, StartSidOffset, and StartSidLength are set based on the parameters

received from the application as follows:
If the application provides a SidList, via one or more FILE_GET_QUOTA_INFORMATION

structures linked by NextEntryOffset, they MUST be copied to the beginning of the
SidBuffer, SidListLength MUST be set to their length in bytes, StartSidLength SHOULD
be set to 0, and StartSidOffset SHOULD be set to 0.<91>
If the application provides a StartSid,<92> it is copied into the SidBuffer, the
StartSidLength MUST be set to the length of the SID, the StartSidOffset MUST be set to
the offset, in bytes, to the start SID from the beginning of the SidBuffer, and
SidListLength SHOULD<93> be set to 0.<94>
If neither a StartSid nor a SidList is provided by the application, then SidListLength MUST
be set to 0, StartSidLength MUST be set to 0, and StartSidOffset MUST be set to 0.
The InputBufferOffset field is set to describe the length and offset from the beginning of the
SMB2 header to the SMB2_QUERY_QUOTA_INFO structure.
The InputBufferLength field is set to the size, in bytes, of the SMB2_QUERY_QUOTA_INFO

structure, including any trailing buffers for either the StartSid or SidList.
3.2.4.15 Application Requests Applying Quota Information
The quota information being applied in the format specified in [MS-SMB] section 2.2.7.3.2.
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If Open.Connection is not NULL, the client initializes an SMB2 SET_INFO Request, following the

number is available, it MUST wait for one to become available. The client sets the MessageId to
the sequence number that is received from Connection.SequenceWindow.
The InfoType field is set to SMB2_0_INFO_QUOTA.
The quota information that is provided by the client is copied into the Buffer[].
the Buffer[].
The BufferLength field is set to the length, in bytes, of the quota information that is provided by
the application.
3.2.4.16 Application Requests Flushing Cached Data
The Open identifying a file or named pipe for which it requires to flush cached data.
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the flush MUST be retried. If
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the flush
operation.
If Open.Connection is not NULL, the client initializes an SMB2 FLUSH Request by following the
The Command field is set to SMB2 FLUSH.

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The SMB2 FLUSH Request MUST be initialized as follows:
3.2.4.17 Application Requests Enumerating a Directory
The InformationClass of the file information being queried, as specified in [MS-FSCC] section
2.4.
The maximum buffer size it will accept in response.
A Boolean indicating whether the enumeration should be restarted.
A Boolean indicating whether only a single entry should be returned.
A Boolean indicating whether the file specifier has been changed if the enumeration is being
restarted.
A 4-byte index number to resume the enumeration from if the destination file system supports it
(optional).
A file specifier string for the enumeration.
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the enumeration MUST be
retried. If it fails, the error code MUST be returned to the application.
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the enumeration
operation.
If Open.Connection is not NULL, the client initializes an SMB2 QUERY_DIRECTORY Request,

following the syntax specified in section 2.2.37. The SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 QUERY_DIRECTORY.

The SMB2 QUERY_DIRECTORY Request MUST be initialized as follows:
The FileInformationClass field is set to the InformationClass that is received from the
application.
will accept. The number of bytes MUST NOT exceed Connection.MaxTransactSize.
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If a file specifier string is provided, the client copies it into the Buffer[] and sets the
FileNameOffset to the offset, in bytes, from the beginning of the SMB2 header to the start of
the Buffer[]; and the FileNameLength to the length, in bytes, of the file specifier string.
Otherwise, it sets FileNameOffset and FileNameLength to 0.
If a file index was provided by the application, the client sets the value in the FileIndex field and
sets SMB2_INDEX_SPECIFIED to TRUE in the Flags field.
If the application requested that the enumeration be restarted, the client sets
SMB2_RESTART_SCANS to TRUE in the Flags field.
If the application requested that the enumeration be restarted and indicated that the file specifier
has changed, the client sets SMB2_REOPEN to TRUE in the Flags field.<95>
If the application requested that only a single entry be returned, the client sets
SMB2_RETURN_SINGLE_ENTRY to TRUE in the Flags field.
If the server supports multi-credit operations, the CreditCharge field in the SMB2 header MUST be
set to ( 1 + (OutputBufferLength – 1) / 65536 ).
3.2.4.17.1 Application Requests Continuing a Directory Enumeration
If an application requires to continue an enumeration for which only partial results were previously
returned, it does so by executing a request, as specified in section 3.2.4.17, but makes sure it does
not request restarting the enumeration. Doing so allows it to continue a previous enumeration.
3.2.4.18 Application Requests Change Notifications for a Directory
A Boolean indicating whether the directory should be monitored recursively.
The completion filter following the syntax specified in section 2.2.35, denoting which changes the
application would like to be notified of.
If the application requires to be notified when changes occur and does not require to see the actual
changes, the maximum output buffer MUST be set to 0.
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the change notify MUST be
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the change notify
operation.
If Open.Connection is not NULL, the client initializes an SMB2 CHANGE_NOTIFY Request, following
the syntax specified in section 2.2.37. The SMB2 header MUST be initialized as follows:
The Command field is set to SMB2 CHANGE_NOTIFY.
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the sequence number that is received from the Connection.SequenceWindow.
The SMB2 CHANGE_NOTIFY Request MUST be initialized as follows:
The CompletionFilter field is set to the completion filter that is provided by the calling
application.
will accept.
If the application requested that the directory be monitored recursively, the client sets
SMB2_WATCH_TREE to TRUE in the Flags field.
3.2.4.19 Application Requests Locking of an Array of Byte Ranges
An array of byte ranges to lock. For each range, the application provides:
A starting offset, in bytes.
A length, in bytes.
Whether the range is to be locked exclusively or shared.
Whether the lock request is to wait until the lock can be acquired to return, or whether it is to
fail immediately if the range is locked by another open.
to this open as specified in section 3.2.4.4. If the reconnect succeeds, the lock MUST be retried. If it
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the lock operation.
If Open.Connection is not NULL, the client initializes an SMB2 LOCK Request following the syntax
The Command field is set to SMB2 LOCK.

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The SMB2 LOCK Request MUST be initialized as follows:
The LockCount field is set to the number of byte ranges being locked.
For each range being locked, the client creates an SMB2_LOCK_ELEMENT structure and places it
in the Locks[] array of the request, setting the following values:
The offset is set to the offset of the range being locked.
The length is set to the length of the range to be locked.
If the lock is to be acquired shared, the client sets SMB2_LOCKFLAG_SHARED_LOCK to TRUE
in the Flags field.
If the lock is to be acquired exclusively, the client sets SMB2_LOCKFLAG_EXCLUSIVE_LOCK to

TRUE in the Flags field.
If the lock is to fail immediately if the range is already locked, the client sets
SMB2_LOCKFLAG_FAIL_IMMEDIATELY to TRUE in the Flags field. If the Locks[] array has
more than one element, the client MUST set SMB2_LOCKFLAG_FAIL_IMMEDIATELY.
If Open.ResilientHandle is TRUE, the client MUST do the following:
The client MUST scan through Open.OperationBuckets and find an element with its Free field
set to TRUE. If no such element could be found, an implementation-specific error MUST be
returned to the application.
Let the zero-based array index of the element chosen above be referred to as BucketIndex, and
let BucketNumber = BucketIndex +1.
Set Open.OperationBuckets[BucketIndex].Free = FALSE
Let the SequenceNumber of the element chosen above be referred to as BucketSequence.
The LockSequence field of the SMB2 lock request MUST be set to (BucketNumber<< 4) +
BucketSequence.
Increment the SequenceNumber of the element chosen above using MOD 16 arithmetic.
3.2.4.20 Application Requests an IO Control Code Operation
3.2.4.20.1 Application Requests Enumeration of Previous Versions
The Open identifying a file on a volume for which the application requires the previous version
time stamps.
The maximum output buffer size that it will accept.
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, this FSCTL MUST be retried.
If it fails, the error code MUST be returned to the application.
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If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail this FSCTL
operation.
If Open.Connection is not NULL, the client initializes an SMB2 IOCTL Request following the syntax
The Command field is set to SMB2 IOCTL.

The SMB2 IOCTL Request MUST be initialized as follows:
The CtlCode field is set to FSCTL_SRV_ENUMERATE_SNAPSHOTS.
The InputOffset field SHOULD<96> be set to 0.
The InputCount field is set to 0.
The OutputOffset field SHOULD<97> be set to zero.
The OutputCount field is set to 0.
The MaxInputResponse field is set to 0.
The MaxOutputResponse field is set to the maximum output buffer size that the application will
accept.
SMB2_0_IOCTL_IS_FSCTL is set to TRUE in the Flags field.
3.2.4.20.2 Application Requests a Server-Side Data Copy
Requesting a server-side data copy occurs in several steps. These are outlined in the following
diagram:
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Figure 4: Application requesting a server-side data copy
The method for requesting the key to the source file and for requesting the server-side copy of data
ranges is outlined in the following sections.
3.2.4.20.2.1 Application Requests a Source File Key
The Open identifying a file for which the application requires a key to use in server-side data
operations.
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operation.

The CtlCode field is set to the FSCTL_SRV_REQUEST_RESUME_KEY.
The OutputOffset field SHOULD<99> be set to 0.
The MaxOutputResponse field is set to 32.
3.2.4.20.2.2 Application Requests a Server Side Data Copy
The Open identifying the destination file.
The FSCTL code for the server side copy, either FSCTL_SRV_COPYCHUNK or
FSCTL_SRV_COPYCHUNK_WRITE.<100>
The key for the source file queried, as specified in the previous section "Application Requests a
Source File Key."
An array of ranges to copy. Each item in the array MUST contain the source offset, the
destination offset, and the number of bytes to copy.
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operation.

number received from the Connection.SequenceWindow.
The CtlCode field MUST be set to the FSCTL code supplied by the application.
The InputOffset field is set to the offset to the Buffer[], in bytes, from the beginning of the
SMB2 header.
The InputCount is set to the size, in bytes, of the SRV_COPYCHUNK_COPY structure that is
constructed following the syntax specified in section 2.2.31.1.1 with the client input parameters
as follows:
The client sets the SourceKey field to the key of the source file.
For each range to be copied, the client initializes a SRV_COPYCHUNK structure following the
syntax specified in section 2.2.31.1.1 using the provided source offset, destination offset, and
length, in bytes.
The ChunkCount is set to the number of chunks being sent.
The SRV_COPYCHUNK_COPY structure is copied into the request at InputOffset bytes from the
The MaxOutputResponse field is set to the size of a SRV_COPYCHUNK_RESPONSE structure, as

3.2.4.20.3 Application Requests DFS Referral Information
The application provides the following:
ServerName: The name of the server from which to query referrals.
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UserCredentials: An opaque implementation-specific entity that identifies the credentials to be
used when authenticating to the remote server.
The maximum output buffer response size, in bytes.
The path for which referral information is to be queried.
The maximum DFS referral level that the application will accept.
The client MUST connect to the IPC$ share on the target server as described in section 3.2.4.2 using
the supplied ServerName and UserCredentials.
The client initializes an SMB2 IOCTL Request following the syntax specified in section 2.2.31. The

The SessionId field is set to Session.SessionId.
The CtlCode field is set to the operation code to FSCTL_DFS_GET_REFERRALS.
The FileId field is set to { 0xFFFFFFFFFFFFFFFF, 0xFFFFFFFFFFFFFFFF }.
SMB2 header.
An REQ_GET_DFS_REFERRAL structure, as specified in [MS-DFSC] section 2.2.2, is

constructed with the following parameters, and copied into the Buffer[]:
The MaxReferralLevel is set to the maximum referral level that the calling application will
accept.
The RequestFileName is set to the path for which the referral information is being queried.
The InputCount field is set to the size of the constructed REQ_GET_DFS_REFERRAL structure.
The MaxOutputResponse field is set to the maximum response buffer size that the calling
application will accept.
The request MUST be sent to the server using the Session and TreeConnect obtained as a result
of connecting to the IPC$ share on the server.
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3.2.4.20.4 Application Requests a Pipe Transaction
The Open identifying the named pipe on which to issue the operation.
An input buffer.
A maximum output buffer response size, in bytes.
operation.

sequence number received from Connection.SequenceWindow.
The CtlCode field is set to FSCTL_PIPE_TRANSCEIVE.
SMB2 header.
The InputCount field is set to the size, in bytes, of the application-provided input buffer.
The input buffer that is received from the application is copied into the request at InputOffset
bytes from the beginning of the SMB2 header.
The MaxOutputResponse field is set to the maximum output buffer size that the application will
accept.
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3.2.4.20.5 Application Requests a Peek at Pipe Data
The Open identifying the named pipe on which to issue the operation.
The number of bytes to peek at in the pipe buffer.
operation.

The CtlCode field is set to FSCTL_PIPE_PEEK.
The MaxOutputResponse field is set to the number of bytes that the client requires to peek at.
3.2.4.20.6 Application Requests a Pass-Through Operation
An SMB2 server MAY<106> support pass-through operation requests.
The Open identifying a file or named pipe on which to issue the operation.
An input buffer.
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An output buffer.
A maximum input buffer response size, in bytes.
A maximum output buffer response size, in bytes.
An operation code.
A Boolean indicating whether the operation is an FSCTL or an IOCTL.
to this open, as specified in section 3.2.4.4. If the reconnect succeeds, the FSCTL or IOCTL MUST be
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the FSCTL or IOCTL
operation.

The CtlCode field is set to the operation code that is received from the application.
SMB2 header.
The InputCount field is set to the size, in bytes, of the application-provided input buffer.
The input buffer received from the application is copied into the request at InputOffset bytes
from the beginning of the SMB2 header.
The MaxInputResponse field is set to the maximum input buffer response size, in bytes, that
the application will accept.
The MaxOutputResponse field is set to the maximum output buffer response size, in bytes,
that the application will accept.
If the operation is an FSCTL, SMB2_0_IOCTL_IS_FSCTL in the Flags field is set to TRUE.
Otherwise, it is set to FALSE.
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3.2.4.20.7 Application Requests Content Information for a File
An application can request Content Information from the server that contains a set of hashes that
can be used by the application to retrieve the contents of a specific file using the branch cache, as
specified in [MS-PCCRC]. This request is only valid for the SMB 2.1 dialect. To retrieve the Content
Information, the application MUST provide the following:
The HashType, as specified in section 2.2.31.2.
The HashVersion, as specified in section 2.2.31.2.
The HashRetrievalType, as specified in section 2.2.31.2.
The Open identifying the remote file with which the Content Information is associated.
The maximum number of bytes to get from the associated Content Information data structure.
The offset into the Content Information data structure, if the structure is being retrieved across
multiple requests, in bytes.
If Open.Connection.Dialect is not equal to "2.100", the client MUST fail the application request
with STATUS_NOT_SUPPORTED.
operation.
If Open.Connection is not NULL, the client MUST format a SMB2 IOCTL Request following the

number is available, the client MUST wait for one to become available. The client sets the
MessageId to the sequence number that is received from the Connection.SequenceWindow.
The CtlCode field is set to FSCTL_SRV_READ_HASH.
SMB2 header.
The InputCount is set to the size, in bytes, of the SRV_READ_HASH request structure that is
constructed following the syntax specified in section 2.2.31.2 with the client input parameters as
follows:
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The client initializes a SRV_READ_HASH request structure following the syntax specified in
section 2.2.31.2 using the application provided hash type, hash version, hash retrieval type,
length and offset, in bytes.
The SRV_READ_HASH request structure is copied into the request at InputOffset bytes from the
The MaxOutputResponse field is set to the maximum number of bytes that the application
expects to retrieve.
The SMB2_0_IOCTL_IS_FSCTL in the Flags field is set to TRUE.
The request MUST be sent to the server, and the response from the server MUST be handled as
The status of the response MUST be returned to the application.
3.2.4.20.8 Application Requests Resiliency on an Open File
The application MUST provide the following:
The Open identifying the file to on which to request resiliency.
The time-out for which the server must hold the handle open on behalf of the client after a
network disconnection, in milliseconds.
If Open.ResilientHandle is TRUE, an error MUST be returned to the application.
to this open, as specified in section 3.2.4.4. If it fails, the error code MUST be returned to the
application.
If the negotiated dialect (as given by Open.Connection.Dialect) is not 2.10 or higher, an error
MUST be returned to the application.
The client MUST set Open.ResilientTimeout to the application supplied time-out.
A sequence number is allocated from the Connection.SequenceWindow (see section

3.2.4.1.6). If no sequence number is available, it MUST wait for one to become available. The
client sets the MessageId to the allocated sequence number.
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The CtlCode field MUST be set to FSCTL_LMR_REQUEST_RESILIENCY.
The FileId field MUST be set to Open.FileId.
The InputOffset field MUST be set to the offset to the Buffer[], in bytes, from the beginning of
the SMB2 header.
The InputCount field MUST be set to the size, in bytes, of the NETWORK_RESILIENCY_REQUEST
structure specified in section 2.2.31.3
A NETWORK_RESILIENCY_REQUEST structure MUST be appended to the request at InputOffset

bytes from the beginning of the SMB2 header. The Timeout field of the
NETWORK_RESILIENCY_REQUEST structure MUST be set to the time-out (in milliseconds)
provided by the application.
The OutputCount field MUST be set to 0.
The MaxInputResponse field MUST be set to 0.
The MaxOutputResponse field MUST be set to 0.
SMB2_0_IOCTL_IS_FSCTL in the Flags field MUST be set to TRUE.
3.2.4.21 Application Requests Unlocking of an Array of Byte Ranges
The Open identifying a file.
An array of byte ranges to unlock. For each range, the application provides:
A starting offset, in bytes.
A length, in bytes.
to this open as specified in section 3.2.4.4. If the reconnect succeeds, the unlock MUST be retried. If
If Open.Connection is NULL, and Open.Durable is FALSE, the client MUST fail the unlock
operation.
If Open.Connection is not NULL, the client initializes an SMB2 LOCK Request following the syntax
The Command field is set to SMB2 LOCK.

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The SMB2 LOCK Request MUST be initialized as follows:
The LockCount field is set to the number of byte ranges being unlocked.
For each range being unlocked, the client creates an SMB2_LOCK_ELEMENT structure and places
it in the Locks[] array of the request, setting the following values:
The offset is set to the offset of the range being unlocked.
The length is set to the length of the range to be unlocked.
The client sets SMB2_LOCKFLAG_UNLOCK to TRUE in the Flags field.
If Open.ResilientHandle is TRUE, the client MUST do the following:
The client MUST scan through Open.OperationBuckets and find an element with its Free field
set to TRUE. If no such element could be found, an implementation-specific error MUST be
returned to the application.
Let the zero-based array index of the element chosen above be referred to as BucketIndex, and
let BucketNumber = BucketIndex + 1.
Set Open.OperationBuckets[BucketIndex].Free = FALSE
Let the SequenceNumber of the element chosen above be referred to as BucketSequence.
The LockSequence field of the SMB2 lock request MUST be set to (BucketNumber << 4) +
BucketSequence.
Increment the SequenceNumber of the element chosen above using MOD 16 arithmetic.
3.2.4.22 Application Requests Closing a Share Connection
TreeConnect - The SMB Tree Connection (TreeConnect), which identifies the share from which
to disconnect.
The client MUST enumerate all open files on TreeConnect.Session.Connection.OpenTable and

close those Opens where Open.TreeConnect matches the application supplied TreeConnect by
issuing an SMB2 CLOSE as specified in section 3.2.4.4.
Then the client MUST issue a disconnect request for each tree connect as follows:
The client initializes an SMB2 TREE_DISCONNECT Request following the syntax specified in section
2.2.11. The SMB2 header MUST be initialized as follows:
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The Command field is set to SMB2 TREE_DISCONNECT.

The SMB2 TREE_DISCONNECT Request MUST be initialized to the default values, as specified in
2.2.11.
3.2.4.23 Application Requests Terminating an Authenticated Context
Session - The SMB Session (Session), which identifies the authenticated session to terminate.
The client MUST close all tree connects in the Session.TreeConnectTable, as specified in section
3.2.4.22.
The client initializes an SMB2 LOGOFF Request, following the syntax specified in section 2.2.7. The
The Command field is set to SMB2 LOGOFF.

The SessionId field is set to Session.SessionId.
The SMB2 LOGOFF Request MUST be initialized to the default values, as specified in 2.2.7.
3.2.4.24 Application Requests Canceling an Operation
The application indicates the operation that is to be canceled.
The client MUST locate the connection on which the request was sent and find the MessageId for
that request by locating it in Connection.OutstandingRequests.
The client initializes an SMB2 CANCEL Request following the syntax specified in section 2.2.30. The
The Command field MUST be set to SMB2 CANCEL.
The MessageId field is set to the identifier that is previously used for the request being
canceled. Because the same MessageId is reused, cancel requests MUST NOT consume a
sequence number.
If the command has returned an indication of an asynchronous response, the client sets
SMB2_FLAGS_ASYNC_COMMAND to TRUE in the Flags field and sets AsyncId to the
asynchronous identifier for the request.
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The SMB2 CANCEL Request MUST be initialized to the default values, as specified in 2.2.30.
There is no response to a cancel request. If the server has not processed the original request, it
MUST cancel that pending request.
3.2.4.25 Application Requests the Session Key for an Authenticated Context
Open - The Open identifying a file or named pipe established on the session for which the
session key is being queried.
The client MUST return the Open.TreeConnect.Session.SessionKey to the calling application.
The SMB 2 Protocol client is driven by a series of response messages that are sent by the server.
Processing for these messages is determined by the command in the SMB2 header of the response
and is detailed for each of the SMB2 response messages in the sections that follow.
3.2.5.1 Receiving Any Message
Unless specifically noted in a subsequent section, the following logic MUST be applied to any
response message that is received from the server by the client.
3.2.5.1.1 Finding the Application Request for This Response
The client MUST locate the request for which this response was sent in reply by locating the request
in Connection.OutstandingRequests using the MessageId field of the SMB2 header. If the
request is not found, the response MUST be discarded as invalid.
If the MessageId is 0xFFFFFFFFFFFFFFFF, this is not a reply to a previous request, and the client
MUST NOT attempt to locate the request, but instead process it as follows:
If the command field in the SMB2 header is SMB2 OPLOCK_BREAK, it MUST be processed as
specified in 3.2.5.19. Otherwise, the response MUST be discarded as invalid.
3.2.5.1.2 Verifying the Signature
If MessageId is 0xFFFFFFFFFFFFFFFF, no verification is necessary.
If the SMB2 header of the response has SMB2_FLAGS_SIGNED set in the Flags field, the client
MUST verify the signature as follows:
The client MUST look up the session in the Connection.SessionTable using the SessionId in the
SMB2 header of the response. If the session is not found, the response MUST be discarded as
invalid.
If the session is found, the client MUST verify the signature of the message as specified in section
3.1.5.1, using Session.SessionKey as the session key, and passing the response message.
If signature verification fails, the client MUST discard the received message and do no further
processing for it. The client MAY also choose to disconnect the connection. If signature verification
succeeds, the client MUST continue processing the packet, as specified in subsequent sections.
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If the SMB2 header of the response does not have SMB2_FLAGS_SIGNED set in the Flags field, the
client MUST determine if the server failed to sign a packet that required signing. If the message is
an interim response or an SMB2 OPLOCK_BREAK notification, signing validation MUST NOT occur.
Otherwise, the client MUST look up the session in the Connection.SessionTable using the
SessionId in the SMB2 header of the response. If the session is found, the Session.ShouldSign is
equal to TRUE, the message is not an interim response, and the message is not an SMB2
OPLOCK_BREAK notification, the client MUST discard the received message and do no further
processing for it. The client MAY also choose to disconnect the connection. If there is no SessionId,
if the session is not found, or if Session.ShouldSign is FALSE, the client continues processing on
the packet, as specified in subsequent sections.<110>
3.2.5.1.3 Granting Message Credits
If CreditResponse is greater than 0, the client MUST insert the newly granted credits into the
Connection.SequenceWindow. For each credit that is granted, the client MUST insert the next
highest value into the sequence window, as specified in section 3.2.4.1.6. The client MUST then
signal any requests that were waiting for available message identifiers to continue processing.
3.2.5.1.4 Handling Asynchronous Responses
If SMB2_FLAGS_ASYNC_COMMAND is set in the Flags field of the SMB2 header of the response and
the Status field in the SMB2 header is STATUS_PENDING, the client MUST mark the request in
Connection.OutstandingRequests as being handled asynchronously and store the new AsyncId
of the request. Processing of this response is now complete.
If SMB2_FLAGS_ASYNC_COMMAND is set in the Flags field of the SMB2 header and Status is not
STATUS_PENDING, this is a response to an asynchronous request and processing MUST continue as
specified below.
3.2.5.1.5 Handling Session Expiration
If the Status field in the SMB2 header is STATUS_NETWORK_SESSION_EXPIRED, the client MUST
attempt to reauthenticate the session that is identified by the SessionId in the SMB2 header, as
specified in section 3.2.4.2.3. If the reauthentication attempt succeeds, the client MUST retry the
request that failed with STATUS_NETWORK_SESSION_EXPIRED. If the reauthentication attempt
fails, the client MUST fail the operation and terminate the session, as specified in section 3.2.4.23.
3.2.5.1.6 Handling Incorrectly Formatted Responses
If the client receives a response that does not conform to the structures specified in 2, the client
MUST discard the response and fail the corresponding application request with an error indicating
that an invalid network response was received. The client MAY<111> also disconnect the
connection.
3.2.5.1.7 Processing the Response
The client MUST process the response based on the Command field of the SMB2 header of the
response. When the processing is completed, the corresponding request MUST be removed from
Connection.OutstandingRequests.
If the command that is received is not a valid command, or if the server returned a command that
did not match the command of the request, the client SHOULD<112> fail the application request
with an implementation-specific error that indicates an invalid network response was received.
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3.2.5.1.8 Handling Compounded Responses
A client detects that a server sent a compounded response (multiple responses chained together
into a single network send) by checking if the NextCommand in the SMB2 header of the response
is not equal to 0. The client MUST handle compounded responses by separating them into individual
responses.
For a series of responses compounded together, each response MUST be processed in order as an
individual message with a size, in bytes, as determined by the NextCommand field in the SMB2
header. The final response in the compounded response chain will have NextCommand equal to 0,
and it MUST be processed as an individual message of a size equal to the number of bytes
remaining in this receive.
3.2.5.2 Receiving an SMB2 NEGOTIATE Response
If the Status field in the SMB2 header of the response is not STATUS_SUCCESS, the client MUST
return the error code to the calling application.
If the SecurityMode field in the SMB2 header of the response does not have the
SMB2_NEGOTIATE_SIGNING_ENABLED bit set, the client MUST return
STATUS_INVALID_NETWORK_RESPONSE.
If the SecurityMode field in the SMB2 header of the response has the
SMB2_NEGOTIATE_SIGNING_ENABLED bit set, the client MUST store the received
MaxTransactSize in Connection.MaxTransactSize, the received MaxReadSize in
Connection.MaxReadSize, the received MaxWriteSize in Connection.MaxWriteSize, and the
received ServerGuid in Connection.ServerGuid.<113> The client MUST store the received
security buffer described by SecurityBufferOffset and SecurityBufferLength into
Connection.GSSNegotiateToken.
If the SecurityMode field in the SMB2 header of the response has the
SMB2_NEGOTIATE_SIGNING_REQUIRED bit set, the client MUST set Connection.RequireSigning
to TRUE.
If the DialectRevision in the SMB2 NEGOTIATE Response is 0x02FF, the client MUST issue a new
SMB2 NEGOTIATE request as described in section 3.2.4.2.2.2. Otherwise, the client MUST proceed
as follows.
If the client supports SMB 2.1, the client MUST perform the following:
The client MUST store the returned dialect in Connection.Dialect.
If the Flags field of the SMB2 NEGOTIATE include SMB2_GLOBAL_CAP_LEASING, the client MUST
set Connection.SupportsLeasing to TRUE. If the flag is not set, it MUST set
Connection.SupportsLeasing to FALSE.
The client MUST continue processing, as specified in section 3.2.4.2.3.
3.2.5.3 Receiving an SMB2 SESSION_SETUP Response
The client MUST attempt to locate a session in Connection.SessionTable using the SessionId in
the SMB2 header of the SMB2 SESSION_SETUP Response. If a session is not located, this response
MUST be handled as a new authentication attempt. If a session is located, this response MUST be
handled as a reauthentication attempt.
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3.2.5.3.1 Handling a New Authentication
If the Status field in the SMB2 header of the response is not STATUS_SUCCESS and is not
STATUS_MORE_PROCESSING_REQUIRED, the client MUST return the error code to the calling
application that initiated the authentication request and processing is complete.
Otherwise, the client MUST process the GSS token received in the SMB2 SESSION_SETUP Response
following the SMB2 header, described by SecurityBufferOffset and SecurityBufferLength. The
client MUST use the configured GSS authentication protocol as specified in [MS-SPNG] section 3.3.5
and [RFC4178] section 3.2 to obtain the next GSS output token for the authentication exchange.
Based on the result from the GSS authentication protocol, one of the following actions will be taken:
If the GSS protocol indicates an error, the error MUST be returned to the calling application that
initiated the authentication request and processing is complete.
If the GSS protocol returns success, and the Status code of the SMB2 header of the response was
STATUS_SUCCESS, authentication is complete. The client MUST allocate a session object and place
it in the Connection.SessionTable. The session MUST be initialized as follows:
Session.SessionId MUST be set to the SessionId in the SMB2 header of the response.
Session.TreeConnectTable MUST be set to an empty table.
Session.UserCredentials MUST be set to the OS-specific entity that identifies the credentials
that were used to authenticate to the server.
Session.SessionKey MUST be set as described in section 3.2.1.3 using the value queried from
the GSS protocol. For information about how this is calculated for Kerberos authentication via
Generic Security Service Application Programming Interface (GSS-API), see [MS-KILE] section
3.1.1.2. For information about how this is calculated for NTLM authentication via GSS-API, see
[MS-NLMP] section 3.1.5.1.
Session.Connection MUST be set to the connection on which this authentication attempt was
issued.
If the global setting RequireMessageSigning is set to TRUE or Connection.RequireSigning is

set to TRUE then Session.ShouldSign MUST be set to TRUE, otherwise Session.ShouldSign
MUST be set to FALSE.
If the SMB2_SESSION_FLAG_IS_NULL bit is set in the SessionFlags field of the SMB2
SESSION_SETUP Response, Session.ShouldSign MUST be set to FALSE.
If the SMB2_SESSION_FLAG_IS_GUEST bit is set in the SessionFlags field of the SMB2
SESSION_SETUP Response AND if Session.ShouldSign is TRUE, this indicates a
SESSION_SETUP failure and the connection MUST be terminated.
The client MUST return success to the calling application that initiated the authentication request,
and processing is complete.
If the GSS protocol returns success and the Status code of the SMB2 header of the response was
STATUS_MORE_PROCESSING_REQUIRED, the client MUST send a subsequent session setup request
to continue the authentication attempt. The client MUST construct an SMB2 SESSION_SETUP
Request by following the syntax specified in section 2.2.5. The SMB2 header MUST be initialized as
follows:
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The client MUST remove a sequence number from the Connection.SequenceWindow. If no
sequence number is available, it MUST wait for one to become available. The client MUST set the
MessageId field to the sequence number received from Connection.SequenceWindow.
The client MUST set the SessionId field in the SMB2 header of the new request to the
SessionId received in the SMB2 header of the response.


The client MUST set the VcNumber field to 0.
If the client supports the Distributed File System (DFS), the client MUST set the
SMB2_GLOBAL_CAP_DFS bit in the Capabilities field. For more information about DFS, see
[MSDFS].
The client MUST copy the GSS output token into the response. The client MUST set
SecurityBufferOffset and SecurityBufferLength to describe the GSS output token.
3.2.5.3.2 Handling a Reauthentication
If the Status field in the SMB2 header of the response is not STATUS_SUCCESS and is not
STATUS_MORE_PROCESSING_REQUIRED, the client MUST return the error code to the calling
application that initiated the reauthentication request and processing is complete.
Otherwise, the client MUST process the Generic Security Service (GSS) token that is received in the
SMB2 SESSION_SETUP response following the SMB2 header, described by SecurityBufferOffset
and SecurityBufferLength. The client MUST use the configured GSS authentication protocol, as
specified in [MS-SPNG] section 3.3.5 and [RFC4178] section 3.2, to obtain the next GSS output
token for the authentication exchange. Based on the result from the GSS authentication protocol,
one of the following actions will be taken:
If the GSS protocol indicates an error, the error MUST be returned to the calling application that
initiated the reauthentication request and processing is complete.
STATUS_SUCCESS, reauthentication is complete. The client MUST return success to the calling
application that initiated the reauthentication request.
STATUS_MORE_PROCESSING_REQUIRED, the client MUST send a subsequent session setup request
to continue the reauthentication attempt. The client MUST construct an SMB2 SESSION_SETUP
request following the syntax specified in section 2.2.5. The SMB2 header MUST be initialized as
follows:
The client MUST remove a sequence number from Connection.SequenceWindow. If no

sequence number is available, it MUST wait for one to become available. The client MUST set the
MessageId field to the sequence number that is received from Connection.SequenceWindow.
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The client MUST set the SessionId field in the SMB2 header of the new request to the
SessionId received in the SMB2 header of the response.
The client MUST NOT regenerate Session.SessionKey.
The SMB2 SESSION_SETUP request MUST be initialized as follows:


The client MUST set the VcNumber field to 0.
If the client supports the Distributed File System (DFS), the client MUST set the
SMB2_GLOBAL_CAP_DFS bit in the Capabilities field. For more information about DFS, see
[MSDFS].
The client MUST copy the GSS output token into the response. The client MUST set
SecurityBufferOffset and SecurityBufferLength to describe the GSS output token.
3.2.5.4 Receiving an SMB2 LOGOFF Response
The client MUST locate the session in Connection.SessionTable using the SessionId in the SMB2
header of the response. The associated session object MUST be removed from
Connection.SessionTable and freed. The client MUST return success to the application that
requested the authenticated context termination.
3.2.5.5 Receiving an SMB2 TREE_CONNECT Response
If the Status field of the SMB2 header of the response indicates an error, the client MUST return the
received status code to the calling application.
If the Status field of the SMB2 header of the response indicates success, the client MUST locate the
session in the Connection.SessionTable using the SessionId in the SMB2 header of the response.
The client MUST allocate a tree connect object and insert it into the Session.TreeConnectTable.
The tree connect is initialized as follows:
The TreeConnect.TreeConnectId MUST be set to the TreeId that is received in the SMB2
header of the response.
The TreeConnect.MaximalAccess MUST be set to the MaximalAccess received in the SMB2

TREE_CONNECT Response following the SMB2 header.
The TreeConnect.Session MUST be set to the session that is looked up using SessionId from
the SMB2 header of the response.
The TreeConnect.IsDFSShare MUST be set to TRUE, If the SHI1005_FLAGS_DFS bit is set in

the ShareFlags field of the response.
The client MUST return success to the application that initiated the connection to the share.
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3.2.5.6 Receiving an SMB2 TREE_DISCONNECT Response
The client MUST locate the session in the Connection.SessionTable using the SessionId in the
SMB2 header of the response. It MUST locate the tree connect in the Session.TreeConnectTable
using the TreeId in the SMB2 header of the response. The associated tree connect object MUST be
removed from the Session.TreeConnectTable and freed. The client MUST return success to the
application that requested the share connection termination.
3.2.5.7 Receiving an SMB2 CREATE Response for a New Create Operation
received status code to the calling application that initiated the open of a file or named pipe.
The client MUST locate the corresponding request in Connection.OutstandingRequests using the
MessageId field of the SMB2 header. If the request is for a new create operation, then the
processing MUST continue as specified below.
The client MUST locate a tree connect in the Session.TreeConnectTable using the TreeId in the
SMB2 header of the response. The client MUST allocate an open object and initialize it as follows:
Open.File MUST be initialized to the SMB2 File created or looked up in section 3.2.4.3.
Open.FileId MUST be set to the FileId that is received in the SMB2 CREATE Response following
the SMB2 header.
Open.TreeConnect MUST be set to the tree connect that was looked up in the
Session.TreeConnectTable.
Open.Connection MUST be set to the connection on which the response was received.
Open.OplockLevel MUST be set to the OplockLevel in the SMB2 CREATE Response.
Open.Durable MUST be set to FALSE.
Open.ResilientHandle MUST be set to FALSE.
Open.MaximalAccess MUST be set to 0.
Open.FileName MUST be initialized in accordance with the search index of GlobalFileTable

specified in section 3.2.5.7.3, as a concatenation of the server name, share name and share-
relative file name, as specified in section 3.2.1.1.
Open.OperationBuckets MUST be initialized as follows:
Open.OperationBuckets[x].Free = TRUE for all x = 0 through 63;

Open.OperationBuckets[x].SequenceNumber = 0 for all x = 0 through 63.
If the response includes response create contexts following the syntax specified in section 2.2.14.2,
the processing described in subsequent subsections MUST be handled if the specified create context
is present in the response.
The client MUST insert the open into the Connection.OpenTable. If the client implements the SMB
2.1 dialect and Connection.SupportsLeasing is TRUE, the client MUST locate the file
corresponding to Open.FileName in the GlobalFileTable and insert the open into
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File.OpenTable. The client MUST return the newly constructed Open to the application that
initiated the create operation.
3.2.5.7.1 SMB2_CREATE_DURABLE_HANDLE_RESPONSE Create Context
If the SMB2_CREATE_DURABLE_HANDLE_RESPONSE context is present, the client MUST set

Open.Durable to TRUE. If the SMB2_CREATE_DURABLE_HANDLE_REQUEST context is not present,
the client MUST set Open.Durable to FALSE.
3.2.5.7.2 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE Create Context
If the SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE context is present, and QueryStatus

in the SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPONSE context is STATUS_SUCCESS, the
client MUST set Open.MaximalAccess to the MaximalAccess received in the context.
3.2.5.7.3 SMB2_CREATE_RESPONSE_LEASE Create Context
If the client implements the SMB 2.1 dialect and an SMB2_CREATE_RESPONSE_LEASE create
context is present in the SMB2_CREATE response returned from the server, it MUST do the
following:
If Connection.SupportsLeasing is FALSE, the client MUST fail the create request from the
application.
The client MUST locate the file corresponding to Open.FileName in the GlobalFileTable and
copy the LeaseState in the response to File.LeaseState.
3.2.5.8 Receiving an SMB2 CREATE Response for an Open Reestablishment
received status code to the calling application that initiated the open of a file or named pipe.
The client MUST locate the corresponding request in Connection.OutstandingRequests using the
MessageId field of the SMB2 header. If the request is for an open reestablishment, then the
processing MUST continue as specified below using the Open associated with this request in section
3.2.4.4.
The client MUST locate a tree connect in the Session.TreeConnectTable using the TreeId in the
SMB2 header of the response. The following fields MUST be reinitialized:
Open.FileId MUST be set to the FileId received in the SMB2 CREATE Response following the
SMB2 header.
Open.TreeConnect MUST be set to the tree connect that was looked up in the
Session.TreeConnectTable.
Open.Connection MUST be set to the connection on which the response was received.
The client MUST insert the open into the Connection.OpenTable and File.OpenTable. The client
MUST return success to the application that initiated the open reestablishment operation.
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3.2.5.9 Receiving an SMB2 CLOSE Response
If the Status field of the SMB2 header of the response indicates an error, then the client MUST
return the received status code to the calling application.
The client MUST locate the Open in the Connection.OpenTable using the FileId in the SMB2
header of the response.
If the client implements the SMB 2.1 dialect and Connection.SupportsLeasing is TRUE, the client
MUST locate the File in the GlobalFileTable by looking up Open.FileName. The client MUST
delete the Open from the File.OpenTable. If all opens in File.OpenTable are deleted, then the
entry for this File MUST be deleted from the GlobalFileTable, and the File object MUST be freed.
The open object MUST be removed from the Connection.OpenTable and freed.
The client MUST return success to the application that requested that the file or named pipe be
closed.
3.2.5.10 Receiving an SMB2 FLUSH Response
The client MUST return the received status code in the Status field of the SMB2 header of the
response to the application that issued the request to flush data on the file or named pipe.
3.2.5.11 Receiving an SMB2 READ Response
If the Status field of the SMB2 header of the response indicates success, the client MUST copy the
received information in the SMB2 READ Response following the SMB2 header described by
DataOffset and DataLength into the buffer that is provided by the calling application. The client
MUST return success and DataLength to the application.
3.2.5.12 Receiving an SMB2 WRITE Response
response to the application that issued the request to write data to the file or named pipe. The client
MUST also return the Count value from the SMB2 WRITE Response following the SMB2 header,
indicating how many bytes were written.
3.2.5.13 Receiving an SMB2 LOCK Response
The client MUST look up the corresponding request by looking up

Connection.OutstandingRequests using the MessageId from the SMB2 header. The client MUST
then locate the corresponding Open on which the application issued the request. If
Open.ResilientHandle is TRUE, then the client MUST do the following:
1. From the LockSequence field in the SMB2 lock or SMB2 unlock request (constructed in sections
3.2.4.19 and 3.2.4.21) that was looked up as described in the previous paragraph, compute
BucketNumber = (LockSequence >> 4)

BucketIndex = BucketNumber - 1
2. Set Open.OperationBuckets[BucketIndex].Free = TRUE;
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response to the application that issued the request to lock or unlock ranges on the file.
3.2.5.14 Receiving an SMB2 IOCTL Response
If the OutputCount field in an SMB2 IOCTL Response is 0, the OutputOffset field SHOULD<114>
be ignored by the client.
IOCTL-specific processing is specified in the following sections.
3.2.5.14.1 Handling an Enumeration of Previous Versions Response
received information in the SMB2 IOCTL Response following the SMB2 header described by
OutputOffset and OutputCount into the buffer that is provided by the calling application for
receiving the response output buffer. The client MUST return success and OutputCount to the
application.
3.2.5.14.2 Handling a Server-Side Data Copy Source File Key Response
received information in the SMB2 IOCTL Response following the SMB2 header described by
receiving the response output buffer. The client MUST return success and OutputCount to the
application.
3.2.5.14.3 Handling a Server-Side Data Copy Response
If the status code is STATUS_INVALID_PARAMETER and the StructureSize of the response

indicates that the server has provided an SRV_COPYCHUNK_RESPONSE, the client MUST return a
result of STATUS_INVALID_PARAMETER to the application and SHOULD also return the values in
the accompanying SRV_COPYCHUNK_RESPONSE that indicate the maximum limits the server
supports for server side copy operations.
Otherwise, if the Status field of the SMB2 header of the response indicates an error, the client
MUST return the received status code to the calling application, ignoring any accompanying
SRV_COPYCHUNK_RESPONSE.
received information in the SMB2 IOCTL Response following the SMB2 header that is described by
receiving the response output buffer. The client MUST return success and the OutputCount to the
application.
3.2.5.14.4 Handling a DFS Referral Information Response
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application.
3.2.5.14.5 Handling a Pipe Transaction Response
the OutputOffset and OutputCount into the buffer that is provided by the calling application for
receiving the response output buffer. The client MUST ignore the InputOffset and InputCount.
The client MUST return success and the OutputCount to the application.
3.2.5.14.6 Handling a Peek at Pipe Data Response
application.
3.2.5.14.7 Handling a Content Information Retrieval Response
receiving the response output buffer. The client MUST ignore the InputOffset and InputCount.
The client MUST return success and the OutputCount to the application.
3.2.5.14.8 Handling a Pass-Through Operation Response
the InputOffset and InputLength into the buffer that is provided by the calling application for
receiving the response input buffer. The client MUST copy the received information in the SMB2
IOCTL Response following the SMB2 header that is described by the OutputOffset and
OutputCount into the buffer that is provided by the calling application for receiving the response
output buffer. The client MUST return success, the InputLength, and the OutputCount to the
application.
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3.2.5.14.9 Handling a Resiliency Response
If the Status field of the SMB2 header of the response indicates success, the client MUST perform
the following steps:
1. The client SHOULD<115> setup periodic probing of the connection to detect an unresponsive or
dead server or a broken TCP connection.
2. The client MUST set Open.ResilientHandle and Open.Durable to TRUE.
3. The status of the operation MUST be returned to the application.
3.2.5.15 Receiving an SMB2 QUERY_DIRECTORY Response
received information in the SMB2 QUERY_DIRECTORY Response following the SMB2 header that is
described by the OutputBufferOffset and OutputBufferLength into the buffer that is provided by
the calling application. The client MUST return success and the OutputBufferLength to the
application.
3.2.5.16 Receiving an SMB2 CHANGE_NOTIFY Response
received information in the SMB2 CHANGE_NOTIFY Response following the SMB2 header that is
application.
3.2.5.17 Receiving an SMB2 QUERY_INFO Response
received status code to the calling application. If the error code is either
STATUS_BUFFER_TOO_SMALL or STATUS_INFO_LENGTH_MISMATCH and the SMB2 ERROR
Response following the SMB2 header has a ByteCount of 4, the client MUST also return the 4-byte
error data to the calling application. This error data indicates the size, in bytes, that is required to
successfully query the information.
received information in the SMB2 QUERY_INFO Response following the SMB2 header that is
application.
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3.2.5.18 Receiving an SMB2 SET_INFO Response
response to the application that issued the request to set information on the file, underlying object
store, or named pipe. This applies for requests to set file information, underlying object store
information, quota information, and security information.
3.2.5.19 Receiving an SMB2 OPLOCK_BREAK Notification
If the MessageId field of the SMB2 header of the response is 0xFFFFFFFFFFFFFFFF, this MUST be
processed as an oplock break indication. Otherwise, the client MUST process it as a response to an
oplock break acknowledgment.
If the client implements the SMB 2.1 dialect and Connection.SupportsLeasing is TRUE, the client
MUST use the StructureSize member in the SMB2 OPLOCK_BREAK notification to differentiate
between an oplock break notification and a lease break notification as described in 2.2.25.
3.2.5.19.1 Receiving an Oplock Break Notification
The client MUST locate the open in the Connection.OpenTable using the FileId in the Oplock
Break Notification following the SMB2 header. If the open is not found, the oplock break indication
MUST be discarded, and no further processing is required.
If the open is found, the client MUST take action based on the Open.OplockLevel and the new
OplockLevel that is received in the Oplock Break Notification.
If the Open.OplockLevel is SMB2_OPLOCK_LEVEL_NONE, no action is required, and no further

processing is required.
If the Open.OplockLevel is SMB2_OPLOCK_LEVEL_II, and the OplockLevel is

SMB2_OPLOCK_LEVEL_NONE, the client MUST set Open.OplockLevel to
SMB2_OPLOCK_LEVEL_NONE.
If the Open.OplockLevel is SMB2_OPLOCK_LEVEL_BATCH, and the OplockLevel is

SMB2_OPLOCK_LEVEL_NONE, the client MUST set Open.OplockLevel to
SMB2_OPLOCK_LEVEL_NONE. The client MUST flush any writes or byte range locks that it has
cached locally to the server. When that is complete, the client MUST send an oplock break
acknowledgment, as specified in the following sections.
If the Open.OplockLevel is SMB2_OPLOCK_LEVEL_BATCH, and the OplockLevel is

SMB2_OPLOCK_LEVEL_II, the client MUST set Open.OplockLevel to SMB2_OPLOCK_LEVEL_II. The
client MUST flush any writes or byte range locks that it has cached locally to the server. When that
is complete, the client MUST send an oplock break acknowledgment, specified as follows.
The client MAY<116> choose to request and support SMB2_OPLOCK_LEVEL_EXCLUSIVE. If it does,

the break operation would match those specified above for SMB2_OPLOCK_LEVEL_BATCH. It MUST
NOT break from batch to exclusive.
If the client is required to send an oplock break acknowledgment, it MUST construct a request
following the syntax that is specified in section 2.2.24.1. The SMB2 header is initialized as follows:
Command MUST be set to SMB2 OPLOCK_BREAK.

sequence number is available, it MUST wait for one to become available. The client MUST set
MessageId to the sequence number that is received from Connection.SequenceWindow.
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The client MUST set SessionId to Open.TreeConnect.Session.SessionId.
The client MUST set TreeId to Open.TreeConnect.TreeConnectId.
The Oplock Break Acknowledgment request is initialized as follows:
The FileId MUST be set to Open.FileId.
The OplockLevel MUST be set to Open.OplockLevel.
3.2.5.19.2 Receiving a Lease Break Notification
If Connection.SupportsLeasing is TRUE, the client MUST perform the following:
The client MUST locate the file in the GlobalFileTable using the LeaseKey in the Lease Break
Notification. If a file is not found, no further processing is required.
If a File entry is located, the client MUST take action based on the File.LeaseState and the new
LeaseState that is received in the Lease Break Notification.
If File.LeaseState includes SMB2_LEASE_WRITE_CACHING and the new LeaseState does not
include SMB2_LEASE_WRITE_CACHING, the client MUST flush any cached data associated with
this file by issuing one or more SMB2 WRITE requests as described in 3.2.4.7. It MUST also flush
out any cached byte-range locks it has on the file by enumerating the File.OpenTable and for
each open, send the cached byte-range locks by issuing SMB2 LOCK requests as described in
3.2.4.19.
If File.LeaseState includes SMB2_LEASE_READ_CACHING and the new LeaseState does not
include SMB2_LEASE_READ_CACHING, the client MUST purge any cached data.
If File.LeaseState includes SMB2_LEASE_HANDLE_CACHING and the new LeaseState does not
include SMB2_LEASE_HANDLE_CACHING, the client MUST enumerate all handles in
File.OpenTable and close any cached handles that have already been closed by the application.
The close process is described in 3.2.4.5.
The new LeaseState granted by the server in the Lease Break Notification MUST be copied to
File.LeaseState.
If a lease acknowledgment is required by the server as indicated by the

SMB2_NOTIFY_BREAK_LEASE_FLAG_ACK_REQUIRED bit in the Flags field of the Lease Break
Notification, the client MUST send a Lease Break Acknowledgment request described as follows.
If all open handles on this file are closed (that is, File.OpenTable is empty for this file), the
client SHOULD consider it as an implicit acknowledgment of the lease break. No explicit
acknowledgment is required.
The client MUST construct a Lease Break Acknowledgment request following the syntax
specified in 2.2.24.2. The LeaseKey in the request MUST be set to File.LeaseKey and the
LeaseState in the request MUST be set to File.LeaseState.
The client MUST choose an Open from among the remaining opens in File.OpenTable and it
MUST be used to send the acknowledgment to the server.
The SMB2 header is initialized as follows:
Command MUST be set to SMB2 OPLOCK_BREAK.
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sequence number is available, the client MUST wait for one to become available. The client MUST
set MessageId to the sequence number that is received from Connection.SequenceWindow.
The client MUST set SessionId to Open.TreeConnect.Session.SessionId.
The client MUST set TreeId to Open.TreeConnect.TreeConnectId.
The request MUST be sent to the server via the connection identified above.
3.2.5.19.3 Receiving an Oplock Break Acknowledgment Response
No processing is required for this response.
3.2.5.19.4 Receiving a Lease Break Acknowledgment Response
No processing is required for this response.
3.2.6 Timer Events
3.2.6.1 Request Expiration Timer Event
When the Request Expiration timer expires, the client MUST walk all connections in the
ConnectionTable. For each connection, the client MUST walk the outstanding requests in
Connection.OutstandingRequests.
The client MAY<117> choose any time-out it requires based on local policy, the type of request, and
network characteristics.
Clients MAY<118> choose to extend the time-out if the server returns STATUS_PENDING, which
indicates that the operation is being processed asynchronously and may take a long time to
complete, as specified in section 3.2.5.1.4.
If a request has exceeded its time-out interval, the client MUST process the request as if it received
a failure response from the server and the client SHOULD<119> return an implementation-specific
error to the calling application.
The client MAY<120> choose to disconnect the connection as well.
3.2.6.2 Idle Connection Timer Event
When the Idle Connection timer expires, the client MUST walk all connections in the
ConnectionTable. For any connection in which the Connection.OpenTable is empty and no
operations have been performed within the default time-out, the client MAY<121> choose to
disconnect the connection.
3.2.7.1 Handling a Network Disconnect
When the underlying transport indicates a disconnect, the client MUST walk all opens in the
Connection.OpenTable. For each open, if Open.Durable is not TRUE, the open MUST be removed
from the Connection.OpenTable and freed.
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If Open.Durable is TRUE, the open MUST be removed from the Connection.OpenTable, the
Open.Connection MUST be set to NULL, and the Open.TreeConnect MUST be set to NULL.
The client MUST then walk all the sessions in the Connection.SessionTable. For each session, the
client MUST walk all tree connects in the Session.TreeConnectTable. Each tree connect in the
table MUST be freed. Then the session MUST be freed.
Finally, the connection MUST be removed from the ConnectionTable and freed.
If Open.ResilientHandle is TRUE for any of the opens enumerated above, the client MUST perform
the following steps for each of the opens which are resilient:
1. The client MUST capture the current system time at which the disconnect occurred.
2. The client MUST attempt to reestablish the durable open as specified in section 3.2.4.4.
3. If the reestablishment fails with a network error, the client MUST retry the reestablishment of the
open for at least Open.ResilientTimeout milliseconds after the captured disconnect time,
before giving up.
4. If the reestablishment of the durable handle fails, Open.Durable MUST be set to FALSE,
Open.ResilientHandle MUST be set to FALSE, the open MUST be removed from
Connection.OpenTable and the open MUST be freed.
3.3 Server Details
This document specifies a conceptual model of possible data organization that an implementation
maintains to participate in this protocol. The described organization is provided to explain how the
protocol behaves. This document does not mandate that implementations adhere to this model as
long as their external behavior is consistent with what is described in this document.
This document assumes the SMB 2 Protocol server is a combination of a server and one or more
underlying object store(s). However, an implementation may subdivide the server into whatever
functional blocks it chooses, including combining them into a single block.
3.3.1.1 Algorithm for Handling Available Message Sequence Numbers by the

Server
The server MUST implement an algorithm to manage message sequence numbers. Sequence
numbers are used to associate requests with responses, and to determine what requests are allowed
for processing. The algorithm MUST meet the following conditions:
When an SMB2 transport connection is first established, the allowable sequence numbers that
comprise the valid command window for received messages on that connection MUST be the set
{ 0 }.
After a sequence number is received, its value MUST never be allowed to be received again.
(After the sequence number 0 is received, no other request that uses the sequence number 0
shall be processed.) If the 64-bit sequence wraps, the connection MUST be terminated.
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As credits are granted as specified in section 3.3.1.2, the acceptable sequence numbers MUST
progress in a monotonically increasing manner. For example, if the set consists of { 0 }, and 3
credits are granted, the valid command window set MUST grow to { 0, 1, 2, 3 }.
The server MUST allow requests to be received out of sequence. For example, if the valid
command window set is { 0, 1, 2, 3 }, it is valid to receive a request with sequence number 2
before receiving a request with sequence number 0.
The server MAY limit the maximum range of the acceptable sequence numbers. For example, if
the valid command window set is { 0, 1, 2, 3, 4, 5 }, and the server receives requests for 1, 2,
3, 4, and 5, it MAY<122> choose to not grant more credits and keep the valid command window
set at { 0 } until the sequence number 0 is received.
The server MUST consume one sequence number for any request except CANCEL command; if
server implements SMB 2.1, it MAY consume more than one sequence number based on request
data payload see section 3.3.5.2.4.
For the client side of this algorithm, see section 3.2.4.1.6.
3.3.1.2 Algorithm for the Granting of Credits
The server MUST implement an algorithm for granting credits to the client. Each credit provides the
client the capability to send a request to the server. Multiple credits allow for multiple simultaneous
requests. The algorithm MUST meet the following conditions:
The number of credits granted to the client MUST be considered as 1 when the connection is
established.
The server MUST ensure that the number of credits granted to the client is never reduced to
zero. If the condition occurs, there is no way for the client to send subsequent requests for more
credits.<123>
The server MAY<124> grant any number of credits up to that which the client requests, or more
if required by the preceding rule.
The server MAY<125> vary the number of credits granted to different clients based on quality of
service features, such as identity, behavior, or administrator configuration.
3.3.1.3 Algorithm for Change Notifications in an Object Store
The server MUST implement an algorithm that monitors for changes on an object store. The effect of
this algorithm MUST be identical to that used to offer the behavior specified in [MS-CIFS] sections
3.2.4.38 and 3.3.5.57.5. The algorithm MUST meet the following conditions:
If a change notification request is pending on a directory AND a change occurs to the directory
contents matching the events to be monitored as specified in CompletionFilter, the server
MUST copy the results into the buffer of the Change Notification response. The server MAY
choose to aggregate one or more changes indicated by the underlying object store into a single
response. The server MUST construct a SMB2 CHANGE_NOTIFY Response as specified in section
2.2.36. The server MUST then return the results to the client.
The server SHOULD try to fit in the maximum number of events that match the
CompletionFilter of the request before completing the request.
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If a client issues multiple change notification requests on the same open to a directory, the
server MUST queue the requests and complete them on a First In, First Out (FIFO) basis when
changes are indicated by the underlying object store.
If the client requested that an entire tree be watched, the server MUST monitor all objects
beneath the directory on which the operation was issued, instead of simply the immediate
children of that directory.
Change notification information that is returned to the user MUST conform to the syntax specified
in section 2.2.36.1.
3.3.1.4 Algorithm for Leasing in an Object Store
If the server implements SMB 2.1 and supports leasing, the underlying object store MUST
implement an algorithm that permits multiple opens to the same object to share lease state (for
valid lease states, see section 3.3.1.12). The algorithm MUST meet the following conditions:
The algorithm MUST permit a create request from the server to the underlying object store to be
accompanied by a global identifier that indicates the unique context for this lease, which will be
referred to as the ClientID. The ClientID consists of a ClientGuid combined with a LeaseKey.
The algorithm MUST allow multiple opens to an object that specifies the same ClientId. These
opens MUST NOT alter the lease state on an object.
The algorithm MUST permit three different caching capabilities within a lease: READ, WRITE, and
HANDLE, with the following semantics:
READ caching permits the SMB client to cache data read from the object. If one of the
following operations occurs, the object store MUST request that the server revoke READ
caching. The object store is not required to wait for acknowledgment:
The file is opened in a manner that overwrites the existing file.
Data is written to the file.
The file size is changed.
A byte range lock is requested for the file.
WRITE caching permits the SMB client to cache writes and byte-range locks on an object. If
one of the following operations is about to occur, the underlying object store MUST request
that the server revoke WRITE caching, and the object store MUST wait for acknowledgment
from the server before proceeding with the operation:
The file is opened by a local application or via another protocol, or opened via SMB 2
without providing the same ClientId, and requested access includes any flags other than
FILE_READ_ATTRIBUTES, FILE_WRITE_ATTRIBUTES, and SYNCHRONIZE.
HANDLE caching permits one or more SMB clients to delay closing handles it holds open, or to
defer sending opens. If one of the following operations is about to occur, the underlying object
store MUST request that the server revoke HANDLE caching, and the object store MUST wait
for acknowledgment before proceeding with the operation:
A file is being opened by a local application, via another protocol, or opened via SMB 2
without providing the same ClientId, and this open will fail with SHARING_VIOLATION due
to the existing opens that hold the lease.
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The file is being renamed or deleted by an open with a different ClientId than that which
the lease was acquired.
The parent directory is being renamed.
The underlying object store SHOULD request the server revoke multiple lease state flags at the
same time if an operation results in the loss of several caching flags.
The algorithm SHOULD support the following combinations of caching flags: No caching, Read
Caching, Read + Write Caching, Read + Handle Caching, Read + Write + Handle Caching.
The algorithm MAY<126> support other combinations of caching flags.
The algorithm MUST allow a client to flow one or more creates with the same ClientId to the
underlying object store during a lease break without blocking the create until the
acknowledgment of the lease break is received.
The algorithm SHOULD allow additional lease state flags on subsequent opens from the same
ClientID to permit upgrading the lease state. The algorithm MUST NOT allow the client to release
lease state flags on subsequent opens from the same ClientID to downgrade the lease state.
If the requested lease state is not a superset of the existing lease state flags for this ClientID,
then the requested lease state SHOULD be interpreted as the union of the existing lease state
and the requested lease state.
When the underlying object store requests that the server issue a lease break, it MUST also
provide a new lease state for the server to pass to the client as part of the lease break packet,
based on the local operations that caused the lease break to occur.
3.3.1.5 Global Structures
The server implements the following:
ShareList: A list of available shares for the system. The structure of a share is as specified in
section 3.3.1.6 and is uniquely indexed by the share name.
GlobalOpenTable: A table containing all the files opened by remote clients on the server,
indexed by Open.DurableFileId. The structure of an open is as specified in section 3.3.1.10.
The table MUST support enumeration of all entries in the table.
GlobalSessionTable: A list of all the active sessions established to this server, indexed by the
Session.SessionId. The server MUST also be able to search the list by security principal, and
the list MUST allow for multiple sessions with the same security principal on different
connections.
ConnectionList: A list of all open connections on the server, indexed by the connection endpoint
addresses.
ServerGuid: A global identifier for this server.
ServerStartTime: The start time of the SMB2 server, in FILETIME format as specified in [MS-
DTYP] section 2.3.1.
IsDfsCapable: A Boolean that, if set, indicates that the server supports the Distributed File
System.
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ServerSideCopyMaxNumberofChunks: The maximum number of chunks the server will accept
in a server side copy operation.
ServerSideCopyMaxChunkSize: The maximum number of bytes the server will accept in a

single chunk for a server side copy operation.
ServerSideCopyMaxDataSize: The maximum total number of bytes the server will accept for a
server side copy operation.
If the server implements SMB 2.1, it MUST implement the following:
ServerHashLevel: A state that indicates the caching level configured on the server. It takes any
of the following three values:
HashEnableAll: Indicates that caching is enabled for all shares on the server.
HashDisableAll: Indicates that caching is disabled for all shares on the server.
HashEnableShare: Indicates that caching is enabled or disabled on a per-share basis.
If the server implements SMB 2.1 and supports leasing, it MUST implement the following:
GlobalLeaseTableList: A list of all the lease tables as described in 3.3.1.11, indexed by the
ClientGuid.
MaxResiliencyTimeout: The maximum resiliency time-out in milliseconds, for the TimeOut

field of NETWORK_RESILIENCY_REQUEST Request as specified in section 2.2.31.3.
3.3.1.6 Per Share Structures
Share.Name: A name for the shared resource on this server.
Share.ServerName: A local server name to which a shared resource attaches.
Share.LocalPath: A path that describes the local resource that is being shared. This MUST be a
store that either provides named pipe functionality, or that offers storage and/or retrieval of files.
In the case of the latter, it MAY<127> be a device that accepts a file and then processes it in
some format, such as a printer.
Share.ConnectSecurity: An authorization policy such as an access control list that describes

which users are allowed to connect to this share.
Share.FileSecurity: An authorization policy such as an access control list that describes what
actions users that connect to this share are allowed to perform on the shared resource.<128>
Share.CscFlags: The configured offline caching policy for this share. This value MUST be manual
caching, automatic caching of files, automatic caching of files and programs, or no offline
caching. For more information, see section 2.2.10. For more information about offline caching,
see [OFFLINE].
Share.IsDfs: A Boolean that, if set, indicates that this share is configured for DFS. For more
information, see [MSDFS].
Share.DoAccessBasedDirectoryEnumeration: A Boolean that, if set, indicates that the results

of directory enumerations on this share MUST be trimmed to include only the files and directories
that the calling user has the right to access.
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Share.AllowNamespaceCaching: A Boolean that, if set, indicates that clients are allowed to
cache directory enumeration results for better performance.
Share.ForceSharedDelete: A Boolean that, if set, indicates that all opens on this share MUST
include FILE_SHARE_DELETE in the sharing access.
Share.RestrictExclusiveOpens: A Boolean that, if set, indicates that users who request read-
only access to a file are not allowed to deny other readers.
Share.Type: The value indicates the type of share. It MUST be one of the values that are listed
in [MS-SRVS] section 2.2.2.4.
Share.Remark: A pointer to a null-terminated Unicode UTF-16 string that specifies an optional

comment about the shared resource.
Share.MaxUses: The value indicates the maximum number of concurrent connections that the
shared resource can accommodate.
Share.CurrentUses: The value indicates the number of current trees connected to the shared
resource.
Share.ForceLevel2Oplock: A Boolean that, if set, indicates that the server does not issue
exclusive caching rights on this share.
Share.HashEnabled: A Boolean that, if set, indicates that the share supports hash generation
for branch cache retrieval of data.
3.3.1.7 Per Transport Connection Structures
Connection.CommandSequenceWindow: A list of the sequence numbers that are valid to

receive from the client at this time. For more information, see section 3.3.1.1.
Connection.RequestList: A list of all client requests being processed. Each request MUST
include a Boolean value that indicates whether it is being handled asynchronously.
Connection.ClientCapabilities: The capabilities of the client of this connection in a form that

MUST follow the syntax as specified in section 2.2.5.
Connection.NegotiateDialect: A numeric value representing the current state of dialect

negotiation between the client and server on this transport connection.
Connection.AsyncCommandList: A list of client requests being handled asynchronously. Each

request MUST have been assigned an AsyncId.
Connection.Dialect: The dialect of SMB2 negotiated with the client. This value MUST be either
"2.002", "2.100", or "Unknown".
Connection.ShouldSign: A Boolean that, if set, indicates that all sessions on this connection
MUST have signing enabled.
Connection.ClientName: A null-terminated Unicode UTF-16IP address string, or NetBIOS host

name of the client machine.
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Connection.ClientGuid: An identifier for the client machine.
3.3.1.8 Per Session Structures
Session.SessionId: A numeric value that is used as an index in GlobalSessionTable, and

(transformed into a 64-bit number) is sent to clients as the SessionId in the SMB2 header.
Session.State: The current activity state of this session. This value MUST be either InProgress,
Valid, or Expired.
Session.SecurityContext: The security context of the user that authenticated this session (see
security context (1), defined in [MS-GLOS]). This value MUST be in a form that allows for
evaluating security descriptors within the server, as well as being passed to the underlying object
store to handle security evaluation that may happen there.
Session.SessionKey: The first 16 bytes of the cryptographic key for this authenticated context. If
the cryptographic key is less than 16 bytes, it is right-padded with zero bytes.
Session.ShouldSign: A Boolean that, if set, indicates that this session MUST sign
communication if signing is enabled on this connection.
Session.OpenTable: A table of opens of files or named pipes, as specified in section 3.3.1.10,

that have been opened by this authenticated session and indexed by Open.FileId. The server
MUST support enumeration of all entries in the table.
Session.TreeConnectTable: A table of tree connects that have been established by this

authenticated session to shares on this server, indexed by TreeConnect.TreeId. The server
MUST allow enumeration of all entries in the table.
Session.ExpirationTime: A value that specifies the time after which the client must
reauthenticate with the server.
Session.Connection: The connection on which this session was established (see also sections
3.3.5.5.1 and 3.3.4.5).
Session.SessionGlobalId: A numeric 32-bit value obtained via registration with [MS-SRVS], as

Session.CreationTime: The time the session was established.
Session.IdleTime: The time the session processed its most recent request.
Session.UserName: The name of the user who established the session.
3.3.1.9 Per Tree Connect Structures
TreeConnect.TreeId: A numeric value that uniquely identifies a tree connect within the scope of
the session over which it was established. This value is represented as a 32-bit TreeId in the
SMB2 header.
TreeConnect.Session: A pointer to the authenticated session that established this tree connect.
TreeConnect.Share: A pointer to the share that this tree connect was established for.
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TreeConnect.OpenCount: A numeric value that indicates the number of files that are currently
opened on TreeConnect.
TreeConnect.TreeGlobalId: A numeric value obtained via registration with [MS-SRVS], as

TreeConnect.CreationTime: The time tree connect was established.
3.3.1.10 Per Open Structures
Open.FileId: A numeric value that uniquely identifies the open handle to a file or a pipe within
the scope of a session over which the handle was opened. This value is the volatile portion of the
identifier. A 64-bit representation of this value, combined with Open.DurableFileId as described
below, combine to form the SMB2_FILEID described in section 2.2.14.1.
Open.FileGlobalId: A numeric value obtained via registration with [MS-SRVS], as specified in

section 3.1.6.4.
Open.DurableFileId: A numeric value that uniquely identifies the open handle to a file or a pipe
within the scope of all opens granted by the server, as described by the GlobalOpenTable. A
64-bit representation of this value combined with Open.FileId, as described above, form the
SMB2_FILEID described in section 2.2.14.1. This value is the persistent portion of the identifier.
Open.Session: A reference to the authenticated session, as specified in section 3.3.1.8, over

which this open was performed. If the file is not attached to a session at this time, its value
MUST be NULL.
Open.TreeConnect: A reference to the TreeConnect, as specified in section 3.3.1.9, over

which the open was performed. If the file is not attached to a TreeConnect at this time, its
value MUST be NULL.
Open.Connection: A reference to the connection, as specified in section 3.3.1.7, that created

this open. If the file is not attached to a connection at this time, this value MUST be NULL.
Open.LocalOpen: An open of a file or named pipe in the underlying local resource that is used
to perform the local operations, such as reading or writing, to the underlying object. For named
pipes, Open.LocalOpen is shared between the SMB server and RPC server applications which
serve RPC requests on a given named pipe. The higher level interfaces described in sections
3.3.4.5 and 3.3.4.11 require this shared ADM element.
Open.GrantedAccess: The access granted on this open, as defined in section 2.2.13.1.
Open.OplockLevel: The current oplock level for this open. This value MUST be one of the
OplockLevel values defined in section 2.2.14: SMB2_OPLOCK_LEVEL_NONE,
SMB2_OPLOCK_LEVEL_II, SMB2_OPLOCK_LEVEL_EXCLUSIVE, SMB2_OPLOCK_LEVEL_BATCH, or
OPLOCK_LEVEL_LEASE.
Open.OplockState: The current oplock state of the file. This value MUST be Held, Breaking, or
None.
Open.OplockTimeout: The time value that indicates when an oplock that is breaking and has
not received an acknowledgment from the client will be acknowledged by the server.
Open.IsDurable: A Boolean that indicates whether this open has requested durable operation.
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Open.DurableOpenTimeout: A time value that indicates when a handle that has been
preserved for durability will be closed by the system if a client has not reclaimed it.
Open.DurableOwner: A security descriptor that holds the original opener of the file. This allows
the server to determine if a caller that is trying to reestablish a durable open is allowed to do so.
If the server implements SMB 2.1 and supports resiliency, this value is also used to enforce
security during resilient open reestablishment.
Open.EnumerationLocation: For directories, this value indicates the current location in a

directory enumeration and allows for the continuing of an enumeration across multiple requests.
For files, this value is unused.
Open.EnumerationSearchPattern: For directories, this value holds the search pattern that is
used in directory enumeration and allows for the continuing of an enumeration across multiple
requests. For files, this value is unused.
Open.CurrentEaIndex: For extended attribute information, this value indicates the current
location in an extended attribute information list and allows for the continuing of an enumeration
across multiple requests.
Open.CurrentQuotaIndex: For quota queries, this value indicates the current index in the
quota information list and allows for the continuation of an enumeration across multiple requests.
Open.LockCount: A numeric value that indicates the number of locks that are held by current
open.
Open.PathName: A variable-length string that contains the Unicode path name that the open is
performed on.
If the server implements SMB 2.1 and supports leasing, it MUST implement the following:
Open.Lease: The lease associated with this open, as defined in 3.3.1.11. This value MUST point
to a valid lease, or be set to NULL.
Open.IsResilient: A Boolean that indicates whether this open has requested resilient operation.
Open.ResiliencyTimeout: A time-out value that indicates how long the server will hold the file
open after a disconnect before releasing the open.
Open.ResilientOpenTimeout: A time value that indicates when a handle that has been
preserved for resiliency will be closed by the system if a client has not reclaimed it.
Open.LockSequenceArray[]: An array of lock sequence entries (each of size 1 byte) that have
been successfully processed by the server for resilient opens. The size of this array is
implementation-dependent.<129>
3.3.1.11 Per Lease Table Structures
If the server implements SMB 2.1 and supports leasing, it implements the following:
LeaseTable.ClientGuid: A global identifier to associate which connections MUST use this

LeaseTable.
LeaseTable.LeaseList: A list of lease structures, as defined in section 3.3.1.12, indexed by

LeaseKey.
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3.3.1.12 Per Lease Structures
If the server implements SMB 2.1 and supports leasing, it implements the following:
Lease.LeaseKey: A global identifier for this lease.
Lease.Filename: The name of the file backing this lease.
Lease.LeaseState: The current state of the lease as indicated by the underlying object store.
This value MUST be a combination of the flags described in section 2.2.13.2.8 for "LeaseState".
For the remainder of section 3.3, these will be referred to as follows:
Abbreviated
Lease State Name
0 NONE
SMB2_LEASE_READ_CACHING R
SMB2_LEASE_READ_CACHING | SMB2_LEASE_WRITE_CACHING RW
SMB2_LEASE_READ_CACHING | SMB2_LEASE_HANDLE_CACHING RH
SMB2_LEASE_READ_CACHING | SMB2_LEASE_WRITE_CACHING | RWH

SMB2_LEASE_HANDLE_CACHING
Lease.BreakToLeaseState: The state to which the lease is breaking. This value MUST be a
combination of the flags described in section 2.2.13.2.8 for "LeaseState". For the remainder of
section 3.3, these will be referred to as described in the table above.
Lease.LeaseBreakTimeout: The time value that indicates when a lease that is breaking and
has not received a Lease Break Acknowledgment from the client will be acknowledged by the
server to the underlying object store.
Lease.LeaseOpens: The list of opens associated with this lease.
Lease.Breaking: A Boolean that indicates if a lease break is in progress.
3.3.2 Timers
3.3.2.1 Oplock Break Acknowledgment Timer
This timer controls the amount of time the server waits for an oplock break acknowledgment from
the client (as specified in section 2.2.24) after sending an oplock break notification (as specified in
section 2.2.23) to the client. The server MUST wait for an interval of time greater than or equal to
the oplock break acknowledgment timer. This timer MUST be smaller than the client Request
Expiration time, as specified in section 3.2.6.1.<130> If the server implements SMB 2.1, this timer
MUST also be used to control the time a server waits for a Lease Break Acknowledgment from the
client (as specified in section 2.2.24.2).
3.3.2.2 Durable Open Scavenger Timer
This timer controls the amount of time the server keeps a durable handle active after the underlying
transport connection to the client is lost.<131> The server MUST keep the durable handle active for
at least this amount of time, except in the case where the underlying object store indicates an
oplock break for this file. In this case the server MAY tear down the durable open. The server MAY
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also tear down a durable handle based on administrative action or resource constraints before the
timer expires.
3.3.2.3 Session Expiration Timer
This timer controls the periodic scheduling of searching for sessions that have passed their
expiration time. The server SHOULD<132> schedule this timer such that sessions are expired in a
timely manner.
3.3.2.4 Resilient Open Scavenger Timer
This timer controls the amount of time the server keeps a resilient handle active after the underlying
transport connection to the client is lost. This value is not a constant but set based on the time-out
requested by the client as specified in section 3.3.5.15.9. The server MUST keep the resilient handle
active for that amount of time with the following exception:
The server MAY tear down a resilient handle based on administrative action or resource
constraints before the timer expires.
The server MUST establish a listening TCP endpoint on port number 445 as specified in [MS-SMB]
section 2.1. The server MAY<133> also listen on the NetBIOS transport as specified in [MS-CIFS]
section 2.1.1.
The server MUST implement the following:
GlobalOpenTable MUST be set to an empty table.
GlobalSessionTable MUST be set to an empty table.
ServerGuid MUST be set to a newly generated GUID.
ConnectionList MUST be set to an empty list.
ServerStartTime MUST be set to the time at which the SMB2 server was started.
IsDfsCapable MUST be set to FALSE.
ServerSideCopyMaxNumberofChunks MUST be set to an implementation-specific<134>

default value.
ServerSideCopyMaxChunkSize MUST be set to an implementation-specific<135> default

value.
ServerSideCopyMaxDataSize MUST be set to an implementation-specific<136> default value.
The ShareList MUST be populated based on server configuration. The values are retrieved from
a persistent configuration store, and for each entry, a share MUST be created and inserted into
the list. The information retrieved from the configuration MUST include:
Share.Name is set to the Unicode name. The share name MUST be no longer than 80
characters (not including the terminating null character) and MUST NOT contain any invalid
characters, as specified in [MS-FSCC] section 2.1.6.
Share.LocalPath MUST correctly specify a local resource on the server computer, such as a
underlying object store volume or a subdirectory on that volume.
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Share.ServerName is set to the Unicode name provided in the configuration store. If it is not
provided, it MUST be set to "*".
Share.ConnectSecurity MUST be set to the security descriptor provided in the configuration

store. If one is not provided, it MUST be set to a descriptor that allows all users.
Share.FileSecurity MUST be set to the security descriptor provided in the configuration

store. If one is not provided, it MUST be set to a descriptor that allows all users.
Share.CscFlags MUST be set to the value provided in the configuration store. If one is not
provided, it MUST be set to manual caching.
Share.IsDfs MUST be set to the value provided in the configuration store. If one is not
provided, it MUST be set to FALSE.
Share.DoAccessBasedDirectoryEnumeration MUST be set to the value provided in the

configuration store. If one is not provided, it MUST be set to FALSE.
Share.AllowNamespaceCaching MUST be set to the value provided in the configuration

store. If one is not provided, it MUST be set to FALSE.
Share.ForceSharedDelete MUST be set to the value provided in the configuration store. If

one is not provided, it MUST be set to FALSE.
Share.RestrictExclusiveOpens MUST be set to the value provided in the configuration

store. If one is not provided, it MUST be set to FALSE.
Share.Type MUST be set to the value provided in the configuration store. If one is not
provided, it MUST be set to 0.
Share.Remark MUST be set to the value provided in the configuration store. If one is not
provided, it MUST an empty string.
Share.MaxUses MUST be set to the value provided in the configuration store. If one is not
provided, it MUST be set to 0xFFFFFFFF.
Share.CurrentUses MUST be set to 0.
Share.ForceLevel2Oplock MUST be set to the value provided in the configuration store. If

one is not provided, it MUST be set to FALSE.
If the server implements SMB 2.1, it MUST initialize the following:
Share.HashEnabled MUST be set to the value provided in the configuration store. If one is
not provided, it MUST be set to FALSE.
If the server implements SMB 2.1, it MUST initialize the following:
ServerHashLevel MUST be set to an implementation-specific<137> default value.
If the server implements SMB 2.1 and supports leasing, the server MUST implement the following:
GlobalLeaseTableList MUST be set to an empty list.
MaxResiliencyTimeout SHOULD<138> be set to an implementation-specific default value.
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The SMB 2 Protocol server is driven by a series of higher-layer triggered events in the following
categories:
Indications of buffering state changes on local opens (oplock breaks or lease breaks).
Requests for the session key of authenticated sessions.
Required actions for sending any outgoing message.
The following sections provide details on the above events.
3.3.4.1 Sending Any Outgoing Message
Unless specifically noted in a subsequent section, the following logic MUST be applied to any
response message being sent from the server to the client.
3.3.4.1.1 Signing the Message
If the message is a response to a message that contained a nonzero SessionId in the SMB2
header field, and either the session identified by that SessionId in GlobalSessionTable has
Session.ShouldSign equal to TRUE or the request was signed by the client, and the response is
neither an error response nor an interim response to an asynchronously processed request, then it
MUST be signed as specified below.
If the response is an SMB2 OPLOCK_BREAK or an interim response to an asynchronously processed

request, then the response SHOULD<139> be signed.
Otherwise, the message MUST NOT be signed.
If signing is required, the server MUST sign the response as specified in section 3.1.4.1. The server
provides the Session.SessionKey, the length of the response, and the response itself, and
calculates the signature as described.
3.3.4.1.2 Granting Credits to the Client
As described in section 3.3.1.1, the server maintains a list of message identifiers available for
incoming requests. The total number of available message identifiers can change dynamically as the
system runs, with the server granting credits based on some local policy.
Based on the CreditRequest specified in the SMB2 header of a client request, the server MUST
determine how many credits it will grant the client on each request by using a vendor-specific
algorithm as specified in section 3.3.1.2. The server MUST then place the number of credits granted
in the CreditResponse field in the SMB2 header of the response.
To maintain the same number of credits already granted, the server returns a value of credit
number consumed by this command. To reduce the number of credits granted, the server returns a
value of 0, which implies that the credit consumed by this command is not returned to the client. To
increase the number of credits granted, the server returns a value greater than credit number
consumed by this command. The server consumes one credit for any request except CANCEL
command. If the server implements SMB 2.1, it MAY consume more than one credit, as specified in
section 3.3.5.2.4.
For an asynchronously processed request, any credits to be granted MUST be granted in the interim
response, as specified in section 3.3.4.2.<140>
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3.3.4.1.3 Sending Compounded Responses
The server MAY<141> compound responses to the client.
To compound responses, the server MUST set the NextCommand in the first response to the
offset, in bytes, from the beginning of the SMB2 header of the first response to the beginning of the
8-byte aligned SMB2 header in the subsequent response. This process MUST be done for each
response except the final response in the chain, whose NextCommand MUST be set to 0. The
server MAY<142> grant credits separately on each request in the compounded chain. Then the
entire response chain MUST be sent to the client as a single submission to the underlying transport.
Then the entire response chain MUST be sent to the client as a single submission to the underlying
transport.
3.3.4.2 Sending an Interim Response for an Asynchronous Operation
The server MAY<143> choose to send an interim response for any request that is received. It
SHOULD<144> send an interim response for any request that could potentially block for an
indefinite amount of time (such as pipe operations, directory change notifications, blocking byte-
range-lock operations, and creates blocked by an oplock break). If an operation would require
asynchronous processing but resources are constrained, the server MAY<145> choose to fail that
operation with STATUS_INSUFFICIENT_RESOURCES.
An interim response indicates to the client that the request has been received and a full response
will come later. As noted in section 3.3.4.1.1, it is not mandatory for the server to sign an interim
response.
To send an interim response for a request, the server MUST generate an asynchronous identifier for
it
The identifier MUST be an 8-byte value.
The identifier MUST be unique for all outstanding asynchronous requests on a specified SMB2
transport connection.
The identifier MUST remain valid until the final response for the request is sent.
The identifier MUST NOT be reused until the final response is sent.
The server MUST insert the request in Connection.AsyncCommandList.
The server MUST construct a response packet for the request. The SMB2 header of the response
MUST be identical to that in the request with the following changes:
It MUST set the Status field in the SMB2 header to STATUS_PENDING.
The NextCommand field MUST be set to 0. If this response is later combined with other
responses into a compounded response, as specified in section 3.3.4.1.3, this value will change
later. The server SHOULD<146> fail requests in a compound chain that try to go async
The server MUST set the SMB2_FLAGS_SERVER_TO_REDIR bit in the Flags field of the SMB2
header.
The server MUST set the SMB2_FLAGS_ASYNC_COMMAND bit in the Flags field of the SMB2
header.
It MUST set the AsyncId field of the SMB2 header to the value that was generated earlier.
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It MUST set the CreditResponse field to the number of credits the server chooses to grant for
this request, as specified in section 3.3.1.2.
It MUST append an SMB2 ERROR Response following the SMB2 header, as specified in section 2.2.2,
with a ByteCount of zero. It MUST locate the request in Connection.RequestList and set its state
to Asynchronous. This response MUST be sent to the client.
When the operation completes, the server MUST set the AsyncId field of the final response to the
identifier generated and returned to the client in the interim response. It MUST also set the
SMB2_FLAGS_ASYNC_COMMAND bit in the Flags field of the SMB2 header. The server MUST set
CreditResponse in the SMB2 header to 0, as credits were granted on the interim response. All
other fields of the final response MUST be identical to what is described for the individual operations.
The server MUST remove the request from Connection.AsyncCommandList.
3.3.4.3 Sending a Success Response
When the server responds with a success to any command sent by the client, the response message
MUST be constructed as specified in this section.
The server MUST fill in the SMB2 header of the success response to match the SMB2 header of the
request with the following changes:
The Status field of the SMB2 header MUST be set to the status code provided.
The NextCommand field MUST be set to zero. If this response is later combined with other
responses into a compounded response, as specified in section 3.3.4.1.3, this value will change.
The SMB2_FLAGS_SERVER_TO_REDIR bit MUST be set in the Flags field of the SMB2 header.
If the request was handled asynchronously, the server MUST set the AsyncId field to the
asynchronous identifier generated for this request, and set the SMB2_FLAGS_ASYNC_COMMAND
bit in the Flags field.
If the request was not handled asynchronously, the server MUST set the CreditResponse field
to the number of credits the server chooses to grant the request, as specified in section 3.3.1.2.
If the request was handled asynchronously, the server MUST set the CreditResponse field to 0.
Any other additional changes to the header will be made on a command-specific basis.
The information that follows the SMB2 header is command-specific, as specified in section 3.3.5.
This response MUST be sent to the client.
3.3.4.4 Sending an Error Response
When the server is responding with a failure to any command sent by the client, the response
message MUST be constructed as described here. An error code other than one of the following
indicates a failure:
STATUS_MORE_PROCESSING_REQUIRED in an SMB2 SESSION_SETUP Response specified in

section 2.2.6.
STATUS_BUFFER_OVERFLOW in an SMB2 QUERY_INFO Response specified in section 2.2.38.
STATUS_BUFFER_OVERFLOW in a FSCTL_PIPE_TRANSCEIVE, FSCTL_PIPE_PEEK or

FSCTL_DFS_GET_REFERRALS Response specified in section 2.2.32.<147>
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STATUS_BUFFER_OVERFLOW in an SMB2 READ Response on a named pipe specified in section
2.2.20.
Any status other than STATUS_SUCCESS in a FSCTL_SRV_COPYCHUNK or

FSCTL_SRV_COPYCHUNK_WRITE Response, when returning an SRV_COPYCHUNK_RESPONSE as
STATUS_NOTIFY_ENUM_DIR in an SMB2 CHANGE_NOTIFY Response specified in section 2.2.36.
The server MUST provide the error code of the failure and a data buffer to be returned with the
error. If nothing is specified, the buffer MUST be considered to be zero bytes in length.
The server MUST fill in the SMB2 header of the error response to match the SMB2 header of the
request with the following changes:
The Status field of the SMB2 header MUST be set to the error code provided.
The NextCommand field MUST be set to 0. If this response is later combined with other
responses into a compounded response, as specified in section 3.3.4.1.3, this value will change
later.
The SMB2_FLAGS_SERVER_TO_REDIR bit MUST be set in the Flags field of the SMB2 header.
If the request was handled asynchronously, the server MUST set the AsyncId field to the
asynchronous identifier generated for this request, and set the SMB2_FLAGS_ASYNC_COMMAND
bit in the Flags field.
If the request was not handled asynchronously, the server MUST set the CreditResponse field
to the number of credits the server chooses to grant the request, as specified in section 3.3.1.2.
If the request was handled asynchronously, the server MUST set the CreditResponse field to 0.
Following the SMB2 header MUST be an SMB2 ERROR Response structure, as specified in section
2.2.2. The ByteCount of this response MUST be set to the length of the buffer that is provided as
part of the error. If ByteCount is greater than zero, the server MUST place the data given in the
error buffer in the ErrorData array of the response. This response MUST then be sent to the client.
3.3.4.5 Server Application Requests Session Key of the Client
An application running on the server issues a query for a session key, specifying the LocalOpen to
a named pipe that has been opened by the SMB2 server on behalf of the remote client. The
application also provides a 16-byte buffer to receive the session key.
The server MUST cycle through the entries in the GlobalOpenTable and locate the Open for which
Open.LocalOpen matches the provided LocalOpen. If no Open is found, the request MUST be
failed with STATUS_OBJECT_NAME_NOT_FOUND.
If Open.Connection is NULL, the request MUST be failed with STATUS_NO_TOKEN.
If Open.TreeConnect.Share.Name is not equal to "IPC$" (indicating that the open is not a named
pipe), the request SHOULD be failed with STATUS_ACCESS_DENIED.
Otherwise, the server MUST return the 16-byte session key specified by
Open.TreeConnect.Session.SessionKey to the caller.
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3.3.4.6 Object Store Indicates an Oplock Break
The underlying object store on the local resource indicates the breaking of an opportunistic lock,
specifying the LocalOpen and the new oplock level, a status code of the oplock break, and
optionally expects the new oplock level in return. The new oplock level MUST be either
SMB2_OPLOCK_LEVEL_NONE or SMB2_OPLOCK_LEVEL_II. The conditions under which each oplock
level is to be indicated are described in [MS-FSA] section 3.1.5.17.3.
The server MUST locate the open by walking the GlobalOpenTable to find an entry whose
Open.LocalOpen matches the one provided in the oplock break. If no entry is found, the break
indication MUST be ignored and the server MUST complete the oplock break call with
SMB2_OPLOCK_LEVEL_NONE as the new oplock level.
If an entry is found, the server MUST check the state of Open.Connection. If Open.Connection is
NULL and the oplock level is not equal to SMB2_OPLOCK_LEVEL_BATCH, the server MUST remove
the Open from the GlobalOpenTable, close the Open.LocalOpen, and free the open. The server
MUST then complete the oplock break call with SMB2_OPLOCK_LEVEL_NONE as the new oplock
level.
If Open.Connection is not NULL, the server MUST construct an Oplock Break Notification following
the syntax specified in section 2.2.23.1 to send back to the client. The server MUST set the
Command in the SMB2 header to SMB2 OPLOCK_BREAK, the MessageId to 0xFFFFFFFFFFFFFFFF,
and SHOULD set the ProcessId to 0. The server MUST set the SessionId and TreeId in the SMB2
header to 0. The FileId field of the response structure MUST be set to the values from the Open
structure, with the volatile part set to Open.FileId and the persistent part set to
Open.DurableFileId. The oplock Level of the response MUST be set to the value provided by the
object store. The server MUST set Open.OplockState to Breaking and set Open.OplockTimeout
to the current time plus an implementation-specific default value in milliseconds.<148> This
response is sent to the client. This response MUST NOT be signed, as specified in section 3.3.4.1.1.
The server MUST start the oplock break acknowledgment timer as specified in section 3.3.2.1.
3.3.4.7 Object Store Indicates a Lease Break
The underlying object store indicates the breaking of a lease by specifying the ClientGuid, the
LeaseKey, and the new lease state. The actual lease state MUST either be NONE or a subset of the
flags of the suggested lease state.<149>
When the underlying object store indicates the lease break, the server MUST locate the Lease Table
by performing a lookup in GlobalLeaseTableList using the provided ClientGuid as the lookup key,
and then locate the Lease entry by performing a lookup in the LeaseTable.LeaseList using the
provided LeaseKey as the lookup key.
If no entry is found, the server MUST NOT generate a Lease Break Notification. Instead, the server
MUST complete the lease break call from the underlying object store with "NONE" as the new lease
state, and take no further action.
If a lease entry is found, the server MUST check the state of Open.Connection for all Opens in
Lease.LeaseOpens. If Open.Connection is NULL or if Lease.BreakToLeaseState does not
contain SMB2_LEASE_HANDLE_CACHING, the server MUST remove the Open from the
Lease.LeaseOpens list, remove the Open from the GlobalOpenTable, close the
Open.LocalOpen, and free the open.
If Lease.LeaseOpens is empty, the server MUST NOT generate a Lease Break Notification. Instead,
the server MUST complete the lease break call from the underlying object store with "NONE" as the
new lease state, set Lease.LeaseState to "NONE", and take no further action.
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If Lease.LeaseOpens is not empty, the server MUST construct a Lease Break Notification (section
2.2.23.2) message to send to the client. The server MUST set the Command in the SMB2 header to
SMB2 OPLOCK_BREAK, the MessageId to 0xFFFFFFFFFFFFFFFF, and SHOULD set the ProcessId to
0. The server MUST set the SessionId and TreeId in the SMB2 header to 0. The LeaseKey field
MUST be set to Lease.LeaseKey. Lease.LeaseState MUST be set to the new lease state indicated
by the object store. The server MUST set Open.OplockState to Breaking for all opens in
Lease.LeaseOpens. The server MUST set Lease.Breaking to TRUE, set
Lease.BreakToLeaseState to the lease state indicated by the object store, and set
Lease.LeaseBreakTimeout to the current time plus an implementation-specific default value in
milliseconds.<150> The server MUST set the Flags field of the message to
SMB2_NOTIFY_BREAK_LEASE_FLAG_ACK_REQUIRED, if Lease.BreakToLeaseState is not
SMB2_LEASE_NONE.
The SMB2 Lease Break Notification is sent to the client using the connection specified in
Open.Connection of the first Open in Lease.LeaseOpens. The message SHOULD NOT be signed.
The server MUST start the oplock break acknowledgment timer as specified in 3.3.2.1. If there was
an error in attempting to transmit the message to the client, the server MUST retry the send using
the connection specified in Open.Connection of the next open in Lease.LeaseOpens. If the server
fails to send transmit the message on any Open.Connection associated with this lease, the server
MUST complete the lease break call from the underlying object store with "NONE" as the new lease
state.
3.3.4.8 DFS Server Notifies SMB2 Server That DFS Is Active
In response to this event, the SMB2 server MUST set the global state variable IsDfsCapable to
TRUE. If the DFS server is running on this computer, it MUST notify the SMB2 server that the DFS
capability is available via this event.
3.3.4.9 DFS Server Notifies SMB2 Server That a Share Is a DFS Share
In response to this event, the SMB2 server MUST set the Share.IsDfs attribute of the share
specified in section 3.3.1.6. When a DFS server running on this computer claims a share as a DFS
share, it MUST notify the SMB2 server via this event.
3.3.4.10 DFS Server Notifies SMB2 Server That a Share Is Not a DFS Share
In response to this event, the SMB2 server MUST clear the Share.IsDfs attribute of the share
3.3.4.11 Server Application Requests Security Context of the Client
An application running on the server issues a query for the security context of a client, specifying
the LocalOpen to a named pipe that has been opened by the SMB2 server on behalf of the remote
client.
The server MUST cycle through the entries in the GlobalOpenTable and locate the Open for which
Open.LocalOpen matches the provided LocalOpen. If no Open is found, the request MUST be
failed with STATUS_OBJECT_NAME_NOT_FOUND.
If Open.Connection is NULL, the request MUST be failed with STATUS_NO_TOKEN.
If Open.TreeConnect.Share.Name is not equal to "IPC$" (indicating that the open is not a named
pipe), the request SHOULD be failed with STATUS_ACCESS_DENIED.
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If Open.TreeConnect.Session.SecurityContext is NULL, the request MUST be failed with
STATUS_NO_TOKEN.
Otherwise, the server MUST return Open.TreeConnect.Session.SecurityContext to the caller.
3.3.4.12 Server Application Requests Closing a Session
The calling application provides GlobalSessionId of the session to be closed. The server MUST look
up Session from the GlobalSessionTable where Session.SessionGlobalId is equal to
GlobalSessionId, and remove it from the table. If there is no matching session, the call MUST
return.
The server MUST deregister the session by invoking event as specified in [MS-SRVS] section
3.1.6.3, providing GlobalSessionId as the input parameter.
The server MUST close every Open in Session.OpenTable as specified in 3.3.4.15.
The server MUST disconnect every TreeConnect in Session.TreeConnectTable and deregister

TreeConnect by invoking event as specified in [MS-SRVS] section 3.1.6.7, providing
TreeConnect.TreeGlobalId as the input parameter.
The session MUST be torn down and freed.
3.3.4.13 Server Application Registers a Share
The calling application provides a share in SHARE_INFO_503_I structure as specified in [MS-SRVS]

section 2.2.4.27 to register a share. The server MUST create a new Share with the following value
set and insert it into ShareList.
Share.Name MUST be set to shi503_netname.
Share.Type MUST be set to shi503_type.
Share.Remark MUST be set to shi503_remark.
Share.LocalPath MUST be set to shi503_path.
Share.ServerName MUST be set to the shi503_servername.
Share.FileSecurity MUST be set to shi503_security_descriptor.
Share.MaxUses MUST be set to shi503_max_uses.
Share.CurrentUses MUST be set to 0.
Share.CscFlags MUST be set to 0.
Share.IsDfs MUST be set to FALSE.
Share.DoAccessBasedDirectoryEnumeration MUST be set to FALSE.
Share.AllowNamespaceCaching MUST be set to FALSE.
Share.ForceSharedDelete MUST be set to FALSE.
Share.RestrictExclusiveOpens MUST be set to FALSE.
Share. ForceLevel2Oplock MUST be set to FALSE.
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3.3.4.14 Server Application Updates a Share
The calling application provides a share in SHARE_INFO_503_I structure and SHARE_INFO_1005

structure as input parameters to update an existing Share. The server MUST look up the Share in
the ShareList through tuple < shi503_servername, shi503_netname>. If the matching Share is
found, the server MUST update the share with the following value set:
Share.FileSecurity MUST be set to shi503_security_descriptor.
Share.Remark MUST be set to shi503_remark.
Share.MaxUses MUST be set to shi503_max_uses.
Share.CscFlags MUST be set to the value of shi1005_flags masked by CSC_MASK as specified in

[MS-SRVS] section 2.2.4.29.
Share.IsDfs MUST be set to TRUE if shi1005_flags contains SHI1005_FLAGS_DFS or

SHI1005_FLAGS_DFS_ROOT as specified in [MS-SRVS] section 2.2.4.29; otherwise, it MUST be
set to FALSE.
Share.DoAccessBasedDirectoryEnumeration MUST be set to TRUE if shi1005_flags contains

SHI1005_FLAGS_ACCESS_BASED_DIRECTORY_ENUM bit as specified in [MS-SRVS] section
2.2.4.29; otherwise it MUST be set to FALSE.
Share.AllowNamespaceCaching MUST be set to True if shi1005_flags contains

SHI1005_FLAGS_ALLOW_NAMESPACE_CACHING bit as specified in [MS-SRVS] section 2.2.4.29;
otherwise it MUST be set to FALSE.
Share.ForceSharedDelete MUST be set to TRUE if shi1005_flags contains

SHI1005_FLAGS_FORCE_SHARED_DELETE bit as specified in [MS-SRVS] section 2.2.4.29;
Share.RestrictExclusiveOpens MUST be set to TRUE if shi1005_flags contains

SHI1005_FLAGS_RESTRICT_EXCLUSIVE_OPENS bit as specified in [MS-SRVS] section 2.2.4.29;
Share.HashEnabled MUST be set to TRUE if shi1005_flags contains

SHI1005_FLAGS_ENABLE_HASH bit as specified in [MS-SRVS] section 2.2.4.29; otherwise it
MUST be set to FALSE.
Share.ForceLevel2Oplock MUST be set to TRUE if shi1005_flags contains

SHI1005_FLAGS_FORCE_LEVELII_OPLOCK bit as specified in [MS-SRVS] section 2.2.4.29;
otherwise, it MUST be set to FALSE.
3.3.4.15 Server Application Deregisters a Share
The calling application provides tuple< ServerName, ShareName > of the share that is being
deregistered. The server MUST look up the share in ShareList and remove it from the list if the
share is found.
The server MUST close every Open in GlobalOpenTable where Open.TreeConnect.Share

matches the current share as specified in 3.3.4.17.
The server MUST enumerate every session in GlobalSessionTable and every tree connect in
Session.TreeConnectTable to free all tree connect objects where TreeConnect.Share matches
the current share.
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3.3.4.16 Server Application Requests Querying a Share
The calling application provides tuple <ServerName, ShareName> of the share that is being
queried. The server MUST look up the Share in ShareList. If the matching Share is found, the server
MUST return a share in SHARE_INFO_503_I structure and SHARE_INFO_1005 structure to the caller
with the following value set; otherwise the server MUST fail the request.
Output Parameters SMB2 Share Properties
SHARE_INFO_503_I.shi503_netname Share.Name
SHARE_INFO_503_I.shi503_type Share.Type
SHARE_INFO_503_I.shi503_remark Share.Remark
SHARE_INFO_503_I.shi503_permissions 0
SHARE_INFO_503_I.shi503_max_uses Share.MaxUses
SHARE_INFO_503_I.shi503_current_uses Share.CurrentUses
SHARE_INFO_503_I.shi503_path Share.LocalPath
SHARE_INFO_503_I.shi503_passwd Emputy string
SHARE_INFO_503_I.shi503_servername Share.ServerName
SHARE_INFO_503_I.shi503_security_descriptor Share.FileSecurity
SHARE_INFO_1005.shi1005_flags ShareFlags MUST be set based on the individual share

properties:
 The server MUST set all flags contained in

Share.CscFlags.
 The server MUST set the SHI1005_FLAG_DFS bit if

the per-share property Share.IsDfs is TRUE.
 The server MUST set the

SHI1005_FLAGS_DFS_ROOT bit if the share is a DFS
root.

SHI1005_FLAGS_ACCESS_BASED_DIRECTORY_ENU
M bit if
Share.DoAccessBasedDirectoryEnumeration is
TRUE.

SHI1005_FLAGS_ALLOW_NAMESPACE_CACHING bit
if Share.AllowNamespaceCaching is TRUE.

SHI1005_FLAGS_FORCE_SHARED_DELETE bit if
Share.ForceSharedDelete is TRUE.

SHI1005_FLAGS_RESTRICT_EXCLUSIVE_OPENS bit
if Share.RestrictExclusiveOpens is TRUE.
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Output Parameters SMB2 Share Properties
SHI1005_FLAGS_FORCE_LEVELII_OPLOCK bit if
Share.ForceLevel2Oplock is TRUE.
3.3.4.17 Server Application Requests Closing an Open
The calling application provides GlobalFileId as input parameter. The server MUST look up Open in
GlobalOpenTable where Open.FileGlobalId is equal to GlobalFileId, and remove it from the
table if the Open is found. If no Open is found, the call MUST return.
The server MUST provide GlobalFileId to deregister the Open by invoking event as specified in
[MS-SRVS] section 3.1.6.5.
The open object MUST be closed.
3.3.4.18 Server Application Queries a Session
The calling application provides GlobalSessionId as an identifier for the Session. The server MUST
look up session in GlobalSessionTable where GlobalSessionId is equal to
Session.SessionGlobalId. If Session is found, the server MUST return a session in
SESSION_INFO_502 structure as specified in [MS-SRVS] section 2.2.4.15 with the following values
set.
SESSION_INFO_502
Parameters SMB2 Session Properties
sesi502_cname Session.Connection.ClientName
sesi502_username Session.UserName.
sesi502_num_opens The count of entries in Session.OpenTable.
sesi502_time The current time minus Session.CreationTime
sesi502_idle_time The current time minus Session.IdleTime.
sesi502_user_flags SESS_GUEST if Session.UserName is Guest account, otherwise it

MUST be set to zero.
sesi502_cltype_name Empty string.
sesi502_transport Session.Connection.TransportName
3.3.4.19 Server Application Queries a TreeConnect
The calling application provides GlobalTreeConnectId as an identifier for the tree connect. The
server MUST enumerate all session entries in GlobalSessionTable and look up all TreeConnect
entries in Session.TreeConnectTable where GlobalTreeConnectId is equal to
TreeConnect.TreeGlobalId. If TreeConnect is found, the server MUST return ServerName and a
CONNECT_INFO_1 structure as specified in [MS-SRVS] section 2.2.4.2 with the following values set.
Output Parameters SMB2 TreeConnect Properties
coni1_id TreeConnect.TreeGlobalId
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Output Parameters SMB2 TreeConnect Properties
coni1_type TreeConnect.Share.ShareType
coni1_num_opens TreeConnect.OpenCount
coni1_num_users 1
coni1_time Current time minus Treeconnect.CreationTime
coni1_username TreeConnect.Session.UserName
coni1_netname TreeConnect.Share.Name
ServerName TreeConnect.Share.ServerName
3.3.4.20 Server Application Queries an Open
The calling application provides GlobalFileId as an identifier for the Open. The server MUST look
up open in GlobalOpenTable where GlobalFileId is equal to Open.FileGlobalId. If Open is
found, the server MUST return an open in FILE_INFO_3 structure as specified in [MS-SRVS] section
2.2.4.7 with the following values set.
FILE_INFO_3 Parameters SMB2 Open Properties
fi3_id Open.FileGlobalId
fi3_permissions Open.GrantedAccess
fi3_num_locks Open.LockCount
fi3_path_name Open.PathName
fi3_username Open.Session.UserName
3.3.4.21 Notify of Transport Arrival
The calling application MUST provide a null-terminated Unicode string that contains the
implementation-specific name of a device to notify of new transport arrival. The server MUST attach
to the operating system-specific transport protocol identified by the device name on which the
connection can be established.
The SMB 2 Protocol server is driven by a series of request messages sent by the client. Processing
for these messages is determined by the command in the SMB2 header of the response and is
detailed for each of the SMB2 response messages below.
3.3.5.1 Accepting an Incoming Connection
When the server accepts an incoming connection from any of its registered transports, it MUST
allocate a Connection object for it. The Connection object is initialized as described here.
Connection.CommandSequenceWindow is set to a sequence window, as specified in section

3.3.1.1, with a starting receive sequence of 0 and a window size of 1.
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Connection.AsyncCommandList is set to an empty list.
Connection.RequestList is set to an empty list.
Connection.ClientCapabilities is set to 0.
Connection.NegotiateDialect is set to 0xFFFF.
Connection.Dialect is set to "Unknown".
Connection.ShouldSign is set to FALSE.
Connection.ClientName is set to be a null-terminated Unicode string of an IP address if the

connection is on TCP port 445, or a NetBIOS host name if the connection is on TCP port 139.
This connection MUST be inserted into the global ConnectionList.
3.3.5.2 Receiving Any Message
The incoming request is added to the Connection.RequestList before verifying the connection
state, sequence number, or signature.<151>
3.3.5.2.1 Verifying the Connection State
If the request being received is not an SMB2 NEGOTIATE Request or a traditional

SMB_COM_NEGOTIATE, as described in section 1.7, and Connection.NegotiateDialect is 0xFFFF
or 0x02FF, the server MUST disconnect the connection and send no reply.
3.3.5.2.2 Verifying the Sequence Number
The server MUST check the MessageId for every received request whose Command is not SMB2
CANCEL and make sure it is a valid value that falls within the
Connection.CommandSequenceWindow, as specified in section 3.3.1.7. If the received request
is an SMB_COM_NEGOTIATE, as described in section 1.7, the server MUST assume that MessageId
is zero for this request.
If the negotiate dialect is SMB 2.1 and the underlying TCP endpoint is on port 445 and the
CreditCharge field in the SMB header is not 0, the server MUST check a number of CreditCharge
consecutive sequence numbers starting from MessageId fall within the
Connection.CommandSequenceWindow.
If the server determines that the MessageId(s) for the incoming request is not valid, based on the
Connection.CommandSequenceWindow and CreditCharge field, the server SHOULD fail the
request, as specified in section 3.3.4.4, with the error code STATUS_INVALID_PARAMETER, and
SHOULD<152> disconnect the connection.
Otherwise, it MUST remove the range of MessageId(s) from the

Connection.CommandSequenceWindow.
3.3.5.2.3 Verifying the Signature
If the SMB2 header of the request has SMB2_FLAGS_SIGNED set in the Flags field, the server
MUST verify the signature. The server MUST look up the session in the GlobalSessionTable using
the SessionId in the SMB2 header of the request. If the session is not found, the request MUST be
failed, as specified in section Sending an Error Response (section 3.3.4.4), with the error code
STATUS_USER_SESSION_DELETED. If the session is found, the server MUST verify the signature of
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the message as specified in section 3.1.5.1, using Session.SessionKey as the session key, and
passing in the request message. If the signature verification fails, the server MUST fail the request
with the error code STATUS_ACCESS_DENIED. The server MAY also choose to disconnect the
connection. If signature verification succeeds, the server MUST continue processing on the
packet.<153>
If the SMB2 header of the request does not have SMB2_FLAGS_SIGNED set in the Flags field, the
server MUST determine if the client failed to sign a packet that required it. The server MUST look up
the session in the GlobalSessionTable using the SessionId in the SMB2 header of the request. If
the session is found and Session.ShouldSign is equal to TRUE, the server MUST fail this request
with STATUS_ACCESS_DENIED. The server MAY<154> also choose to disconnect the connection. If
either the session is not found, or Session.ShouldSign is FALSE, the server continues processing
on the packet.
3.3.5.2.4 Verifying the Credit Number
If the negotiate dialect is SMB 2.1 and the underlying TCP endpoint is on port 445, the server MUST
verify the CreditCharge field in the SMB header. If CreditCharge is 0, the server MUST take the
default value of 1; if CreditCharge is not 0, the server MUST calculate the expected credit number
consumed for the current operation with the following algorithm:
Each credit is consumed per 64KB payload based on the maximum length for request and
response. The request or response with a payload length greater than 64KB MUST consume more
than one credit rounded up to (payload length/64KB).
If the calculated credit number is greater than CreditCharge, the server MUST consume credits
with a value of CreditCharge and fail the request with the error code
STATUS_INVALID_PARAMETER. Otherwise, the server MUST continue processing on the packet.
If the negotiate dialect is not SMB 2.1 or the underlying TCP endpoint is not on port 445, the
CreditCharge field in the SMB header is ignored by the server. The server MUST skip the credit
number check and consume one credit.
3.3.5.2.5 Handling Incorrectly Formatted Requests
If the server receives a request that does not conform to the structures outlined in section 2, the
server MUST fail the request, as specified in section 3.3.4.4, with the error code
STATUS_INVALID_PARAMETER. The server MAY<155> also disconnect the connection.
The server MUST disconnect without sending an error response if any of the following are true:
The ProtocolId field in the SMB2 header is not equal to 0xFE, 'S', 'M', and 'B' (in network order).
The Command code in the SMB2 header does not match one of the command codes in the SMB2
header as specified in section 2.2.1.
The server receives a request with a length less than the length of the SMB2 header as specified
in section 2.2.1.
3.3.5.2.6 Handling Compounded Requests
If the NextCommand field in the SMB2 header of the request is not equal to 0, the server MUST
process the received request as a compounded series of requests. The server SHOULD<156> fail
requests in a compound chain that try to go async. There are two different styles of compounded
requests, which are described in the following sections.
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The two styles MUST NOT be intermixed in the same transport send, and in such a case, the server
SHOULD<157> fail each of the requests with STATUS_INVALID_PARAMETER.
3.3.5.2.6.1 Handling Compounded Unrelated Requests
If SMB2_FLAGS_RELATED_OPERATIONS is off in the Flags field of the SMB2 header of every

request, the received requests MUST be handled as a series of compounded unrelated requests.
The server MUST handle each individual request described in the chain separately. The length of
each request is determined by the NextCommand value in the SMB2 header of the request. The
length of the final request is equal to the length between the beginning of SMB2 header and the end
of the received buffer.
3.3.5.2.6.2 Handling Compounded Related Requests
If SMB2_FLAGS_RELATED_OPERATIONS is set in the Flags field of the SMB2 header of all requests
except the first one, the received requests MUST be handled as a series of compounded related
requests. If the first request has SMB2_FLAGS_RELATED_OPERATIONS set, the server
SHOULD<158> fail processing the compound chain request.
The server MUST handle each individual request that is described in the chain in order. For the first
request, the identifiers for FileId, SessionId, and TreeId MUST be taken from the received
request. For every subsequent request, the values used for FileId, SessionId, and TreeId MUST
be the ones used in processing the previous request or generated for the previous resulting
response. When all operations are complete, the responses SHOULD<159> be compounded into a
single response to return to the client.
If the responses are compounded, the server SHOULD set SMB2_FLAGS_RELATED_OPERATIONS in

the Flags field of the SMB2 header of all responses except the first one. This indicates that the
response was part of a compounded chain.
3.3.5.2.7 Updating Idle Time
For every request received, the server MUST locate the session, using the SessionId in the SMB2
header of the request to do a lookup on the GlobalSessionTable. If a session is found,
Session.IdleTime MUST be set to the current time. If the request does not have an SMB2 header
following the syntax specified in section 2.2.1 or no session is found, no action regarding the idle
time is taken.
3.3.5.3 Receiving an SMB_COM_NEGOTIATE
If the request does not have a valid SMB2 header following the syntax specified in section 2.2.1, the
server MUST check to see if it has received an SMB_COM_NEGOTIATE as described in section 1.7.
This request is defined in [MS-SMB] section 2.2.4.5.1, with the SMB header defined in section
2.2.3.1. If the request matches the format described there, and Connection.NegotiateDialect is
0xFFFF, processing MUST continue as specified in 3.3.5.3.1. Otherwise, the server MUST disconnect
the connection without sending a response.
3.3.5.3.1 SMB 2.1 Support
If the server does not support SMB 2.1, processing MUST continue as specified in 3.3.5.3.2.
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If the server supports SMB 2.1, the server MUST scan the dialects provided for the dialect string
"SMB 2.???". If the string is not present, continue to section 3.3.5.3.2. If the string is present, the
server MUST respond with an SMB2 NEGOTIATE Response as specified in 2.2.4.
The server MUST set the command of the SMB2 header to SMB2 NEGOTIATE and SHOULD set the
ProcessId to 0. All other values MUST be set following the syntax specified in section 2.2.1, and
any value not defined there with a default MUST be set to 0. The header is followed by an SMB2
NEGOTIATE Response that MUST be constructed as specified in 2.2.4, with the following specific
values:
SecurityMode MUST have the SMB2_NEGOTIATE_SIGNING_ENABLED bit set.
If RequireMessageSigning is TRUE, the server MUST also set

SMB2_NEGOTIATE_SIGNING_REQUIRED in the SecurityMode.
DialectRevision MUST be set to 0x02FF.
ServerGuid is set to the global ServerGuid value.
The Capabilities field MUST be set to a combination of zero or more of the following bit values:
SMB2_GLOBAL_CAP_DFS if the server supports the Distributed File System, as specified in

section 2.2.4.
SMB2_GLOBAL_CAP_LEASING if the server supports leasing, as specified in section 2.2.4.
SMB2_GLOBAL_CAP_LARGE_MTU if the server supports multi-credit operations, as specified in

section 2.2.4.
MaxTransactSize is set to the maximum buffer size, in bytes, that this server allows on the
transport that established this connection for QUERY_INFO, QUERY_DIRECTORY, SET_INFO and
CHANGE_NOTIFY operations. This field is applicable only for buffers sent by the client in
SET_INFO requests, or returned from the server in QUERY_INFO, QUERY_DIRECTORY and
CHANGE_NOTIFY responses.<160><161>
MaxReadSize is set to the maximum size, in bytes, of the Length in an SMB2 READ Request
(2.2.19) that the server will accept on the transport that established this connection.<162>
MaxWriteSize is set to the maximum size, in bytes, of the Length in an SMB2 Write Request
(2.2.21) that the server will accept on the transport that established this connection.<163>
SystemTime is set to the current time, in FILETIME format as specified in [MS-DTYP] section
2.3.1.
ServerStartTime is set to the global ServerStartTime value.
SecurityBufferOffset is set to the offset to the Buffer[] field in the response, in bytes, from
SecurityBufferLength is set to the length of the GSS token being returned in the negotiate
response, generated as described below.
Buffer[] is filled with the GSS token being returned in the negotiate response as described
below.
The generation of the GSS token for SMB2 NEGOTIATE Response MUST be done as specified in [MS-
SPNG] 3.2.5.1. The server MUST initialize the mechanism with the Integrity, Confidentiality, and
Delegate options and use the server-initiated variation as specified in [MS-SPNG] section 3.2.5.1.
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Connection.NegotiateDialect MUST be set to 0x02FF, and the response is sent to the client.
3.3.5.3.2 SMB 2.002 Support
The server MUST scan the dialects provided for the dialect string "SMB 2.002".<164> If the string is
present, the client understands SMB2, and the server MUST respond with an SMB2 NEGOTIATE
Response. If the string is not present in the dialect list and the server also implements SMB as
specified in [MS-SMB], it MUST terminate SMB2 processing on this connection and start SMB
processing on this connection. If the string is not present in the dialect list and the server does not
implement SMB, the server MUST disconnect the connection without sending a response.
The server MUST set the command of the SMB2 header to SMB2 NEGOTIATE and SHOULD set the
ProcessId to 0. All other values MUST be set following the syntax specified in section 2.2.1, and
any value not defined there with a default MUST be set to 0. The header is followed by an SMB2
NEGOTIATE Response that MUST be constructed as specified in section 2.2.4, with the following
specific values:

DialectRevision MUST be set to 0x0202.<165>
If the server supports the Distributed File System, set the SMB2_GLOBAL_CAP_DFS bit in the
Capabilities field of the negotiate response.
transport that established this connection for QUERY_INFO, QUERY_DIRECTORY, SET_INFO and
SET_INFO requests, or returned from the server in QUERY_INFO, QUERY_DIRECTORY and
CHANGE_NOTIFY responses.<166>
(2.2.19) that the server will accept on the transport that established this connection.
MaxWriteSize is set to the maximum size, in bytes, of the Length in an SMB2 WRITE Request
(2.2.21) that the server will accept on the transport that established this connection.
2.3.1.
SecurityBufferOffset is set to the offset to the Buffer[] field in the response in bytes from the
below.
The generation of the GSS token for SMB2 NEGOTIATE Response MUST be done as specified in
[MS-SPNG] section 3.2.5.1. The server MUST initialize the mechanism with the Integrity,
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Confidentiality, and Delegate options and use the server-initiated variation as specified in [MS-
SPNG] section 3.2.5.1.
Connection.Dialect MUST be set to "2.002", Connection.NegotiateDialect MUST be set to

0x0202, and the response is sent to the client.
3.3.5.4 Receiving an SMB2 NEGOTIATE Request
When the server receives a request with an SMB2 header with a Command value equal to SMB2
NEGOTIATE, it MUST process it as follows:
If Connection.NegotiateDialect is 0x0202 or 0x0210, the server MUST disconnect the connection,

and not reply.
If the server implements SMB2.1, the server MUST set Connection.ClientGuid to the ClientGuid
field of the SMB2 Negotiate request.
If SMB2_NEGOTIATE_SIGNING_REQUIRED is set in SecurityMode, the server MUST set

Connection.ShouldSign to TRUE.
The server MUST select the greatest common dialect between the dialects it supports and the
Dialects array of the SMB2 NEGOTIATE request. If a common dialect is not found, the server MUST
fail the request with STATUS_NOT_SUPPORTED.
If a common dialect is found, the server MUST set Connection.Dialect to "2.002" or "2.100" and
Connection.NegotiateDialect to 0x0202 or 0x0210 accordingly, to reflect the dialect selected. The
server MUST then construct an SMB2 NEGOTIATE Response, as specified in section 2.2.4, with the
following specific values, and return STATUS_SUCCESS to the client.

DialectRevision MUST be set to the common dialect.
If the server supports the Distributed File System, set the SMB2_GLOBAL_CAP_DFS bit in the
Capabilities field of the negotiate response.
transport that established this connection for QUERY_INFO, QUERY_DIRECTORY, SET_INFO, and
SET_INFO requests, or returned from the server in QUERY_INFO, QUERY_DIRECTORY, and
CHANGE_NOTIFY responses.
(section 2.2.19) that the server will accept on the transport that established this connection.
MaxWriteSize is set to the maximum size, in bytes, of the Length in an SMB2 WRITE Request
(section 2.2.21) that the server will accept on the transport that established this connection.
2.3.1.
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SecurityBufferOffset is set to the offset to the Buffer[] field in the response, in bytes, from
below.
The generation of the GSS token for SMB2 NEGOTIATE Response MUST be done as specified in
[MS-SPNG] section 3.2.5.1. The server MUST initialize the mechanism with the Integrity,
Confidentiality, and Delegate options and use the server-initiated variation as specified in [MS-
SPNG] section 3.2.5.1.
The status code returned by this operation MUST be one of those defined in [MS-ERREF]. Common
status codes returned by this operation include:
STATUS_SUCCESS
STATUS_INSUFFICIENT_RESOURCES
STATUS_INVALID_PARAMETER
STATUS_NOT_SUPPORTED
3.3.5.5 Receiving an SMB2 SESSION_SETUP Request
SESSION_SETUP, message handling proceeds as follows:
1. If SessionId in the SMB2 header of the request is zero, the server MUST process the
authentication request as specified in section 3.3.5.5.1.
2. The server MUST look up the session in the GlobalSessionTable using the SessionId from the
SMB2 header.
3. If the session is not found, the server MUST fail the session setup request with
STATUS_USER_SESSION_DELETED. Otherwise, proceed to step 4.
4. If Session.State is Expired, the server MUST process the session setup request as specified in
section 3.3.5.5.2. Otherwise, proceed to step 5.
5. If Session.State is Valid and the server does not implement SMB 2.1, the server MUST fail the
session setup request with STATUS_REQUEST_NOT_ACCEPTED. Otherwise, proceed to step 6.
6. If Session.State is Valid and the server does implement SMB 2.1, the server MUST process the
session setup request as specified in section 3.3.5.5.2. Otherwise, proceed to step 7.
7. The server MUST continue processing the request as specified in section 3.3.5.5.3.
STATUS_LOGON_FAILURE
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STATUS_MORE_PROCESSING_REQUIRED
STATUS_USER_SESSION_DELETED
STATUS_REQUEST_NOT_ACCEPTED
STATUS_PASSWORD_EXPIRED
SEC_E_INVALID_TOKEN
SEC_E_NO_CREDENTIALS
3.3.5.5.1 Authenticating a New Session
A session object MUST be allocated for this request. The session MUST be inserted into the
GlobalSessionTable and a unique Session.SessionId is assigned to serve as a lookup key in the
table. The server MUST register the session by invoking the event as specified in [MS-SRVS] section
3.1.6.3 and assign the return value to Session.SessionGlobalId. The SMB2 server MUST reserve -
1 as an invalid SessionId and 0 as a SessionId for which no session exists. The other values MUST
be initialized as follows:
Session.Connection is set to the connection on which the request was received.
Session.State is set to InProgress.
Session.SecurityContext is set to NULL.
Session.SessionKey is set to NULL, indicating that it is uninitialized.
Session.ShouldSign is set to FALSE.
Session.OpenTable is set to an empty table.
Session.TreeConnectTable is set to an empty table.
Session.CreationTime is set to the current time.
Session.IdleTime is set to the current time.
Using this session, authentication is continued as specified in section 3.3.5.5.3.
3.3.5.5.2 Reauthenticating an Existing Session
Session.State MUST be set to InProgress, and Session.SecurityContext set to NULL.

Authentication is continued as specified in section 3.3.5.5.3. Note that the existing
Session.SessionKey will be retained.
3.3.5.5.3 Handling GSS-API Authentication
The server MUST extract the GSS token from the request. The token is SecurityBufferLength
bytes in length, and located SecurityBufferOffset bytes from the beginning of the SMB2 header.
The server SHOULD use the configured authentication protocol to obtain the next GSS output token
for the authentication exchange. The input GSS token can be 0 bytes in length.<167>
If the authentication protocol indicates an error, the server MUST fail the session setup request with
the error received by placing the 32-bit NTSTATUS code received into the Status field of the SMB2
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header. The session object MUST be removed from the GlobalSessionTable. Any opens in
Session.OpenTable MUST be closed and freed. Any tree connects in Session.TreeConnectTable
MUST be freed. The session object MUST also be freed, and the error response MUST be sent to the
client.
The following errors can be returned by the GSS-API interface as specified in [RFC2743].
STATUS_PASSWORD_EXPIRED SHOULD be treated as GSS_S_CREDENTIALS_EXPIRED,
SEC_E_INVALID_TOKEN SHOULD be treated as GSS_S_DEFECTIVE_TOKEN, and
SEC_E_NO_CREDENTIALS SHOULD be treated as GSS_S_NO_CRED. All other errors SHOULD be
treated as a GSS_S_FAILURE error code. A detailed description of these errors is specified in [MS-
ERREF].
STATUS_DOWNGRADE_DETECTED
STATUS_NO_SUCH_LOGON_SESSION
SEC_E_WRONG_PRINCIPAL
STATUS_NO_SUCH_USER
STATUS_ACCOUNT_DISABLED
STATUS_ACCOUNT_RESTRICTION
STATUS_ACCOUNT_LOCKED_OUT
STATUS_WRONG_PASSWORD
STATUS_SMARTCARD_WRONG_PIN
STATUS_ACCOUNT_EXPIRED
STATUS_PASSWORD_EXPIRED
STATUS_INVALID_LOGON_HOURS
STATUS_INVALID_WORKSTATION
STATUS_PASSWORD_MUST_CHANGE
STATUS_LOGON_TYPE_NOT_GRANTED
STATUS_PASSWORD_RESTRICTION
STATUS_SMARTCARD_SILENT_CONTEXT
STATUS_SMARTCARD_NO_CARD
STATUS_SMARTCARD_CARD_BLOCKED
STATUS_PKINIT_FAILURE
STATUS_PKINIT_CLIENT_FAILURE
STATUS_PKINIT_NAME_MISMATCH
STATUS_NETLOGON_NOT_STARTED
STATUS_DOMAIN_CONTROLLER_NOT_FOUND
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STATUS_NO_SUCH_DOMAIN
STATUS_BAD_NETWORK_PATH
STATUS_TRUST_FAILURE
STATUS_TRUSTED_RELATIONSHIP_FAILURE
STATUS_NETWORK_UNREACHABLE
SEC_E_INVALID_TOKEN
SEC_E_NO_AUTHENTICATING_AUTHORITY
SEC_E_NO_CREDENTIALS
STATUS_INTERNAL_ERROR
STATUS_NO_MEMORY
SEC_E_NOT_OWNER
SEC_E_CERT_WRONG_USAGE
SEC_E_SMARTCARD_LOGON_REQUIRED
SEC_E_SHUTDOWN_IN_PROGRESS
STATUS_LOGON_FAILURE
If the authentication protocol indicates success, the server MUST construct an SMB2
SESSION_SETUP Response, specified in section 2.2.6, as described here:
SMB2_FLAGS_SERVER_TO_REDIR MUST be set in the Flags field of the SMB2 header.
The output token received from the GSS mechanism MUST be returned in the response.
SecurityBufferLength indicates the length of the output token, and SecurityBufferOffset
indicates its offset, in bytes, from the beginning of the SMB2 header.
Session.SessionId MUST be placed in the SessionId field of the SMB2 header.
If the GSS mechanism indicates that this is the final message in the authentication exchange, the
following additional steps MUST be taken:
1. The status code in the SMB2 header of the response MUST be set to STATUS_SUCCESS.
2. If Connection.ClientCapabilities is 0, the server MUST set Connection.ClientCapabilities to

the capabilities received in the SMB2 SESSION_SETUP Request.
3. If the security principal is an anonymous user, the server MUST set the
SMB2_SESSION_FLAG_IS_NULL flag in the SessionFlags of the SMB2 SESSION_SETUP
Response.
4. If the security principal is a guest user, the server MUST set the
SMB2_SESSION_FLAG_IS_GUEST in the SessionFlags of the SMB2 SESSION_SETUP Response.
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5. If either SMB2_SESSION_FLAG_IS_GUEST or SMB2_SESSION_FLAG_IS_NULL was set in the
SessionFlags, then Session.ShouldSign MUST be set to FALSE. Otherwise, if the
SecurityMode of the client request has the SMB2_NEGOTIATE_SIGNING_REQUIRED bit set, if
Connection.ShouldSign is set to TRUE, OR the global RequireMessageSigning is set to TRUE,
Session.ShouldSign MUST be set to TRUE.
6. If Session.ShouldSign is TRUE, the server MUST sign the final session setup response before
sending it to the client.
7. If Session.SecurityContext is NULL, it MUST be set to a value representing the user which

successfully authenticated this connection. The security context MUST be obtained from the GSS
authentication subsystem. If it is not NULL, no changes are necessary. The server MUST invoke
the GSS_Inquire_context call as specified in [RFC2743] section 2.2.6, passing the
Session.SecurityContext as the input parameter, and set Session.UserName to the returned
"src_name".
8. If Session.SessionKey is NULL, the server MUST query the session key for this authentication
from the underlying authentication protocol and store the session key in Session.SessionKey.
Session.SessionKey MUST be set as described in section 3.3.1.8, using the value queried from
the GSS protocol. For how this value is calculated for Kerberos authentication via GSS-API, see
[MS-KILE] section 3.1.1.2. For how this value is calculated for NTLM authentication via GSS-API,
see [MS-NLMP] section 3.1.5.1.
9. If the PreviousSessionId field of the request is not equal to zero, the server MUST take the
following actions:
1. The server MUST look up the old session based on this value. If no session is found, no other
processing is necessary.
2. If a session is found with Session.SessionId == PreviousSessionId, the server MUST

determine if the old session and the newly established session are created by the same user
by comparing the user identifiers obtained from the Session.SecurityContext on the new
and old session.
1. If the server determines the authentications were for the same user, the server MUST
remove the old session from the GlobalSessionTable and deregister the session by
invoking event as specified in [MS-SRVS] section 3.1.6.4, providing
Session.SessionGlobalId as an input parameter. Any open in Session.OpenTable of the
old session MUST be closed and freed and each entry MUST be deregistered by invoking
event as specified in [MS-SRVS] section 3.1.6.5, providing Open.FileGlobalId as an input
parameter. Any tree connects in Session.TreeConnectTable of the old session MUST be
deregistered by invoking event as specified in [MS-SRVS] section 3.1.6.7, providing
Treeconnect.TreeGlobalId as input parameter, and each of them MUST be freed.
2. If the server determines that the authentications were for different users, the server MUST
ignore the PreviousSessionId value.
10.Session.State MUST be set to Valid.
11.Session.ExpirationTime MUST be set to the expiration time returned by the GSS

authentication subsystem. If the GSS authentication subsystem does not return an expiration
time, the Session.ExpirationTime should be set to infinity.
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12.The server MUST register session as specified in [MS-SRVS] section 3.1.6.2 and assign the
return value to Session.SessionGlobalId.
The GSS-API can indicate that this is not the final message in authentication exchange using the
GSS_S_CONTINUE_NEEDED semantics as specified in [MS-SPNG] section 3.3.1. If the GSS
mechanism indicates that this is not the final message of the authentication exchange, the following
additional step MUST be taken:
The status code in the SMB2 header of the response MUST be set to
STATUS_MORE_PROCESSING_REQUIRED.
3.3.5.6 Receiving an SMB2 LOGOFF Request
LOGOFF, message handling MUST proceed as follows.
The server MUST locate the session being logged off, using the SessionId in the SMB2 header of
the request to do a lookup on the GlobalSessionTable. If no session is found, or if
Session.Connection is not equal to the connection on which the request was received, the server
MUST fail the request with STATUS_USER_SESSION_DELETED. If Session.State is set to Expired,
the server MUST fail the request with STATUS_NETWORK_SESSION_EXPIRED. If Session.State is
set to InProgress, the server MUST fail the request with STATUS_ACCESS_DENIED.
Otherwise, the server MUST remove this session from the GlobalSessionTable, and deregister the
session by invoking event, as specified in [MS-SRVS] section 3.1.6.3, providing
Session.SessionGlobalId as input parameter. Any opens in Session.OpenTable of the old
session MUST be closed and freed, and each entry MUST be deregistered by invoking event, as
specified in [MS-SRVS] section 3.1.6.5, providing Open.FileGlobalId as input parameter. Any tree
connects in Session.TreeConnectTable of the old session MUST be deregistered by invoking
event, as specified in [MS-SRVS] section 3.1.6.7, providing Treeconnect.TreeGlobalId as input
parameter, and each of them MUST be freed. The server MUST construct an SMB2 LOGOFF
Response with a status code of STATUS_SUCCESS, following the syntax specified in section 2.2.8,
and send it to the client. The session itself is then freed.
STATUS_NETWORK_SESSION_EXPIRED
STATUS_ACCESS_DENIED
3.3.5.7 Receiving an SMB2 TREE_CONNECT Request
TREE_CONNECT, message handling proceeds as follows:
The server MUST locate the authenticated session that is attempting to connect to a share by
looking up the session object in GlobalSessionTable using the SessionId provided in the SMB2
header of the request. If the session is not found, or if Session.Connection of the session found is
not the same as the connection on which this request was received, the server MUST fail the request
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with STATUS_USER_SESSION_DELETED. If the session is found, but Session.State is Expired, the
server MUST fail the request with STATUS_NETWORK_SESSION_EXPIRED. If the session is found,
but Session.State is InProgress, the server MUST fail the request with STATUS_ACCESS_DENIED.
The server MUST provide <server name, share name> parsed from request message to invoke
event as specified in [MS-SRVS] section 3.1.6.8 and get the updated server name. The server MUST
use <updated server name, share name> to lookup the Share in ShareList. If no share with a
matching share name and server name is found, the server MUST fail the request with
STATUS_BAD_NETWORK_NAME. If a share is found, the server MUST determine whether the user
represented by Session.SecurityContext should be granted access based on the authorization
policy specified in Share.ConnectSecurity. If the server determines that access should not be
granted, the server MUST fail the request with STATUS_ACCESS_DENIED. If Share.CurrentUses is
equal to or greater than Share.MaxUses, the server MUST fail the request with
STATUS_REQUEST_NOT_ACCEPTED. Otherwise, the server MUST allocate a tree connect object and
insert it into Session.TreeConnectTable. The server MUST register TreeConnect by invoking the
event as specified in [MS-SRVS] section 3.1.6.6 and assign the return value to
TreeConnect.TreeGlobalId. The other initial values MUST be set as follows:
TreeConnect.TreeId MUST be set to a value generated to uniquely identify this tree connect in
the Session.TreeConnectTable. The SMB2 server MUST reserve -1 for invalid TreeId.
TreeConnect.Session MUST be set to the session found on the SessionId lookup.
TreeConnect.Share MUST be set to the share found on the lookup.
TreeConnect.OpenCount MUST be set to 0.
TreeConnect.CreationTime MUST be set to current time.
TreeConnect.Share.CurrentUses MUST be increased by 1.
The tree connect response MUST be constructed following the syntax specified in section 2.2.12, as
described here:
ShareFlags MUST be set based on the individual share properties (Share.CscFlags,

Share.DoAccessBasedDirectoryEnumeration, Share.AllowNamespaceCaching,
Share.ForceSharedDelete, Share.RestrictExclusiveOpens, Share.HashEnabled,
Share.ForceLevel2Oplock.)
The server MUST set the SHI1005_FLAGS_DFS bit if the per-share property Share.IsDfs is
TRUE, indicating that the share is part of a DFS namespace.
The server MUST set the SHI1005_FLAGS_DFS_ROOT bit if the share is a DFS root.
The server MUST set the SHI1005_FLAGS_ACCESS_BASED_DIRECTORY_ENUM bit if

Share.DoAccessBasedDirectoryEnumeration is TRUE.
The server MUST set the SHI1005_FLAGS_ALLOW_NAMESPACE_CACHING bit if

Share.AllowNamespaceCaching is TRUE.
The server MUST set the SHI1005_FLAGS_FORCE_SHARED_DELETE bit if

Share.ForceSharedDelete is TRUE.
The server MUST set the SHI1005_FLAGS_RESTRICT_EXCLUSIVE_OPENS bit if

Share.RestrictExclusiveOpens is TRUE.
The server MUST set the SHI1005_FLAGS_ENABLE_HASH bit if Share.HashEnabled is TRUE.
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The server MUST set the SHI1005_FLAGS_FORCE_LEVELII_OPLOCK bit if
Share.ForceLevel2Oplock is TRUE.
ShareType MUST be set based on the resource being shared:
If this share provides access to named pipes, ShareType MUST be set to
SMB2_SHARE_TYPE_PIPE.
If this share provides access to a printer, ShareType MUST be set to

SMB2_SHARE_TYPE_PRINT.
Otherwise, ShareType MUST be set to SMB2_SHARE_TYPE_DISK.
If Share.IsDfs is TRUE, Capabilities MUST be set to SMB2_SHARE_CAP_DFS. Otherwise, it

MUST be set to 0.
MaximalAccess MUST be set to the highest access the user described by

Session.SecurityContext would have when accessing resources underneath the security
descriptor Share.FileSecurity.
The response MUST then be sent to the client.
STATUS_BAD_NETWORK_NAME
3.3.5.8 Receiving an SMB2 TREE_DISCONNECT Request
When the server receives a request with an SMB2 header having a Command value equal to SMB2
TREE_DISCONNECT, message handling proceeds as follows:
Session Verification:
The server MUST locate the session, using the SessionId in the SMB2 header of the request to do a
lookup on the GlobalSessionTable. If no session is found, or if Session.Connection is not equal
to the connection on which the request was received, the server MUST fail the request with
STATUS_USER_SESSION_DELETED. If Session.State is set to Expired, the server MUST fail the
request with STATUS_NETWORK_SESSION_EXPIRED. If Session.State is set to InProgress, the
server MUST fail the request with STATUS_ACCESS_DENIED.
Tree Connect Verification:
The server MUST locate the tree connection being disconnected using the TreeId in the SMB2
header of the request to do a lookup in Session.TreeConnectTable. If no tree connect is found,
the server MUST fail the request with STATUS_NETWORK_NAME_DELETED.
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The server MUST enumerate all the opens in Session.OpenTable. For any open where
Open.TreeConnect is equal to the tree connect being disconnected, the server MUST close the
open and free the underlying structure.
The server MUST enumerate all the TreeConnects in TreeConnectList as specified in [MS-SRVS]
section 3.1.1.1. For any TreeConnect that is equal to the tree connect being disconnected, it MUST
be removed from TreeConnectList.
TreeConnect.Share.CurrentUses MUST be decreased by 1.
The server MUST provide TreeConnect.TreeGlobalId as input parameter and deregister

TreeConnect by invoking event as specified in [MS-SRVS] section 3.1.6.7. The tree connect MUST
then be removed from Session.TreeConnectTable and freed. The server MUST initialize an SMB2
TREE_DISCONNECT Response following the syntax specified in section 2.2.12, and send it to the
client.
STATUS_NETWORK_NAME_DELETED
3.3.5.9 Receiving an SMB2 CREATE Request
CREATE, message handling proceeds as described in the following sections.
Session Verification:
The server MUST locate the session performing the create, using the SessionId in the SMB2 header
of the request to do a lookup on the GlobalSessionTable. If no session is found, or if
Tree Connect Verification:
The server MUST locate the tree connection used in the create using the TreeId in the SMB2 header
of the request to do a lookup in Session.TreeConnectTable. If no tree connect is found, the
request MUST be failed with STATUS_NETWORK_NAME_DELETED.
Path Name Validation:
The server MUST verify the request size. If the size of the SMB2 CREATE Request (excluding the
SMB2 header) is less than specified in the StructureSize field, then the request MUST be failed
with STATUS_ INVALID_PARAMETER.
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The server MUST extract the target path name for the create from the SMB2 CREATE Request. The
path name MUST be validated to ensure that it conforms to the specification in [MS-FSCC] section
2.1.5. If not, the server MUST fail the request with STATUS_OBJECT_NAME_INVALID. If the request
received has SMB2_FLAGS_DFS_OPERATIONS set in the Flags field of the SMB2 header, and
TreeConnect.Share.IsDfs is TRUE and IsDfsCapable is TRUE, the server MUST invoke the
interface defined in [MS-DFSC] section 3.2.5.6 to normalize the path name by supplying the target
path name. If IsDfsCapable is FALSE, the server MUST fail the request with
STATUS_FS_DRIVER_REQUIRED.
If the normalization fails with STATUS_PATH_NOT_COVERED (the path contains or matches a DFS
link) and if FILE_OPEN_REPARSE_POINT flag was specified in the CreateOptions field of the
request, the server SHOULD<168> attempt to open the underlying file or directory and return a
handle to it. If normalization fails with any other error, the server MUST fail the create request with
the error code returned by the DFS normalization routine.
If the normalization procedure succeeds, returning an altered target name, the modified name MUST
be used for further operations.
If the file name length is greater than zero and the first character is a separator character, the
server MUST fail the request with STATUS_OBJECT_NAME_INVALID. If the file name fails to conform
with the specification of a relative pathname in [MS-FSCC] section 2.1.5, the server MUST fail the
request with STATUS_OBJECT_NAME_INVALID.
If any flags other than those defined in [MS-FSCC] section 2.6 are set in the FileAttributes field of
the request packet, the server MUST fail the request with STATUS_INVALID_PARAMETER.
If any of the bits in the mask 0x0CE0FE00 are set in the DesiredAccess field, the server
SHOULD<169> fail the create request with STATUS_ACCESS_DENIED.
If the share that is the target of the create request is a printer, the server MUST validate the
DesiredAccess and CreateDisposition fields of the request. If the DesiredAccess value does not
include one or more of the FILE_WRITE_DATA, FILE_APPEND_DATA, or GENERIC_WRITE bits, the
server SHOULD<170> fail the request with STATUS_NOT_SUPPORTED. If the DesiredAccess value
contains any other bits, the server MUST fail the request with STATUS_NOT_SUPPORTED. If the
CreateDisposition value is other than FILE_CREATE, the server SHOULD<171> fail the request
with STATUS_OBJECT_NAME_NOT_FOUND.
If any intermediate component of the path specified in the create request is a symbolic link, the
server MUST return an error as specified in section 2.2.2.1. Symbolic links MUST NOT be evaluated
by the server.
If the final component of the path is a symbolic link, the server behavior depends on whether the
flag FILE_OPEN_REPARSE_POINT was specified in the CreateOptions field of the request. If
FILE_OPEN_REPARSE_POINT was specified, the server MUST open the underlying file or directory
and return a handle to it. Otherwise, the server MUST return an error as specified in section 2.2.2.1.
The description contained here is for a generic create operation. Sections 3.3.5.9.1 through
3.3.5.9.7 detail server behavior when various create contexts are provided in the request, and
describe how that affects server operation.
The server SHOULD<172> fail any request having a create context not specified in 2.2.13.2, with a
STATUS_INVALID_PARAMETER error.
Open Execution:
If the FILE_DELETE_ON_CLOSE flag is set in CreateOptions, and the DELETE flag is not set in
DesiredAccess, the server MUST fail the operation with STATUS_INVALID_PARAMETER.
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The server MUST attempt to open the named object in the underlying object store using the
parameters specified for DesiredAccess, FileAttributes, ShareAccess, CreateDisposition,
CreateOptions, SecurityFlags, ImpersonationLevel, and the PathName. The PathName MUST
be parsed relative to TreeConnect.Share.LocalPath. The server MUST map these flags to match
the semantics of its implementation-specific object store [MS-FSA].<173> See section 2.2.13 for
more details on the exact meaning of the various flags and options. If the underlying object store
returns a failure for the attempted Open, the server MUST send an SMB2 error response with an
error code as specified in section 2.2.2. The same rules apply when opening named pipe and print
files, except that some flags and options are not supported when opening named pipes and print
files. The flags and options that are not supported when opening named pipes and print files are
specified in section 2.2.13.
Failed Open Handling:
If the underlying object store returns a failure indicating that the attempted open operation failed
due to the presence of a symbolic link in the target path name, the server MUST fail the create
operation with the error code STATUS_STOPPED_ON_SYMLINK, and pass back the error to the client
by constructing an error response as specified in section 2.2.2.1.<174>
Successful Open Initialization:
If the open is successful, the server MUST allocate an open object for this open and insert it into
Session.OpenTable and GlobalOpenTable. The server MUST also register the Open by invoking
event as specified in [MS-SRVS] section 3.1.6.4 and assign the return value to Open.FileGlobalId.
The other initial values MUST be set as follows:
Open.FileId is set to a generated value that uniquely identifies this Open in

Session.OpenTable. The SMB2 server MUST reserve -1 for invalid FileID.
Open.DurableFileId is set to a generated value that uniquely identifies this open in

GlobalOpenTable.
Open.Session is set to refer to the session that performed the open.
Open.Connection is set to refer to the connection on which the open request was received.
Open.LocalOpen is set to the open of the object in the local resource received as part of the
local create operation.
Open.GrantedAccess is the access granted to the caller for the open by the underlying object
store. It MUST be equal to the DesiredAccess specified in the request, except in the case where
MAXIMUM_ALLOWED is included in the DesiredAccess.
Open.OplockLevel is set to SMB2_OPLOCK_LEVEL_NONE.
Open.OplockState is set to None.
Open.OplockTimeout is set to 0.
Open.IsDurable is set to FALSE.
Open.DurableOpenTimeout is set to 0.
Open.DurableOwner is set to NULL.
Open.EnumerationLocation is set to 0.
Open.EnumerationSearchPattern is set to an empty string.
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Open.CurrentEaIndex is set to 1.
Open.CurrentQuotaIndex is set to 1.
Open.TreeConnect is set to refer to the TreeConnect on which the open request was
performed and Open.TreeConnect.OpenCount MUST be increased by 1.
Open.LockCount is set to 0.
Open.PathName is set to the full local path that the current open is performed on.
If the server implements SMB 2.1 and supports leasing, the server MUST initialize the following:
Open.Lease MUST be set to NULL.
Open.IsResilient MUST be set to FALSE.
Open.ResilientOpenTimeout MUST be set to 0.
Open.LockSequenceArray[]: Each element of Open.LockSequenceArray[] MUST be set to

0.
Oplock Acquisition:
If the server does not implement SMB 2.1 or does not support leasing, and RequestedOplockLevel
is set to SMB2_OPLOCK_LEVEL_LEASE, the request MUST be failed with STATUS_NOT_SUPPORTED.
If the server implements SMB 2.1 and supports leasing, and the RequestedOplockLevel is set to
SMB2_OPLOCK_LEVEL_LEASE, the server MUST attempt to acquire a lease on the open from the
underlying object store as described in section 3.3.5.9.8.
Otherwise, if the open is successful, the shared resource is not a named pipe, and the
RequestedOplockLevel is not SMB2_OPLOCK_LEVEL_NONE, the server MUST attempt to acquire
an opportunistic lock on the open from the underlying object store.<175> If the underlying object
store grants the oplock, then Open.OplockState is set to Held and Open.OplockLevel is set to
the level of the oplock acquired.
Response Construction:
The server MUST construct a response following the syntax specified in section 2.2.14. The values
MUST be set as follows:
OplockLevel is set to Open.OplockLevel.
CreateAction is set to the action taken by the create following the syntax specified in section
2.2.14.
CreationTime is set to the value queried from the object store for when the object was
created.<176>
LastAccessTime is set to the value queried from the object store for when the object was last
accessed.<177>
LastWriteTime is set to the value queried from the object store for when the object was last
written to.<178>
ChangeTime is set to the value queried from the object store for when the object was last
modified, including attribute changes.<179>
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AllocationSize is set to the amount of space reserved for the object, in bytes, on the underlying
object store.<180> If this is a named pipe, AllocationSize SHOULD be 0.<181>
EndofFile is set to the size of the main stream of the object in bytes.<182> For named pipes
this value SHOULD be 0.<183>
FileAttributes MUST be set to the attributes of the object following the syntax specified in
section 2.2.14.<184>
FileId.Persistent MUST be set to Open.DurableFileId.
FileId.Volatile MUST be set to Open.FileId.
CreateContextsLength and CreateContextsOffset MUST be set to 0.
This response MUST be sent back to the client.
STATUS_OBJECT_NAME_NOT_FOUND
STATUS_STOPPED_ON_SYMLINK
STATUS_EAS_NOT_SUPPORTED
STATUS_DISK_FULL
STATUS_FILE_CLOSED
The following create contexts are potentially received as part of the create request. In each
subsection, handling this create context is outlined. Any combination of the create contexts listed in
the following sections is valid, with the following exception:
When SMB2_CREATE_DURABLE_HANDLE_RECONNECT, 3.3.5.9.7, is received, the server

MUST ignore any other create contexts except SMB2_CREATE_REQUEST_LEASE in that request.
3.3.5.9.1 Handling the SMB2_CREATE_EA_BUFFER Create Context
The client is requesting that an array of extended attributes be applied to the file that is being
created. This create context MAY be combined with any of those listed here except
SMB2_CREATE_DURABLE_HANDLE_RECONNECT.
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The processing changes involved for this create context are:
In the "Open Execution" phase, the server MUST pass the received extended attributes array to the
underlying object store to be stored on the created file.<185> If the object store does not support
extended attributes, the server MUST fail the open request with STATUS_EAS_NOT_SUPPORTED.
3.3.5.9.2 Handling the SMB2_CREATE_SD_BUFFER Create Context
The client is requesting that a specific security descriptor be applied to the file that is being created.
This create context can be combined with any of those listed here except
SMB2_CREATE_DURABLE_HANDLE_RECONNECT.
In the "Open Execution" phase, the server MUST pass the received security descriptor to the
underlying object store to be stored on the created file.<186> If the object store does not support
file security, the value MAY<187> be ignored or STATUS_NOT_SUPPORTED SHOULD be returned to
the client.
3.3.5.9.3 Handling the SMB2_CREATE_ALLOCATION_SIZE Create Context
The client is requesting that a specific allocation size be set for the file that is being created. This
create context can be combined with any of those listed here except
SMB2_CREATE_DURABLE_HANDLE_RECONNECT. The server SHOULD support this create context
request.<188> If the server does not support it, the SMB2_CREATE_ALLOCATION_SIZE create
context request MUST be ignored.
In the "Open Execution" phase, the server MUST pass the received allocation size to the underlying
object store to reserve the requested space for the created file.<189> If the object store does not
have sufficient space available to hold a file of the requested size, the server MUST fail the open
request with STATUS_DISK_FULL.
3.3.5.9.4 Handling the SMB2_CREATE_TIMEWARP_TOKEN Create Context
The client is requesting that the create operation be performed on a snapshot of the underlying
object store taken at a previous time. This create context can be combined with any of those listed
here except SMB2_CREATE_DURABLE_HANDLE_RECONNECT.
In the "Path Name Validation" phase, the server MUST verify that a snapshot of the underlying
object store at the time stamp provided in the create context exists.<190> If it does not, the server
MUST fail the request with STATUS_OBJECT_NAME_NOT_FOUND.
In the "Open Execution" phase, the server MUST perform the open on the snapshot of the
underlying object store taken at the time specified, instead of using the current view of the object
store.<191>
3.3.5.9.5 Handling the SMB2_CREATE_QUERY_MAXIMAL_ACCESS_REQUEST

Create Context
The client is requesting that the server return maximal access information for the open if the last
modified time for the file, as returned by the underlying object store, is not equal to the time stamp
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provided by the client in the create context. This create context can be combined with any of those
listed here except SMB2_CREATE_DURABLE_HANDLE_RECONNECT.
In the "Response Construction" phase, if the LastModifiedTime is not equal to the time received in
the request create context, the server MUST calculate the maximal access that the user identified by
Session.SecurityContext has on the object that was opened.<192> It must construct a response
create context, following the syntax specified in section 2.2.14.2.5, and include it in the buffer
described by the response CreateContextLength and CreateContextOffset.
If the LastModifiedTime is equal to the time received in the request create context, then the
server MUST NOT calculate or append the maximal access information to the response.
3.3.5.9.6 Handling the SMB2_CREATE_DURABLE_HANDLE_REQUEST Create

Context
The client is requesting that the open be marked for durable operation. This create context can be
combined with any of those listed here except SMB2_CREATE_DURABLE_HANDLE_RECONNECT.
In the "Successful Open Initialization" phase, the server MUST set Open.IsDurable to TRUE. This
permits the client to use Open.DurableFileId to request a reopen of the file on a subsequent
request as specified in section 3.3.5.9.7. The server MUST also set Open.DurableOwner to a
security descriptor accessible only by the user represented by Open.Session.SecurityContext.
3.3.5.9.7 Handling the SMB2_CREATE_DURABLE_HANDLE_RECONNECT Create

Context
The client is requesting a reconnect to an existing durable or resilient open. If the server supports
leasing, this create context SHOULD only be combined with an SMB2_CREATE_LEASE_REQUEST
create context. Otherwise, this create context SHOULD NOT be combined with any other create
context.
There is no processing done for "Path Name Validation" or "Open Execution" as listed in the section
above.
1. The server MUST look up an existing open in the GlobalOpenTable by doing a lookup with the
FileId.Persistent portion of the create context.
2. If the lookup fails, the server MUST fail the request with STATUS_OBJECT_NAME_NOT_FOUND
and proceed as specified in "Failed Open Handling" in section 3.3.5.9.
3. If Open.IsDurable is FALSE and Open.IsResilient is FALSE or unimplemented, the server

MUST fail the request with STATUS_OBJECT_NAME_NOT_FOUND and proceed as specified in
"Failed Open Handling" in section 3.3.5.9.
4. If Open.Connection is NULL, the server MUST fail the request with

STATUS_OBJECT_NAME_NOT_FOUND and proceed as specified in "Failed Open Handling" in
section 3.3.5.9.
5. If the server implements SMB 2.1 and supports leasing, and Open.Lease is not NULL, and
Lease.LeaseKey does not match the LeaseKey provided in an SMB2_CREATE_LEASE_REQUEST
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create context, the server MUST fail the request with STATUS_OBJECT_NAME_NOT_FOUND and
proceed as specified in "Failed Open Handling" in section 3.3.5.9.
6. If the user represented by Session.SecurityContext is not the same user denoted by

Open.DurableOwner, the server MUST fail the request with STATUS_ACCES_DENIED and
proceed as specified in "Failed Open Handling" in section 3.3.5.9.
7. The server MUST set the Open.Connection to refer to the connection that received this request.
8. The server MUST regenerate Open.FileId (the volatile portion of the SMB2_FILEID).
9. The server MUST insert the open into the Session.OpenTable with the Open.FileId as the new
key.
10.The "Successful Open Initialization" and "Oplock Acquisition" phases MUST be skipped, and
processing MUST continue as specified in "Response Construction."
11.In the "Response Construction" phase, the server MUST construct an

SMB2_CREATE_RESPONSE_LEASE create context, following the syntax specified in section
2.2.14.2.9, and include it in the buffer described by the response CreateContextLength and
CreateContextOffset. This structure MUST have the following values set:
LeaseKey MUST be set to Lease.LeaseKey.
LeaseStateMUST be set to Lease.LeaseState.
3.3.5.9.8 Handling the SMB2_CREATE_REQUEST_LEASE Create Context
This section applies only to servers that implement SMB 2.1.
If the server does not implement SMB 2.1 and support leasing, or Connection.Dialect is not equal
to "2.100" or if the RequestedOplockLevel is not SMB2_OPLOCK_LEVEL_LEASE, the server MUST
ignore the SMB2_CREATE_REQUEST_LEASE Create Context request.
By specifying a RequestedOplockLevel of SMB2_OPLOCK_LEVEL_LEASE, the client is requesting

that a lease be acquired for this open. If the request does not provide an
SMB2_CREATE_REQUEST_LEASE Create Context, the lease request MUST be ignored and
Open.OplockLevel MUST be set to SMB2_OPLOCK_LEVEL_NONE.
The processing changes involved in acquiring the lease are:
In the "Path Name Validation" phase, the server MUST attempt to locate a Lease Table by
performing a lookup in GlobalLeaseTableList using Connection.ClientGuid as the lookup key. If
no LeaseTable is found, one MUST be allocated and the following values set:
LeaseTable.ClientGuid is set to Connection.ClientGuid.
LeaseTable.LeaseList is set to an empty list.
If the allocation fails, the create request MUST be failed with STATUS_INSUFFICIENT_RESOURCES.
The server MUST attempt to locate a Lease by performing a lookup in the LeaseTable.LeaseList
using the LeaseKey in the SMB2_CREATE_REQUEST_LEASE as the lookup key. If a lease is found
but Lease.Filename does not match the file name for the incoming request, the request MUST be
failed with STATUS_INVALID_PARAMETER.
If no lease is found, one MUST be allocated with the following values set:
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Lease.LeaseKey is set to the LeaseKey in the SMB2_CREATE_REQUEST_LEASE create
context.
Lease.Filename is set to the file being opened.
Lease.LeaseState is set to NONE.
Lease.BreakToLeaseState is set to NONE.
Lease.LeaseBreakTimeout is set to 0.
Lease.LeaseOpens is set to an empty list.
Lease.Breaking is set to FALSE.
If the allocation fails, the create request MUST be failed with STATUS_INSUFFICIENT_RESOURCES.
Otherwise, if a LeaseTable was created it MUST be added to the GlobalLeaseTableList, and if a
Lease was created it MUST be added to the LeaseTable.LeaseList.
At this point, execution of create continues as described in 3.3.5.9 until the Oplock Acquisition
phase.
The caching state requested in LeaseState of the SMB2_CREATE_REQUEST_LEASE SHOULD

contain a valid LeaseState as specified in 3.3.1.12. The server MUST ignore the undefined bits in
LeaseState.
During "Oplock Acquisition", if the underlying object store does not support leasing, the server
SHOULD fall back to requesting a batch oplock instead of a lease and continue processing as
described in "Oplock Acquisition". If the underlying object store does support leasing, the following
steps are taken:
If the caching state requested in LeaseState of the SMB2_CREATE_REQUEST_LEASE is not a

superset of Lease.LeaseState or if Lease.Breaking is TRUE, the server MUST NOT promote
Lease.LeaseState. If the lease state requested is a superset of Lease.LeaseState and
Lease.Breaking is FALSE, the server MUST request promotion of the lease state from the
underlying object store to the new caching state.<193> If the object store succeeds this request,
Lease.LeaseState MUST be set to the new caching state. If Lease.Breaking is TRUE, the server
MUST return the existing Lease.LeaseState to client and set LeaseFlags to be
SMB2_LEASE_FLAG_BREAK_IN_PROGRESS. At this point, execution continues as described in
section 3.3.5.9 until the "Response Construction" phase.
In the "Response Construction" phase, the server MUST construct an

SMB2_CREATE_RESPONSE_LEASE response create context, following the syntax specified in section
2.2.14.2.9, and include it in the buffer described by the response CreateContextLength and
CreateContextOffset. This structure MUST have the following values set:
LeaseState MUST be set to Lease.LeaseState.
The server MUST set Open.OplockState to Lease, set Open.Lease to a reference to Lease, set
Open.OplockLevel to SMB2_OPLOCK_LEVEL_LEASE, and add Open to Lease.LeaseOpens. The
remainder of open response construction continues as described in "Response Construction."
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3.3.5.10 Receiving an SMB2 CLOSE Request
CLOSE, message handling proceeds as follows:
The server MUST locate the session that is taking the action, using the SessionId in the SMB2
header of the request to do a lookup on the GlobalSessionTable. If no session is found, or if
Next, the server MUST locate the tree connect by performing a lookup in the
Session.TreeConnectTable, using the TreeId in the SMB2 header of the request. If no tree
connect is found, the server MUST fail the request with STATUS_NETWORK_NAME_DELETED.
Next, the server MUST locate the open being closed by performing a lookup in the
Session.OpenTable, using FileId.Volatile of the request as the lookup key. If no open is found, or
if Open.DurableFileId is not equal to FileId.Persistent, the server MUST fail the request with
STATUS_FILE_CLOSED.
The server MUST provide Open.FileGlobalId as the input parameter and deregister the Open by
invoking the event as specified in [MS-SRVS] section 3.1.6.5. The server MUST remove the open
from both Session.OpenTable and the GlobalOpenTable, close the underlying
Open.LocalOpen.<194> Open.TreeConnect.OpenCount MUST be decreased by 1. If the server
implements SMB 2.1 and supports leasing, and Open.Lease is not NULL, the server MUST remove
the open from Lease.LeaseOpens. If LeaseOpens is now empty, the following steps MUST be
taken:
If Lease.Breaking is TRUE, the server MUST complete the lease break to the underlying object
store with NONE as the new lease state,<195> and Lease.LeaseState MUST be set to NONE.
The open object is then freed.
If SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB is set in the Flags field of the request, the server MUST
query the attributes of the file after the close.<196> This gives the client the attributes that have
been updated to take into account any cached writes or extends that may have happened. The
attributes that MUST be queried are the creation time, last access time, last write time, change
time, allocation size in bytes, end of file in bytes, and file attributes.
The server then MUST construct the response following the syntax specified in section 2.2.16. The
values MUST be set as follows:
If the attributes of the file were requested and can be fetched, the server MUST set the Flags
field to SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB. Otherwise Flags MUST be set to 0.
If SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB was set:
CreationTime, LastAccessTime, LastWriteTime, ChangeTime, AllocationSize,

EndofFile, and FileAttributes MUST be set to the values returned from the attribute query.
If SMB2_CLOSE_FLAG_POSTQUERY_ATTRIB was not set:
CreationTime, LastAccessTime, LastWriteTime, ChangeTime, AllocationSize,

EndofFile, and FileAttributes MUST all be set to 0.
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The Server MUST send an SMB2 CHANGE_NOTIFY Response with STATUS_NOTIFY_CLEANUP status
code for all pending CHANGE_NOTIFY requests associated with the FileId that is closed.
3.3.5.11 Receiving an SMB2 FLUSH Request
FLUSH, message handling proceeds as follows:
Next the server MUST locate the open being flushed by performing a lookup in the
Session.OpenTable, using the FileId.Volatile of the request as the lookup key. If no open is
found, or if Open.DurableFileId is not equal to FileId.Persistent, the server MUST fail the
request with STATUS_FILE_CLOSED.
The server MUST issue a request to the underlying object store to flush any cached data for
Open.LocalOpen.<197> If this is a file, the object store MUST propagate any cached data to
persistent storage. If this is a named pipe, the server MUST wait for all data written to the pipe to
be consumed by a reader. This operation MUST block until the flush is complete. (The server
SHOULD<198> choose to handle this request asynchronously, as specified in section 3.3.4.2.)
If the operation succeeds, the server MUST initialize a response following the syntax specified in
section 2.2.18.
If the operation fails, the server MUST return the error code to the client.
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STATUS_PIPE_BROKEN
STATUS_CANCELLED
3.3.5.12 Receiving an SMB2 READ Request
READ, message handling proceeds as follows:
Next the server MUST locate the tree connect by performing a lookup in the
Next the server MUST locate the open that is being read from, by performing a lookup in the
If Open.GrantedAccess does not allow for FILE_READ_DATA, the request MUST be failed with
STATUS_ACCESS_DENIED.
The server MUST validate that the length to read is within its configured maximum read size. If not,
it SHOULD<199> fail the request with STATUS_INVALID_PARAMETER.
CreditCharge field in the SMB2 header is not zero, the server MUST validate CreditCharge based
on Length, as specified in section 3.3.5.2.4. If the validation fails, it MUST fail the read request with
The server MUST return STATUS_FILE_LOCK_CONFLICT if the read is to a region that is exclusively
locked by another open.
The server MUST issue a read to the underlying object store represented by Open.LocalOpen for
the length, in bytes, given by Length, at the offset, in bytes, from the beginning of the file,
provided in Offset.<200>
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If the read is being executed on a named pipe, and the pipe is in blocking mode (the default), the
operation could block for a long time, so the server MAY<201> be required to handle it
asynchronously, as specified in section 3.3.4.2. To query a pipe's blocking mode, use the
FilePipeInformation file information class, as specified in [MS-FSCC] section 2.4.29. To change a
pipe's blocking mode, use an SMB2 SET_INFO Request with the FilePipeInformation file information
class, as specified in [MS-FSCC] section 2.4.29.<202> If the read is not finished in 0.5 milliseconds,
the server MUST send an interim response to the client.
If the read fails, the server MUST fail the request using the error code received from the read
operation. If the read returns fewer bytes than specified by the MinimumCount field of the
request, the server MUST fail the request with STATUS_END_OF_FILE.
If the read succeeds, the server MUST construct a read response following the syntax specified in
section 2.2.20 with the following values:
DataLength MUST be set to the number of bytes read.
DataRemaining MUST be set to zero.
DataOffset MUST be set to the offset into the response in bytes from the beginning of the SMB2
header where the data is located.
The data MUST be copied into the response.
STATUS_END_OF_FILE
STATUS_BUFFER_OVERFLOW
STATUS_FILE_LOCK_CONFLICT
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3.3.5.13 Receiving an SMB2 WRITE Request
WRITE, message handling proceeds as follows:
Next the server MUST locate the tree connect by performing a lookup in the
Next the server MUST locate the open being written to by performing a lookup in the
Session.OpenTable, using FileId.Volatile of the request as the lookup key. If no open is found, or
if Open.DurableFileId is not equal to FileId.Persistent, the server MUST fail the request with
STATUS_FILE_CLOSED.
If the range being written to is within the existing file size and Open.GrantedAccess does not
include FILE_WRITE_DATA, or if the range being written to extends the file size and
Open.GrantedAccess does not include FILE_APPEND_DATA, the server SHOULD<203> fail the
request with STATUS_ACCESS_DENIED.
The server MUST validate that the length to write is within its configured maximum write size. If
not, it SHOULD<204> fail the request with STATUS_INVALID_PARAMETER.
CreditCharge field in the SMB2 header is not zero, the server MUST validate CreditCharge based
on Length, as specified in section 3.3.5.2.4. If the validation fails, it MUST fail the write request
with STATUS_INVALID_PARAMETER.
The server MUST issue a write to the underlying object store represented by Open.LocalOpen for
the length, in bytes, given by Length, at the offset, in bytes, from the beginning of the file,
provided in Offset. If SMB 2.1 is supported, and SMB2_WRITEFLAG_WRITE_THROUGH is set in the
Flags field of the SMB2 WRITE Request, the server SHOULD<205> indicate to the underlying object
store that the write is to be written to persistent storage before completion is returned.
If the write is being executed on a named pipe, and the pipe is in blocking mode (the default), the
operation could block for a long time, so the server MAY<206> be required to handle it
asynchronously, as specified in section 3.3.4.2. To query a pipe's blocking mode, use the
FilePipeInformation file information class, as specified in [MS-FSCC] section 2.4.29. To change a
pipe's blocking mode, use an SMB2 SMB2 SET_INFO Request with the FilePipeInformation file
information class, as specified in [MS-FSCC] section 2.4.29.
The server MUST return STATUS_FILE_LOCK_CONFLICT if the write is to a region that is locked by
another open.
If the write fails, the server MUST fail the request with the error code received from the write.
If the write succeeds, the server MUST construct a write response following the syntax specified in
section 2.2.22 with the following values:
Count MUST be set to the number of bytes written.
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Remaining MUST be set to zero.
WriteChannelInfoOffset MUST be set to zero.
WriteChannelInfoLength MUST be set to zero.
3.3.5.14 Receiving an SMB2 LOCK Request
LOCK, message handling proceeds as follows:
Next, the server MUST locate the open on which the client is requesting a lock or unlock by
performing a lookup in the Session.OpenTable, using the FileId.Volatile of the request as the
lookup key. If no open is found, or if Open.DurableFileId is not equal to FileId.Persistent, the
server MUST fail the request with STATUS_FILE_CLOSED.
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If the negotiate dialect is SMB 2.1, the server supports leasing, and Open.IsResilient is TRUE, the
server MUST verify whether the lock/unlock request with the same LockSequence has been
successfully processed before through the following steps:
1. The server MUST compute ((LockSequence >> 4)-1) to use as an index into
Open.LockSequenceArray[] in order to locate the sequence number entry (1 byte). If the
index exceeds the maximum extent of the Open.LockSequenceArray[], the server MUST skip
step 2 and continue lock/unlock processing.
2. The server MUST take the 4 least significant bits as the lock sequence number and compare to
the entry retrieved from step 1. If the sequence numbers are equal, the server MUST complete
the lock/unlock request with success. Otherwise, the server MUST reset the entry value to be
0xFF and continue lock/unlock processing.
If the flags of the initial SMB2_LOCK_ELEMENT in the Locks array of the request has
SMB2_LOCKFLAG_UNLOCK set, the server MUST process the lock array as a series of unlocks.
Otherwise, it MUST process the lock array as a series of lock requests.
STATUS_LOCK_NOT_GRANTED
3.3.5.14.1 Processing Unlocks
For each SMB2_LOCK_ELEMENT entry in the Locks array, if either SMB2_LOCKFLAG_SHARED_LOCK

or SMB2_LOCKFLAG_EXCLUSIVE_LOCK is set, the server MUST fail the request with
STATUS_INVALID_PARAMETER and stop processing further entries in the Locks array, and all
successfully processed unlock operations will not be rolled back.
If SMB2_LOCKFLAG_FAIL_IMMEDIATELY is set, the server MAY<207> ignore this flag.
The server MUST issue the byte-range unlock request to the underlying object store using
Open.LocalOpen, and passing the Offset and Length (in bytes) from the SMB2_LOCK_ELEMENT
entry.<208> If the unlock operation fails, the server MUST fail the operation with the error code
received from the object store and stop processing further entries in the Locks array.
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If the unlock operation succeeds, the server MUST decrease Open.LockCount by 1. If there are
remaining entries in the Locks array, the server MUST continue processing the next entry in the
Locks array as specified above.
If the unlock operation succeeds, and there are no remaining entries in the Locks array, and the
negotiate dialect is SMB 2.1, the server supports leasing, and Open.IsResilient is TRUE, the server
MUST set the lock sequence number in Open.LockSequenceArray[] through the following steps to
indicate the unlock request with LockSequence has been successfully processed by the server:
index exceeds the maximum extent of the Open.LockSequenceArrary[], the server MUST skip
step 2 and continue unlock processing.
2. The server MUST take the 4 least significant bits as the lock sequence number and save it into
the corresponding entry located from step 1.
If the unlock operation succeeds and there are no remaining entries in the Locks array, the server
initializes an SMB2 LOCK Response following the syntax specified in section 2.2.27, which then
MUST be sent to the client.
3.3.5.14.2 Processing Locks
If the Locks array has more than one entry and the Flags field in any of these entries does not
have SMB2_LOCKFLAG_FAIL_IMMEDIATELY set, the server SHOULD<209> fail the request with
STATUS_INVALID_PARAMETER. For combinations of Lock Flags other than those that are defined in
the Flags field of section 2.2.26.1, the server SHOULD fail the request with
The server MUST issue a byte-range lock request to the underlying object store using
Open.LocalOpen and passing the Offset and Length (in bytes) from the SMB2_LOCK_ELEMENT
entry.<210> If SMB2_LOCKFLAG_SHARED_LOCK is set, the lock MUST be acquired in a manner
that allows read operations and other shared lock operations from other opens, but disallows writes
to the region specified by the lock. If SMB2_LOCKFLAG_EXCLUSIVE_LOCK is set, the lock MUST be
acquired in a manner that does not allow read, write, or lock operations from other opens for the
range specified.<211>
If the range being locked is already locked by another open in a way that does not allow this open to
take a lock on the range, and if SMB2_LOCKFLAG_FAIL_IMMEDIATELY is set, the server MUST fail
the request with STATUS_LOCK_NOT_GRANTED. Otherwise, the server MUST wait for the range in
question to become available before completing the request.
If the lock operation fails, the server MUST unlock any ranges locked as part of processing the
previous entries in the Locks array of this request. It MUST stop processing any remaining entries
in the Locks array and MUST fail the operation with the error code received from the lock operation.
If the lock operation succeeds, the server MUST increase Open.LockCount by 1. If there are
remaining entries in the Locks array, the server MUST continue processing the next entry in the
Locks array as described previously.
If the lock operation succeeds, and there are no remaining entries in the Locks array, and the
negotiate dialect is SMB 2.1, the server supports leasing, and Open.IsResilient is TRUE, the server
MUST set the lock sequence number in Open.LockSequenceArray[] through the following steps to
indicate the lock request with LockSequence has been successfully processed by the server:
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index exceeds the maximum extent of the Open.LockSequenceArray[], the server MUST skip
step 2 and continue lock processing.
2. The server MUST take the 4 least significant bits as the lock sequence number and save it into
the corresponding entry located from step 1.
If the lock operation succeeds and there are no remaining entries in the Locks array, the server
MUST construct an SMB2_RESP_LOCK Response following the syntax specified in section 2.2.27,
which is then sent to the client.
3.3.5.15 Receiving an SMB2 IOCTL Request
IOCTL, message handling proceeds as follows:
If the Flags field of the request is not SMB2_0_IOCTL_IS_FSCTL the server MUST fail the request
with STATUS_NOT_SUPPORTED.
If the CtlCode is FSCTL_DFS_GET_REFERRALS or FSCTL_PIPE_WAIT and FileID in the SMB2

header of the request is not -1, then the server MUST fail the request with
For CtlCode values other than FSCTL_DFS_GET_REFERRALS and FSCTL_PIPE_WAIT the server
MUST locate the open on which the client is requesting the operation by performing a lookup in
Session.OpenTable using the FileId.Volatile field of the request as the lookup key. If no open is
found or if Open.DurableFileId is not equal to FileId.Persistent, the server MUST fail the request
with STATUS_FILE_CLOSED.
Note that any padding inserted in the response message between the input buffer and output buffer,
to align the output buffer to an 8-byte boundary if necessary, is not included in the size of either the
input or the output buffer.
The server MUST NOT return an output buffer containing more bytes of data than the
MaxOutputResponse value specified by the client. If the underlying object store indicates an
insufficient buffer passed in with STATUS_BUFFER_OVERFLOW, the server SHOULD set the
OutputCount in the IOCTL response structure to the size of the data returned in that buffer by the
underlying object store and SHOULD<212> copy OutputCount bytes into the output buffer, and
MUST return a status of STATUS_BUFFER_OVERFLOW.
If the negotiate dialect is SMB 2.1 and the underlying TCP endpoint is on port 445, the server MUST
validate CreditCharge based on the maximum of (InputCount + OutputCount) and
(MaxInputResponse + MaxOutputResponse), as specified in section 3.3.5.2.4. If the validation
fails, it MUST fail the IOCTL request with STATUS_INVALID_PARAMETER.
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A server SHOULD <213> return a status of STATUS_INVALID_DEVICE_REQUEST when an FSCTL is
not supported remotely or is not supported on the file system on which the file or directory handle
specified by the FSCTL exists, as specified in [MS-FSCC] section 2.2.
Processing for a specific CtlCode is as specified in subsequent sections.
STATUS_BUFFER_TOO_SMALL
STATUS_OBJECT_NAME_NOT_FOUND
STATUS_END_OF_FILE
STATUS_INVALID_DEVICE_REQUEST
3.3.5.15.1 Handling an Enumeration of Previous Versions Request
IOCTL, and a CtlCode of FSCTL_SRV_ENUMERATE_SNAPSHOTS, message handling proceeds as
follows:
The server MUST query the time stamps of available previous versions of the volume on which the
file resides from the object store.<214> If there are no previous versions available, the server
MUST construct a SRV_SNAPSHOT_ARRAY following the syntax specified in section 2.2.32.2, and
SHOULD<215> set NumberOfSnapShots to zero, NumberOfSnapShotsReturned to zero, and
SnapShotArraySize to zero.
If there are previous versions available, the server MUST calculate the size required to return the
SRV_SNAPSHOT_ARRAY structure containing the previous version array. If the size required is
larger than the maximum output buffer size received in the SMB2 IOCTL request, the server MUST
construct a SRV_SNAPSHOT_ARRAY following the syntax specified in section 2.2.32.2 with
NumberOfSnapShots set to the number of previous versions available,
NumberOfSnapShotsReturned to 0, and SnapShotArraySize to the SnapShots[] array size
required to receive all of the previous version timestamps. If the maximum output buffer size
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specified is too small to contain this SRV_SNAPSHOT_ARRAY, the server MUST return the status
If the size of the SRV_SNAPSHOT_ARRAY structure containing the previous version array is less
than or equal to the maximum output buffer size received in the SMB2 IOCTL request, the client
MUST construct a SRV_SNAPSHOT_ARRAY with NumberOfSnapShots set to the number of
previous versions available, NumberOfSnapShotsReturned set to the number of previous version
time stamps being returned in the buffer, and SnapShotArraySize set to the size, in bytes, of the
SnapShots buffer, which MUST then be filled in to hold the time stamps in textual GMT format for
the previous version time stamps.
The server MUST then construct an SMB2 IOCTL response following the syntax specified in section
2.2.32, with the following values:
CtlCode MUST be set to FSCTL_SRV_ENUMERATE_SNAPSHOTS.
FileId.Persistent MUST be set to Open.DurableFileId. FileId.Volatile MUST be set to

Open.FileId.
InputOffset SHOULD<216> be set to zero.
InputCount SHOULD be set to zero.
OutputOffset MUST be set to InputOffset + InputCount, rounded up to a multiple of 8.
OutputCount MUST be set to the size of the SRV_SNAPSHOT_ARRAY that is constructed, as

specified above.
Flags MUST be set to zero.
The server MUST copy the constructed SRV_SNAPSHOT_ARRAY into the Buffer field at the
OutputOffset computed above.
The response MUST be sent to the client.
3.3.5.15.2 Handling a DFS Referral Information Request
IOCTL, and a CtlCode of FSCTL_DFS_GET_REFERRALS, message handling proceeds as follows:
If IsDfsCapable is set to FALSE, the server MUST return STATUS_FS_DRIVER_REQUIRED to the

client.
The server MUST pass the following to Distributed File System (DFS):
The value of the MaxReferralLevel field from the REQ_GET_DFS_REFERRAL structure, as

specified in [MS-DFSC] section 2.2.2, that was received in this request.
The target name in the REQ_GET_DFS_REFERRAL structure.
The IP address of the client.
The maximum size of the response data buffer that will be accepted by the client.
The processing of this request by the DFS server is as specified in [MS-DFSC] sections 3.2.5.1 and
3.3.5.1.
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If DFS returns a failure, the server MUST fail the request with the error code received from DFS. If
the error returned from DFS is STATUS_BUFFER_OVERFLOW, the server SHOULD<217> copy the
data returned by DFS into a normal FSCTL_GET_DFS_REFERRALS response and return
STATUS_BUFFER_OVERFLOW to the client as noted in sections 3.3.4.4 and 3.3.5.15.
If DFS returns success and a response buffer containing the referrals, the server MUST then
construct an SMB2 IOCTL response following the syntax specified in section 2.2.32, with the
following values:
CtlCode MUST be set to FSCTL_DFS_GET_REFERRALS.
FileId MUST be set to { 0xFFFFFFFFFFFFFFFF, 0xFFFFFFFFFFFFFFFF }.
OutputCount MUST be set to the number of bytes received from DFS.
The server MUST copy the buffer that was received from DFS into the Buffer field at the
OutputOffset computed above.
3.3.5.15.3 Handling a Pipe Transaction Request
IOCTL, and a CtlCode of FSCTL_PIPE_TRANSCEIVE, message handling proceeds as follows.
The server MUST attempt to write the number of bytes specified in the request by the InputCount
field into the named pipe. If the write attempt fails, the server MUST fail the request returning the
error code received from the named pipe.
If the share on which the request is being executed is not a named pipe share, the server SHOULD
fail the request with STATUS_NOT_SUPPORTED.<219>
The server SHOULD<220> process the FSCTL_PIPE_TRANSCEIVE request and not return an input
buffer to the client, even if the MaxInputResponse field is nonzero.
The server MUST then attempt to read the number of bytes specified in the request by
MaxOutputResponse from the named pipe. If the read attempt fails, the server MUST fail the
request returning the error code received from the named pipe. For more information on reading
from a pipe, see section 3.3.5.12.
If the read/write attempt is not finished in 1 millisecond, the server MUST send an interim response
to the client. If the read/write attempt succeeds,<221>, the server MUST then construct an SMB2
IOCTL response following the syntax specified in section 2.2.32, with the following values:
CtlCode MUST be set to FSCTL_PIPE_TRANSCEIVE.

Open.FileId.
InputOffset SHOULD<222><223> be set to zero.
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InputCount SHOULD<224> be set to zero.
If any data was read from the pipe, OutputOffset MUST be set to InputOffset + InputCount,
rounded up to a multiple of 8. Otherwise, OutputOffset SHOULD<225> be set to zero.
OutputCount MUST be set to the number of bytes read from the pipe. If no data is to be
returned, the server MUST set OutputCount to zero.
The server MUST copy the bytes read into the Buffer field at the OutputOffset computed
above.
3.3.5.15.4 Handling a Peek at Pipe Data Request
IOCTL, and a CtlCode of FSCTL_PIPE_PEEK, message handling proceeds as follows:
The server MUST attempt to read the number of bytes specified in the request by
MaxOutputResponse from the named pipe without removing the bytes from the pipe. If the read
attempt fails, the server MUST fail the request and return the error code received from the named
pipe. An FSCTL_PIPE_PEEK MUST never block. A MaxOutputResponse value of zero is allowed.
If the share on which the request is being executed is not a named pipe share, the server
SHOULD<226> fail the request with STATUS_NOT_SUPPORTED.
If the read attempt succeeds, the server MUST then construct an SMB2 IOCTL response by following
the syntax specified in section 2.2.32, with the following values:
CtlCode MUST be set to FSCTL_PIPE_PEEK.

Open.FileId.
If any data was read from the pipe, OutputOffset MUST be set to InputOffset + InputCount,
rounded up to a multiple of 8. Otherwise, OutputOffset SHOULD<228> be set to zero.
OutputCount MUST be set to the number of bytes read from the pipe.
The server MUST copy the bytes read into the Buffer field at the OutputOffset computed
above.
3.3.5.15.5 Handling a Source File Key Request
IOCTL, and a CtlCode of FSCTL_SRV_REQUEST_RESUME_KEY, message handling proceeds as
follows.
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The SRV_REQUEST_RESUME_KEY Response is an opaque 24 byte blob followed by optional context
as described in 2.2.32.3.<229>
The server MUST provide a 24-byte value that is used to uniquely identify the open. The server
SHOULD use Open.DurableFileId, or alternately, MAY use an internally generated value that is
unique for all opens on the server.<230>
If the maximum output buffer size specified is too small to contain an

SRV_REQUEST_RESUME_KEY structure, the server MUST return the status
The server MUST construct an SMB2 IOCTL response following the syntax specified in section
CtlCode MUST be set to FSCTL_SRV_REQUEST_RESUME_KEY.

Open.FileId.
OutputCount MUST be set to 32.
The server MUST copy the constructed SRV_REQUEST_RESUME_KEY that is used to identify
the open into the Buffer field at the OutputOffset computed above.
3.3.5.15.6 Handling a Server-Side Data Copy Request
IOCTL, and a CtlCode of FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE, message
handling proceeds as follows:
The server MUST locate the source open from where data will be read by locating the open using the
SourceFile key received in the SRV_COPYCHUNK_COPY structure received in the buffer described
by InputCount and InputOffset of the SMB2 IOCTL Request. If the open is not found, the server
MUST fail the request with STATUS_OBJECT_NAME_NOT_FOUND.
If Open.GrantedAccess of the destination file does not include FILE_WRITE_DATA, then the
request MUST be failed with STATUS_ACCESS_DENIED. If Open.GrantedAccess of the destination
file does not include FILE_READ_DATA access and the CtlCode is FSCTL_SRV_COPYCHUNK, then
the request MUST be failed with STATUS_ACCESS_DENIED.
If Open.TreeConnect.Session of the destination file is not equal to Open.TreeConnect.Session

of the source file, the server MUST fail the request with STATUS_OBJECT_NAME_NOT_FOUND.
If the server is configured to limit the amount of data copied in a single server side copy operation,
and the size of data sent in the request exceeds the limit, the server MUST send an SMB2 IOCTL
Response as specified in Sending an Invalid Parameter Server-Side Copy Response (section
3.3.5.15.6.2).
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For each range, the server MUST issue a read using the SourceOffset and Length from the source
file.<232> If the SourceOffset or SourceOffset + Length extends beyond the end of file, the
server SHOULD<233> treat this as a STATUS_END_OF_FILE error. If the read fails, the server
MUST map the error code returned to a valid status code as described in section 2.2, and MUST
send an SMB2 IOCTL response as specified in Sending a Copy Failure Server-Side Copy Response
(section 3.3.5.15.6.1).
The server MUST issue a write using the TargetOffset and Length in the range against the
destination file.<234> If the write fails, the server MUST send an SMB2 IOCTL response as specified
in Sending a Copy Failure Server-Side Copy Response (section 3.3.5.15.6.1).
If all ranges are copied successfully, the server MUST construct an SMB2 IOCTL Response following
the syntax specified in the section 2.2.32, with the following values:
CtlCode MUST be set to FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE.

Open.FileId. This field MUST be the same as the FileId in the SMB2 IOCTL Request.
The server MUST copy a SRV_COPYCHUNK_RESPONSE following the syntax specified in section
2.2.32.1 into the Buffer field at the OutputOffset computed above. ChunksWritten MUST be
set to the number of chunks processed. ChunkBytesWritten MUST be set to zero.
TotalBytesWritten MUST be set to the total number of bytes written to the destination file
across all chunk writes.
3.3.5.15.6.1 Sending a Copy Failure Server-Side Copy Response
If a range is encountered that is not copied successfully, the server MUST construct an SMB2 IOCTL
Response following the syntax specified in section 2.2.32, with the following values:
Status in the SMB2 header MUST be set to one of the error codes listed in section 3.3.5.15.

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The server MUST copy a SRV_COPYCHUNK_RESPONSE following the syntax specified in section
2.2.32.1 into the Buffer field at the OutputOffset computed above. ChunksWritten MUST be
set to the number of chunks successfully written. If the error was encountered partway through a
write, ChunkBytesWritten MUST be set to the number of bytes written in the final, partial
write. Otherwise, ChunkBytesWritten MUST be set to 0. TotalBytesWritten MUST be set to
the total number of bytes written to the destination file across all chunk writes.
3.3.5.15.6.2 Sending an Invalid Parameter Server-Side Copy Response
If the server determines that the total chunk count is more than
ServerSideCopyMaxNumberofChunks, or the size of any chunk is more than
ServerSideCopyMaxChunkSize, or the total size of all chunks exceeds
ServerSideCopyMaxDataSize, the server MUST construct an SMB2 IOCTL Response, following the
syntax specified in section 2.2.32, with the following values:
Status in the SMB2 header MUST be set to STATUS_INVALID_PARAMETER.

Open.FileId.
The server MUST copy a SRV_COPYCHUNK_RESPONSE, following the syntax specified in section
2.2.32.1, into the Buffer field at the OutputOffset computed above, with the following
differences. ChunksWritten MUST be set ServerSideCopyMaxNumberofChunks.
ChunkBytesWritten MUST be set ServerSideCopyMaxChunkSize. TotalBytesWritten MUST
be set to ServerSideCopyMaxDataSize.
3.3.5.15.7 Handling a Content Information Retrieval Request
IOCTL, and a CtlCode of FSCTL_SRV_READ_HASH, message handling proceeds as follows:
If the operation fails, the server MUST fail the SRV_READ_HASH request with the error code
specified in the following cases:
If the server does not support SRV_READ_HASH requests, it MUST fail the request with
STATUS_NOT_SUPPORTED.<238>
If the HashType field of the SRV_READ_HASH request is not equal to

SRV_HASH_TYPE_PEER_DIST, or the HashVersion is not equal to SRV_HASH_VER_1, or the
HashRetrievalType is not equal to SRV_HASH_RETRIEVE_HASH_BASED, the server MUST fail
the SRV_READ_HASH request with error STATUS_INVALID_PARAMETER.
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If the server does not support branch cache, it MUST fail the SRV_READ_HASH request with error
code STATUS_HASH_NOT_SUPPORTED.
If ServerHashLevel is HashDisableAll, the server MUST fail the SRV_READ_HASH request with
error code STATUS_HASH_NOT_SUPPORTED.
If ServerHashLevel is HashEnableShare and Open.TreeConnect.Share.HashEnabled is

FALSE, the server MUST fail the SRV_READ_HASH request with error code
STATUS_HASH_NOT_SUPPORTED.
If the Content Information is not present or no longer valid, the server MUST fail the
SRV_READ_HASH request with error code STATUS_HASH_NOT_PRESENT.
If the Offset field of the SRV_READ_HASH request is equal to or beyond the end of the Content
Information for the file, the server MUST fail the SRV_READ_HASH request with error code
STATUS_END_OF_FILE.
The server MUST request the Content Information from the object store for the object
represented by Open.LocalOpen with specified offset.<239>If the Content Information request
fails, the server MUST fail the SRV_READ_HASH request with the error code returned by object
store.
If the Content Information is read successfully, the server MUST construct an SMB2 IOCTL
response following the syntax specified in section 2.2.32, with the following values:
CtlCode MUST be set to FSCTL_SRV_READ_HASH.
FileId.Persistent MUST be set to Open.DurableFileId.
FileId.Volatile MUST be set to Open.FileId. This field MUST be the same as the FileId in the
SMB2 IOCTL Request.
InputCount MUST be greater or equal to the size of SRV_READ_HASH request and

MaxOutputResponse MUST be greater than or equal to the size of SRV_READ_HASH Response;
otherwise, the server MUST fail the request with error STATUS_BUFFER_TOO_SMALL.
OutputCount MUST be set to the size of SRV_READ_HASH Response, including the variable
length for Content Information.
The server MUST copy a SRV_READ_HASH Response following the syntax specified in section
2.2.32.4 into the Buffer field at the OutputOffset computed above.
3.3.5.15.8 Handling a Pass-Through Operation Request
Pass-through requests are I/O Control requests and File System Control (FSCTL) requests with a
CtlCode value that is not specified in section 2.2.31. As noted in section 3.3.5.15, the server MUST
fail I/O Control requests with STATUS_NOT_SUPPORTED.
Pass-through FSCTL requests fall further into two types, those for which a CtlCode value matches
an FSCTL function number defined in [MS-FSCC] section 2.3, and those that do not. When the latter
type of pass-through request does not meet the private FSCTL requirements of [MS-FSCC] section
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2.3, the server MUST NOT pass the request to the underlying object store and MUST fail the request
by sending a response of STATUS_NOT_SUPPORTED.
Otherwise, when the server receives a pass-through FSCTL request, the server SHOULD<241> pass
it through to the underlying object store.
The server MUST pass the following to the underlying object store: CtlCode, the input buffer
described by InputOffset and InputCount, the output buffer described by OutputOffset and
OutputCount, the MaxOutputResponse as the maximum output buffer size, in bytes, for the
response, and MaxInputResponse as the maximum input buffer size, in bytes, for the response.
Where the CtlCode value matches an FSCTL function number defined in [MS-FSCC], the server
SHOULD verify that the above buffers and sizes conform to the requirements of the corresponding
structures defined in [MS-FSCC] section 2.3, and use the FileId from the SMB2 IOCTL request to
obtain the handle described in [MS-FSCC] section 2.3 to pass to the object store. Where the
CtlCode value is not defined in [MS-FSCC], the server SHOULD<242> ensure that the other
requirements for private FSCTLs defined in [MS-FSCC] are met.
If the underlying object store returns a failure, the server MUST fail the request and send a
response with an error code, as specified in [MS-ERREF] section 2.2.
Note that a successful FSCTL pass-through request could return 0 bytes of output buffer data, and
have OutputCount set to 0. Similarly, it is possible for a valid FSCTL pass-through request to send
0 bytes of input buffer data, depending on the requirements of the FSCTL.
If the operation succeeds, the server MUST then construct an SMB2 IOCTL Response following the
syntax specified in section 2.2.32, with the following values:
CtlCode MUST be set to the CtlCode of the request.

If the underlying object store is returning input data to the client, InputOffset MUST be set to
the offset, in bytes, from the beginning of the SMB2 header to the Buffer[] field of the response.
Otherwise, InputOffset SHOULD<243> be set to zero.
InputCount MUST be set to the number of input bytes the object store is returning to the client.
If the object store is returning output data to the client, OutputOffset MUST be set to
InputOffset + InputCount, rounded up to a multiple of 8. Otherwise, OutputOffset
SHOULD<244> be set to zero.
The server MUST set the OutputCount to the actual number of bytes returned by the underlying
object store in the output buffer.
The server MUST copy the input and output response bytes into the ranges in Buffer described
by InputOffset/InputCount and OutputOffset/OutputCount.
3.3.5.15.9 Handling a Resiliency Request
IOCTL and a CtlCode FSCTL_LMR_REQUEST_RESILIENCY, message handling proceeds as follows.
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If the server does not support FSCTL_LMR_REQUEST_RESILIENCY requests, it MUST fail the request
with STATUS_NOT_SUPPORTED.<245>
If InputCount is smaller than the size of the NETWORK_RESILIENCY_REQUEST request as

specified in section 2.2.31.3, or if the requested Timeout is greater than MaxResiliencyTimeout,
the request MUST be failed with STATUS_INVALID_PARAMETER.
Open.IsDurable MUST be set to FALSE. Open.IsResilient MUST be set to TRUE.

Open.ResiliencyTimeout MUST be set to the value of Timeout specified in
NETWORK_RESILIENCY_REQUEST of the request. Open.DurableOwner MUST be set to a security
descriptor accessible only by the user represented by Open.Session.SecurityContext.
The server MUST construct an SMB2 IOCTL response following the syntax specified in section
CtlCode MUST be set to FSCTL_LMR_REQUEST_RESILIENCY.

Open.FileId.
OutputCount MUST be set to zero.
3.3.5.16 Receiving an SMB2 CANCEL Request
CANCEL, message handling proceeds as follows:
An SMB2 CANCEL Request is the only request received by the server that is not signed and does not
contain a sequence number that must be checked. Thus, the server MUST NOT process the received
packet as specified in sections 3.3.5.2.2 and 3.3.5.2.3.
The server MUST locate the request being canceled by searching the Connection.RequestList. If
SMB2_FLAGS_ASYNC_COMMAND is set in the Flags field of the SMB2 header of the cancel request,
the server MUST search for a request in Connection.AsyncCommandList that matches both the
MessageId and the AsyncId of the incoming cancel request. If SMB2_FLAGS_ASYNC_COMMAND is
not set, then the server MUST search for a request that matches the MessageId of the incoming
cancel request.
If a request is not found, the server MUST stop processing for this cancel request. No response is
sent.
If a request is found, the server MUST attempt to cancel the request that was found, referred to
here as the target request, by calling into the underlying object store.<247> If the target request is
successfully canceled, the target request MUST be failed by sending an ERROR response packet as
specified in section 2.2.2, with the status field of the SMB2 header (specified in section 2.2.1) set to
STATUS_CANCELLED. If the target request is not successfully canceled, processing MUST continue
as is typical for the target request. No response is sent to the cancel request.
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The cancel request indicates that the client requires to get a response for the target request,
whether successful or not. The server MUST expedite the cancellation request by following the
above steps.
3.3.5.17 Receiving an SMB2 ECHO Request
ECHO, message handling proceeds as follows:
The server MUST construct an SMB2 ECHO Response following the syntax specified in section 2.2.29
and MUST send it to the client.
3.3.5.18 Receiving an SMB2 QUERY_DIRECTORY Request
QUERY_DIRECTORY, message handling proceeds as follows:
Next, the server MUST locate the open for the directory to be queried by performing a lookup in the
If the open is not an open to a directory, the request MUST be failed with
CreditCharge field in the SMB2 header is not 0, the server MUST validate CreditCharge based on
OutputBufferLength, as specified in section 3.3.5.2.4. If the validation fails, it MUST fail the
request with STATUS_INVALID_PARAMETER.
If Open.GrantedAccess does not include FILE_LIST_DIRECTORY, the operation MUST be failed

with STATUS_ACCESS_DENIED.
The information classes supported are specified in [MS-FSCC] section 2.4. The supported classes for
the query are:
FileDirectoryInformation
FileFullDirectoryInformation
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FileBothDirectoryInformation
FileIdFullDirectoryInformation
FileIdBothDirectoryInformation
FileNamesInformation
If any other information class is specified in the FileInformationClass field of the SMB2
QUERY_DIRECTORY Request, the server MUST fail the operation with
STATUS_INVALID_INFO_CLASS. If the information class requested is not supported by the server,
the server MUST fail the request with STATUS_NOT_SUPPORTED.
If SMB2_REOPEN is set in the Flags field of the SMB2 QUERY_DIRECTORY Request, the server
SHOULD<248> set Open.EnumerationLocation to 0 and Open.EnumerationSearchPattern to
an empty string.
If SMB2_RESTART_SCANS is set in the Flags field of the SMB2 QUERY_DIRECTORY Request, the
server MUST set Open.EnumerationLocation to 0.
If Open.EnumerationLocation is 0 and Open.EnumerationSearchPattern is an empty string,

then Open.EnumerationSearchPattern MUST be set to the search pattern specified in the SMB2
QUERY_DIRECTORY by FileNameOffset and FileNameLength. If FileNameLength is 0, the server
SHOULD<249> set Open.EnumerationSearchPattern as "*" to search all entries.
If SMB2_INDEX_SPECIFIED is set in the Flags field of the SMB2 QUERY_DIRECTORY Request and
the underlying object store supports resuming enumerations by index number, the server MUST set
Open.EnumerationLocation to the FileIndex received in the SMB2 QUERY_DIRECTORY Request.
An underlying store MAY<250> choose to support resuming enumerations by index number.
If SMB2_INDEX_SPECIFIED is set and FileNameLength is not zero, the server MUST set
Open.EnumerationSearchPattern to the search pattern specified in the request by
FileNameOffset and FileNameLength.
The server MUST now enumerate the files and directories that are contained within the directory
specified by Open.LocalOpen, starting at the index Open.EnumerationLocation.<251> Each
entry MUST be formed as specified in [MS-FSCC] section 2.4. The server MUST fill in entries up to
the OutputBufferLength received in the client request. The server MUST only include entries that
match Open.EnumerationSearchPattern. For an explanation of wildcard evaluation for search
patterns, see [MS-CIFS] section 2.2.1.1.3. If SMB2_RETURN_SINGLE_ENTRY is set in the Flags
field of the request, the server MUST return only a single entry.
If TreeConnect.Share.DoAccessBasedDirectoryEnumeration is TRUE and the object store

supports security, the server MUST also exclude entries for which the user represented by
Session.SecurityContext does not have FILE_READ_DATA or FILE_LIST_DIRECTORY access.
After populating the buffer, the server MUST set Open.EnumerationLocation to the location of the
next enumeration entry after the last one that was returned in the buffer. If there are no remaining
entries, the server MUST set Open.EnumerationLocation to an invalid value indicating that the
enumeration is complete.
If an error is encountered, the server MUST fail the request with the error code received from the
underlying object store by sending an error response as specified in section 2.2.2.
If there are no entries to return and this was the initial query (Open.EnumerationLocation was
zero before querying the object store), the server MUST fail the request with
STATUS_NO_SUCH_FILE.
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If there are no entries to return and this was not the initial query (Open.EnumerationLocation
was not zero before querying the object store), the server MUST fail the request with
STATUS_NO_MORE_FILES.
Otherwise, the server MUST construct an SMB2_QUERY_DIRECTORY Response following the syntax
specified in section 2.2.34, with the following values:
OutputBufferOffset MUST be set to the offset, in bytes, from the beginning of the SMB2 header
where the enumeration data is being placed, the offset to Buffer[].
OutputBufferLength MUST be set to the length, in bytes, of the result of the enumeration.
The enumeration data MUST be copied into Buffer[].
STATUS_INVALID_INFO_CLASS
STATUS_NO_SUCH_FILE
STATUS_OBJECT_NAME_INVALID
STATUS_VOLUME_DISMOUNTED
STATUS_FILE_CORRUPT_ERROR
STATUS_NO_MORE_FILES
3.3.5.19 Receiving an SMB2 CHANGE_NOTIFY Request
When the server receives a request that has an SMB2 header with a Command value equal to
SMB2 CHANGE_NOTIFY, message handling proceeds as follows.
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Next, the server MUST locate the open on which the client is requesting a change notification by
If the open is not an open to a directory, the request MUST be failed with
If Open.GrantedAccess does not include FILE_LIST_DIRECTORY, the operation MUST be failed

with STATUS_ACCESS_DENIED.
Because change notify operations are not guaranteed to complete within a deterministic amount of
time, the server SHOULD<252> handle this operation asynchronously as specified in section
3.3.4.2.
If the underlying object store does not support change notifications, the server MUST fail this
request with STATUS_NOT_SUPPORTED.
The server MUST register a change notification on the underlying object store for the directory that
is specified by Open.LocalOpen, using the completion filter supplied in the CompletionFilter field
of the client request.<253> If SMB2_WATCH_TREE is set in the Flags field of the client request, the
server MUST request that the change notify monitor all subtrees of the directory that is specified by
Open.LocalOpen. The server indicates the maximum amount of notification data that it can accept
by passing in the OutputBufferLength that is received from the client. An OutputBufferLength of
zero indicates that the client allows the occurrence of an event but the client does not allow the
notification data details. A Change notification request processed by the server with invalid bits in
the CompletionFilter field MUST ignore the invalid bits and process the valid bits. If there are no
valid bits in the CompletionFilter, the request will remain pending until the change notification is
canceled or the directory handle is closed.
Change notification processing in the object store MUST be handled as specified in section 3.3.1.3.
It is also outlined in [MS-CIFS] section 3.3.5.57.5.
If the server is unable to copy the results into the buffer of the SMB2 CHANGE_NOTIFY Response,
then the server MUST construct the response as described below, with an OutputBufferLength of
zero, and set the Status in the SMB2 header to STATUS_NOTIFY_ENUM_DIR.
If OutputBufferLength is larger than the server-configured value, the request MAY<254> be failed
with STATUS_INVALID_PARAMETER.
If the object store returns an error, the server MUST fail the request with the error code received.
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If the object store returns success, the server MUST construct an SMB2 CHANGE_NOTIFY Response
following the syntax that is specified in section 2.2.36 with the following values:
where the enumeration data is being placed, the offset to Buffer[].
OutputBufferLength MUST be set to the length, in bytes, of the result of the enumeration. It is
valid for length to be 0, indicating a change occurred but it could not be fit within the buffer.
The change data MUST be copied into Buffer[].
STATUS_NOTIFY_ENUM_DIR
3.3.5.20 Receiving an SMB2 QUERY_INFO Request
QUERY_INFO, message handling proceeds as follows:
Next, the server MUST locate the open on which the client is requesting the information by
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The remaining processing for this request depends on the InfoType that is requested and described
below.
STATUS_EA_LIST_INCONSISTENT
STATUS_INFO_LENGTH_MISMATCH
3.3.5.20.1 Handling SMB2_0_INFO_FILE
The information classes that are supported for querying files are listed in section 2.2.37.
Documentation for these is provided in [MS-FSCC] section 2.4.
Requests for information classes that are not listed in section 2.2.37 but which are documented in
section 2.4 of [MS-FSCC] SHOULD be failed with STATUS_NOT_SUPPORTED.
Requests for information classes not documented in [MS-FSCC] section 2.4 SHOULD<255> be failed
with STATUS_INVALID_INFO_CLASS.
If the request is for the FilePositionInformation information class, the SMB2 server SHOULD<256>
set the CurrentByteOffset field to zero. The CurrentByteOffset field is part of the
FILE_POSITION_INFORMATION structure specified in section 2.4.32 of [MS-FSCC].
If the object store supports security and the information class is FileBasicInformation,
FileAllInformation, FilePipeInformation, FilePipeLocalInformation, FilePipeRemoteInformation,
FileNetworkOpenInformation, or FileAttributeTagInformation, and Open.GrantedAccess does not
include FILE_READ_ATTRIBUTES, the server MUST fail the request with STATUS_ACCESS_DENIED.
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If the object store supports security and the information class is FileFullEaInformation and
Open.GrantedAccess does not include FILE_READ_EA, the server MUST fail the request with
The server MUST query the information requested from the underlying object store.<257> If the
store does not support the data requested, the server MUST fail the request with
Depending on the information class, the output data consists of a fixed portion followed by optional
variable length data. If the OutputBufferLength given in the client request is either zero or is
insufficient to hold the fixed length part of the information requested, the server MUST fail the
request with STATUS_INFO_LENGTH_MISMATCH and MUST return error data as specified in section
2.2.2 with ByteCount set to zero.
If the underlying object store returns an error, the server MUST fail the request with the error code
received.
If the underlying object store returns only a portion of the variable-length data, the server MUST
construct a response as described below but set the Status in the SMB2 header to
STATUS_BUFFER_OVERFLOW. If FileFullEaInformation is being queried and the requested entries
will not all fit in the Buffer field of the response, the server MUST construct a response as described
below but set the Status in the SMB2 header to STATUS_BUFFER_OVERFLOW.
If the underlying object store returns the information successfully, the server MUST construct an
SMB2 QUERY_INFO Response with the following values:
to the attribute data at Buffer[].
OutputBufferLength MUST be set to the length of the attribute data being returned to the
client.
The data MUST be placed in the response in Buffer[].
FullEaList: The list of extended attribute entries maintained by underlying object store.
EaIndex: Index of the EA in FullEaList to start enumerating EA entries. It starts from 1.
EaList: The list of FILE_GET_EA_INFORMATION structures as specified in [MS-FSCC] section

2.4.15.1.
If the object store supports security and the information class is set to FileFullEaInformation, the
server MUST return one or more extended attribute information associated to the current Open, as
follows:
If EaList is specified by the client, the server MUST query the EA entries from FullEaList
through the EA names in EaList until the buffer is full or has run to the end of EaList. The
EaList is contained at the offset InputBufferOffset, starting from the SMB2 header with the
length set to InputBufferLength.
If SL_INDEX_SPECIFIED is not set in the Flags field and EaList is not specified, the server MUST
enumerate the EA entries from FullEaList starting at Open.CurrentEaIndex until the buffer is
full or has run out of the EA entries in FullEaList. Open.CurrentEaIndex MUST be incremented
by the number of EA entries returned to the client.
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If SL_RESTART_SCAN is set in the Flags field, the server MUST ignore it if either
SL_INDEX_SPECIFIED is set in the Flags field or EaList is specified by the client. Otherwise, the
server MUST set Open.CurrentEaIndex to 1.
If SL_INDEX_SPECIFIED is set in the Flags field, it SHOULD be ignored by the server if EaList is
specified by the client. Otherwise, the server MUST use EaIndex as the starting index in
FullEaList to enumerate the EA entries until the buffer is full or has run out of the EA entries in
FullEaList. If an out-of-range EaIndex is specified, the server MUST fail the request with
STATUS_NONEXISTENT_EA_ENTRY.
If SL_RETURN_SINGLE_ENTRY is set in the Flags field, the server MUST return the single EA
entry to the client.
3.3.5.20.2 Handling SMB2_0_INFO_FILESYSTEM
The information classes that are supported for querying file systems are listed in section 2.2.37.
Requests for information classes not listed in section 2.2.37 but documented in [MS-FSCC] section
2.5 SHOULD be failed with STATUS_NOT_SUPPORTED.
Requests for information classes not documented in [MS-FSCC] section 2.5 SHOULD be failed with
STATUS_INVALID_INFO_CLASS.
The server MUST query the information requested from the underlying volume that hosts the open
in the object store.<258> If the store does not support the data requested, the server MUST fail the
request with STATUS_NOT_SUPPORTED.
Depending on the information class, the output data consists of a fixed portion followed by optional
variable-length data. If the OutputBufferLength given in the client request is either zero or is
insufficient to hold the fixed length part of the information requested, the server MUST fail the
request with STATUS_INFO_LENGTH_MISMATCH and MUST return error data, as specified in section
2.2.2 with ByteCount set to zero.
received.
If the underlying object store returns only a portion of the variable-length data, the server MUST
construct a success response as described below but set the Status in the SMB2 header to
STATUS_BUFFER_OVERFLOW.
client.
The response MUST then be sent to the client.<259>
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3.3.5.20.3 Handling SMB2_0_INFO_SECURITY
The following section assumes knowledge about security concepts, as described in [MS-WSO]
section 3.1.2 and specified in [MS-DTYP].
1. If the underlying object store does not support object security based on Access Control Lists (as
specified in [MS-DTYP] section 2.4.5), the server MUST return WorldSid for
OWNER_SECURITY_INFORMATION and GROUP_SECURITY_INFORMATION and a NULL value for
DACL_SECURITY_INFORMATION, SACL_SECURITY_INFORMATION and
LABEL_SECURITY_INFORMATION.
2. If SACL_SECURITY_INFORMATION is set in the AdditionalInformation field of the request, and

Open.GrantedAccess does not include ACCESS_SYSTEM_SECURITY, the server MUST fail the
3. If one of DACL_SECURITY_INFORMATION or LABEL_SECURITY_INFORMATION or

GROUP_SECURITY_INFORMATION or OWNER_SECURITY_INFORMATION is set in the
AdditionalInformation field of the request, and Open.GrantedAccess does not include
READ_CONTROL, the server MUST fail the request with STATUS_ACCESS_DENIED.
4. The server MUST call into the underlying object store to query the security descriptor for the
object.<260>
The fields required in the resulting security descriptor are denoted by the flags given in the
AdditionalInformation field of the request.
If the OutputBufferLength given in the client request is either zero or is insufficient to hold the
information requested, the server MUST fail the request with STATUS_BUFFER_TOO_SMALL. The
server MUST return error data containing the buffer size, in bytes, that would be required to return
the requested information, as specified in section 2.2.2 with ByteCount set to 4. The server MUST
NOT return STATUS_BUFFER_OVERFLOW with an incomplete security descriptor to the client as in
the previous cases. If the underlying object store returns an error, the server MUST fail the request
with the error code received.
client.
The security descriptor MUST be placed in the response in Buffer[].
3.3.5.20.4 Handling SMB2_0_INFO_QUOTA
The server's object store MAY support quotas that are associated with a security principal. If the
server exposes support for quotas, it MUST allow security principals to be identified using security
identifiers (SIDs) in the format that is specified in [MS-DTYP] section 2.4.2.<261>
If the underlying object store does not support user quotas, the server MUST fail the request with
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The server MUST verify that the InputBufferOffset and InputBufferLength of the client request
describe an SMB2_QUERY_QUOTA_INFO structure following the syntax specified in section 2.2.37.1.
If not, the server MUST fail the request with STATUS_INVALID_PARAMETER.
The server MUST query the quota information retrieved from the underlying volume that hosts the
open in the object store.<262>
FullQuotaList: The list of the volume's quota information entries maintained by the underlying
object store.
SidList: The list of FILE_GET_QUOTA_INFORMATION structures as specified in [MS-FSCC]

section 2.4.33.1.
If ReturnSingle is TRUE, the server MUST return at most a single quota information entry to the
client.
If SidListLength is nonzero, the server MUST ignore the values of StartSidOffset and
StartSidLength, and enumerate the quota information entries for all the SIDs specified in
SidList. If SidList is not a list of FILE_GET_QUOTA_INFORMATION structures linked via the
NextEntryOffset field, the server MUST fail the request with STATUS_INVALID_PARAMETER. If
the server can't find the corresponding quota information entry through the SID specified in the
FILE_GET_QUOTA_INFORMATION structure, then the server MUST return
FILE_QUOTA_INFORMATION for the SID with the fields ChangeTime and QuotaUsed set to
zero and the fields QuotaThreshold and QuotaLimit set to -1.
If SidListLength is zero, the server MUST determine the location in FullQuotaList of the
StartSid that is specified by StartSidOffset and StartSidLength and set
Open.CurrentQuotaIndex to the index of that SID.<263> If the server cannot find the
specified SID in FullQuotaList, then the server MUST fail the request with
STATUS_INVALID_PARAMETER. The server MUST use Open.CurrentQuotaIndex as the starting
index in FullQuotaList to enumerate the quota information entries until the buffer is full or has
run out of the quota information entries in FullQuotaList. Open.CurrentQuotaIndex MUST be
incremented by the number of quota information entries returned to the client.
If StartSidLength or StartSidOffset or SidListLength are nonzero, the server MUST ignore
the value of RestartScan.
If StartSidLength and StartSidOffset and SidListLength are all zero, the server MUST check
the value of RestartScan. If RestartScan is TRUE, the server MUST set
Open.CurrentQuotaIndex to 1. The server MUST use Open.CurrentQuotaIndex as the
starting index in FullQuotaList to enumerate the quota information entries until the buffer is full
or has run out of the quota information entries in FullQuotaList. Open.CurrentQuotaIndex
MUST be incremented by the number of quota information entries returned to the client.
The server MUST return STATUS_SUCCESS if at least one FILE_QUOTA_INFORMATION entry is

returned.
If the OutputBufferLength given in the client request is either zero or is insufficient to hold single
FILE_QUOTA_INFORMATION entry, the server MUST fail the request with
STATUS_BUFFER_TOO_SMALL and return error data, as specified in section 2.2.2, with ByteCount
set to zero.
If the underlying object store returns an error, the server MUST fail the entire request with the error
code received.
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If the underlying object store returns only a portion of the data available, the server MUST construct
a response, as described below, but set the Status in the SMB2 header to
STATUS_BUFFER_OVERFLOW.
client.
3.3.5.21 Receiving an SMB2 SET_INFO Request
SET_INFO, message handling proceeds as follows:
The server MUST locate the session taking the action using the SessionId in the SMB2 header of
Next, the server MUST locate the tree connect by performing a lookup in
Session.TreeConnectTable using the TreeId in the SMB2 header of the request. If no tree
Next, the server MUST locate the open on which the client is requesting to set information by
performing a lookup in Session.OpenTable using FileId.Volatile of the request as the lookup key.
If no open is found, or if Open.DurableFileId is not equal to FileId.Persistent, the server MUST
fail the request with STATUS_FILE_CLOSED.
CreditCharge field in SMB2 header is not 0, the server MUST validate CreditCharge based on
The remaining processing for this request depends on the InfoType requested, as described below.
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STATUS_EA_LIST_INCONSISTENT
3.3.5.21.1 Handling SMB2_0_INFO_FILE
The information classes that are supported for setting file information are listed in section 2.2.39.
Requests for information classes documented in [MS-FSCC] section 2.4 with "Set" not specified in
the Uses column are not allowed and SHOULD be failed with STATUS_INVALID_INFO_CLASS.
Requests for information classes not documented in section 2.4 of [MS-FSCC] SHOULD<264> be
failed with STATUS_INVALID_INFO_CLASS.
Requests for information classes not listed in section 2.2.39 but documented in [MS-FSCC] section
2.4 with "Set" specified in the Uses column are not allowed and SHOULD be failed with
If the object store supports security and the information class is FileBasicInformation or
FilePipeInformation, and Open.GrantedAccess does not include FILE_WRITE_ATTRIBUTES, the
If the object store supports security and the information class is FileRenameInformation,
FileDispositionInformation, or FileShortNameInformation, and Open.GrantedAccess does not
include DELETE, the server MUST fail the request with STATUS_ACCESS_DENIED.
If the object store supports security and the information class is FileFullEaInformation, and
Open.GrantedAccess does not include FILE_WRITE_EA, the server MUST fail the request with
If the object store supports security and the information class is FileFullEaInformation and the EA
buffer in the Buffer field is not in a valid format, the server MUST fail the request with
STATUS_EA_LIST_INCONSISTENT.
If the object store supports security and the information class is FileAllocationInformation,
FileEndOfFileInformation, or FileValidDataLengthInformation, and Open.GrantedAccess does not
include FILE_WRITE_DATA, the server MUST fail the request with STATUS_ACCESS_DENIED.
The server MUST apply the information requested to the underlying object store.<265> If the store
does not support the information class requested, the server MUST fail the request with
received.
Otherwise, the server MUST initialize an SMB2 SET_INFO Response following the syntax given in
section 2.2.40.
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If the underlying object store returns successfully, the information class is FileRenameInformation,
the server implements SMB 2.1 and supports leasing, and Open.Lease is not NULL, the server
MUST update Open.Lease.Filename to the new name for the file.
3.3.5.21.2 Handling SMB2_0_INFO_FILESYSTEM
The information classes that are supported for setting underlying object store information are listed
in section 2.2.39. Documentation for these is provided [MS-FSCC] section 2.5. Requests for
information classes not listed in section 2.2.39 but documented in section 2.5 of [MS-FSCC] for Uses
of "Set" or "LOCAL" MUST be failed with STATUS_NOT_SUPPORTED. Requests for information
classes not documented in section 2.5 of [MS-FSCC] or documented in section 2.5 of [MS-FSCC] for
Uses of only "Query" MUST be failed with STATUS_INVALID_INFO_CLASS.
If the object store supports security and the information class is FileFsControlInformation or
FileFsObjectIdInformation and Open.GrantedAccess does not include FILE_WRITE_DATA, the
The server MUST apply the information requested to the underlying object store.<266> If the
underlying object store returns an error, the server MUST fail the request with the error code
received. Otherwise, the server MUST initialize an SMB2 SET_INFO Response following the syntax
given in section 2.2.40. The response MUST then be sent to the client.
3.3.5.21.3 Handling SMB2_0_INFO_SECURITY
The following section assumes knowledge about security concepts as described in [MS-WSO] section
3.1.2 and specified in [MS-DTYP].<267>
1. If SACL_SECURITY_INFORMATION is set in the AdditionalInformation field of the request, and

Open.GrantedAccess does not include ACCESS_SYSTEM_SECURITY, the server MUST fail the
2. If DACL_SECURITY_INFORMATION is set in the AdditionalInformation field of the request, and

Open.GrantedAccess does not include WRITE_DAC, the server MUST fail the request with
3. If the object store supports security, either LABEL_SECURITY_INFORMATION,

GROUP_SECURITY_INFORMATION, or OWNER_SECURITY_INFORMATION is set in the
AdditionalInformation field of the request, and Open.GrantedAccess does not include
WRITE_OWNER, the server MUST fail the request with STATUS_ACCESS_DENIED.
4. The server MUST call into the underlying object store to set the security on the object.<268>
The fields being applied in the provided security descriptor are denoted by the flags given in the
AdditionalInformation field of the request.
received.
section 2.2.40.
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3.3.5.21.4 Handling SMB2_0_INFO_QUOTA
The server's object store MAY support quotas associated with a security principal. If the server
exposes support for quotas, it MUST allow security principals to be identified using security
identifiers (SIDs) in the format specified in [MS-DTYP] section 2.4.2.<269>
If the object store does not support quotas, the server MUST fail the request with
If the user represented by Session.SecurityContext is not granted the right to manage quotas on
the underlying volume in the object store, the server MUST fail the request with
The server MUST apply the provided quota information to the underlying volume that hosts the open
in the object store.<270>
received.
section 2.2.40.
3.3.5.22 Receiving an SMB2 OPLOCK_BREAK Acknowledgment
OPLOCK_BREAK, message handling proceeds as follows:
If Connection.Dialect is not equal to "2.100" and the StructureSize of the request is equal to
36, the server MUST process the request as described in section 3.3.5.22.2.
Otherwise, the server MUST process the request as described in section 3.3.5.22.1.
3.3.5.22.1 Processing an Oplock Acknowledgment
The server MUST locate the session taking the action using the SessionId in the SMB2 header of
MUST fail the request with STATUS_USER_SESSION_DELETED. If Session.State is set to
InProgress, the server MUST fail the request with STATUS_ACCESS_DENIED.
Next, the server MUST locate the open on which the client is acknowledging an oplock break by
performing a lookup in Session.OpenTable using FileId.Volatile of the request as the lookup key.
If no open is found, or if Open.DurableFileId is not equal to FileId.Persistent, the server MUST
fail the request with STATUS_FILE_CLOSED.
If Open.OplockState is not Breaking, the server MUST fail the request with
STATUS_INVALID_DEVICE_STATE.
If the OplockLevel of the request is not SMB2_OPLOCK_LEVEL_NONE or SMB2_OPLOCK_LEVEL_II,

the server MUST fail the request with STATUS_INVALID_OPLOCK_PROTOCOL.
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If Open.OplockLevel is not SMB2_OPLOCK_LEVEL_EXCLUSIVE or SMB2_OPLOCK_LEVEL_BATCH,
and the OplockLevel of the request is SMB2_OPLOCK_LEVEL_II, the server MUST fail the request
with STATUS_INVALID_OPLOCK_PROTOCOL.
The server completes the oplock break request received from the object store as described in
section 3.3.4.6. If the OplockLevel of the request is SMB2_OPLOCK_LEVEL_II, the server MUST set
Open.OplockLevel to SMB2_OPLOCK_LEVEL_II and Open.OplockState to Held. If the
OplockLevel of the request is SMB2_OPLOCK_LEVEL_NONE, the server MUST set
Open.OplockLevel to SMB2_OPLOCK_LEVEL_NONE and Open.OplockState to None.
The server then MUST construct an oplock break response using the syntax specified in section
2.2.25 with the following value:
OplockLevel MUST be set to Open.OplockLevel.
This response MUST then be sent to the client.
STATUS_INVALID_OPLOCK_PROTOCOL
STATUS_INVALID_DEVICE_STATE
3.3.5.22.2 Processing a Lease Acknowledgment
The server MUST locate the session that is taking the action by using the SessionId in the SMB2
MUST fail the request with STATUS_USER_SESSION_DELETED. If Session.State is set to
InProgress, the server MUST fail the request with STATUS_ACCESS_DENIED.
Next, the server MUST locate the Lease Table by performing a lookup in GlobalLeaseTableList
using Connection.ClientGuid as the lookup key. If no lease table is found, the server MUST fail the
The server MUST locate the lease on which the client is acknowledging a lease break by performing
a lookup in LeaseTable.LeaseList using the LeaseKey of the request as the lookup key. If no
lease is found, the server MUST fail the request with STATUS_FILE_CLOSED.
If Lease.Breaking is FALSE, the server MUST fail the request with STATUS_UNSUCCESSFUL.
If LeaseState is not <= Lease.BreakToLeaseState, the server MUST fail the request with
STATUS_REQUEST_NOT_ACCEPTED.
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The server completes the lease break request received from the object store as described in section
3.3.4.7. The server MUST set Lease.LeaseState to LeaseState received in the request, and MUST
set Lease.Breaking to FALSE.
The server then MUST construct an oplock break response using the syntax specified in section
2.2.25 with the following values:
LeaseState MUST be set to Lease.LeaseState.
This response MUST then be sent to the client.
STATUS_INVALID_OPLOCK_PROTOCOL
STATUS_INVALID_DEVICE_STATE
3.3.6 Timer Events
3.3.6.1 Oplock Break Acknowledgment Timer Event
The oplock break acknowledgment timer MUST be started when the server sends an SMB2
OPLOCK_BREAK Notification (as specified in section 2.2.23) to the client as a result of the
underlying object store indicating an oplock break or lease break on a file.
When the oplock break acknowledgment timer expires, the server MUST scan for oplock breaks that
have not been acknowledged by the client within the configured time. It does this by enumerating
all opens in the GlobalOpenTable. For each open, if Open.OplockState is Breaking and
Open.OplockTimeout is earlier than the current time, the server MUST acknowledge the oplock
break to the underlying object store represented by Open.LocalOpen, set Open.OplockLevel to
SMB2_OPLOCK_LEVEL_NONE, and set Open.OplockState to None.
If the server implements SMB 2.1 and supports leasing, the server MUST scan for lease breaks that
have not been acknowledged by the client within the configured time. It does this by enumerating
all lease tables in GlobalLeaseTableList. For each lease table, it enumerates all leases in
LeaseTable.LeaseList. For each lease, if Lease.Breaking is TRUE and
Lease.LeaseBreakTimeout is earlier than the current time, the server MUST acknowledge the
lease break to the underlying object store represented by the opens in Lease.LeaseOpens, and set
Lease.LeaseState to NONE.
The timer MUST then be restarted to expire again at the time of the next oplock time-out. If no
other opens have Open.OplockState equal to Breaking, and no leases (if implemented) have
Lease.Breaking set to TRUE, the timer MUST NOT be restarted.
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3.3.6.2 Durable Open Scavenger Timer Event
The durable open scavenger timer MUST be started when the connection or session associated with
a file is disconnected. When the durable open scavenger timer expires, the server MUST scan for
durable opens that have not been reclaimed by a client within the configured time. It does this by
enumerating all opens in the GlobalOpenTable. For each open, if Open.IsDurable is TRUE,
Open.Connection is NULL and Open.DurableOpenTimeout is earlier than the current time, the
server MUST close Open.LocalOpen, remove the open from the GlobalOpenTable, and free the
open object.
The timer MUST then be restarted to expire again at the time of the next durable open time-out. If
no other opens have Open.Connection equal to NULL, the timer MUST NOT be restarted.
3.3.6.3 Session Expiration Timer Event
When the session expiration timer expires, the server MUST walk each Session in the
GlobalSessionTable. If the Session.State is Active and the Session.ExpirationTime has passed,
the Session.State MUST be set to Expired.
3.3.6.4 Resilient Open Scavenger Timer Event
If the server implements SMB 2.1 and supports resiliency, it MUST implement this timer event.
The resilient open scavenger timer MUST be started when the connection or session associated with
a file is disconnected. When the resilient open scavenger timer expires, the server MUST scan for
resilient opens that have not been reclaimed by a client within the configured time. It does this by
enumerating all opens in the GlobalOpenTable. For each open, if Open.IsResilient is TRUE,
Open.Connection is NULL and Open.ResilientOpenTimeout is earlier than the current time, the
server MUST close Open.LocalOpen, remove the open from GlobalOpenTable, and free the open
object.
The timer MUST then be restarted to expire again at the time of the next resilient open time-out. If
no other opens have Open.Connection equal to NULL, the timer MUST NOT be restarted.
3.3.7.1 Handling a Transport Disconnect
When the transport indicates a disconnect, the server MUST enumerate the sessions established
over this connection in GlobalSessionTable.
For every such session in the table, the server MUST deregister every tree connect object in
Session.TreeConnectTable by invoking the event, as specified in [MS-SRVS] section 3.1.6.7. The
tree connect MUST then be removed from Session.TreeConnectTable and freed.
For every open in Session.OpenTable:
If the server implements SMB 2.1 and supports leasing and if Open.IsResilient is TRUE, the
open MUST be preserved for a reconnect. The open MUST be removed from
Session.OpenTable, Open.Connection is set to NULL, Open.Session is set to NULL,
Open.TreeConnect is set to NULL, and Open.ResilientOpenTimeOut is set to the current time
plus Open.ResiliencyTimeout.
If Open.OplockLevel is equal to SMB2_OPLOCK_LEVEL_BATCH, Open.OplockState is equal to

Held, and Open.IsDurable is TRUE, the open MUST be preserved for a reconnect. The open
MUST be removed from Session.OpenTable, Open.Connection is set to NULL, Open.Session
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is set to NULL, Open.TreeConnect is set to NULL, and Open.DurableOpenTimeOut is set to
the current time plus an implementation-specific<271> default value.
If Open.OplockLevel is equal to SMB2_OPLOCK_LEVEL_LEASE, Lease.LeaseState contains

SMB2_LEASE_HANDLE_CACHING, Open.OplockState is equal to Held, and Open.IsDurable is
TRUE, the open MUST be preserved for a reconnect. The open MUST be removed from
Session.OpenTable, Open.Connection is set to NULL, Open.Session is set to NULL,
Open.TreeConnect is set to NULL, and Open.DurableOpenTimeOut is set to the current time
plus an implementation-specific<272> default value.
If the Open is not being preserved for a reconnect, then Open.LocalOpen MUST be closed. The
open is removed from Session.OpenTable, and the open is freed. Then the session MUST be
removed from GlobalSessionTable and freed.
Any requests in Connection.RequestList MUST be canceled and freed.
Finally, the connection MUST be freed.
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4 Protocol Examples
The following sections describe common scenarios that indicate normal traffic flow in order to
illustrate the function of the Server Message Block (SMB) Version 2 Protocol.
4.1 Connecting to a Share by Using a Multi-Protocol Negotiate
The following diagram shows the steps taken by a client that is negotiating SMB2 by using an SMB-
style negotiate.
Figure 5: Client negotiating SMB2 with SMB-style negotiate
1. The client sends an SMB negotiate packet with the string "SMB 2.002" in the dialect string list,
along with the other SMB dialects the client supports.
Smb: C; Negotiate, Dialect = PC NETWORK PROGRAM 1.0, LANMAN1.0, Windows for Workgroups
3.1a, LM1.2X002, LANMAN2.1, NT LM 0.12, SMB 2.002
Protocol: SMB
Command: Negotiate 114(0x72)
SMBHeader: Command, TID: 0xFFFF, PID: 0xFEFF, UID: 0x0000, MID: 0x0000
Flags: 24 (0x18)
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Bit0: (.......0) SMB_FLAGS_LOCK_AND_READ_OK: LOCK_AND_READ and WRITE_AND_CLOSE not
supported (obsoleted)
Bit1: (......0.) SMB_FLAGS_SEND_NO_ACK [not implemented]
Bit2: (.....0..) Reserved (must be zero)
Bit3: (....1...) SMB_FLAGS_CASE_INSENSITIVE: SMB paths are case-insensitive
Bit4: (...1....) SMB_FLAGS_CANONICALIZED_PATHS: Canonicalized File and pathnames
(obsoleted)
Bit5: (..0.....) SMB_FLAGS_OPLOCK: No Oplocks supported for OPEN, CREATE & CREATE_NEW
(obsoleted)
Bit6: (.0......) SMB_FLAGS_OPLOCK_NOTIFY_ANY: No Notifications supported for OPEN,
CREATE & CREATE_NEW (obsoleted)
Bit7: (0.......) SMB_FLAGS_SERVER_TO_REDIR: Command - SMB is being sent from the
client
Flags2: 51283 (0xC853)
Bit00: (...............1) SMB_FLAGS2_KNOWS_LONG_NAMES: May return long file names
Bit01: (..............1.) SMB_FLAGS2_KNOWS_EAS: Understands extended attributes
Bit02: (.............0..) SMB_FLAGS2_SMB_SECURITY_SIGNATURE: Not security signature-
enabled
Bit03: (............0...) Reserved
Bit04: (...........1....) Reserved
Bit05: (..........0.....) SMB_FLAGS2_SMB_SECURITY_SIGNATURE_REQUIRED: SMB packets must
be signed
Bit06: (.........1......) SMB_FLAGS2_IS_LONG_NAME: Any path name in the request is a
long name
Bit07: (........0.......) Reserved
Bit08: (.......0........) Reserved
Bit09: (......0.........) Reserved
Bit10: (.....0..........) SMB_FLAGS2_REPARSE_PATH: Not requesting Reparse path
Bit11: (....1...........) SMB_FLAGS2_EXTENDED_SECURITY: Aware of extended security
Bit12: (...0............) SMB_FLAGS2_DFS: No DFS namespace
Bit13: (..0.............) SMB_FLAGS2_PAGING_IO: Read operation will NOT be permitted
if has no read permission
Bit14: (.1..............) SMB_FLAGS2_NT_STATUS: Using 32-bit NT status error codes
Bit15: (1...............) SMB_FLAGS2_UNICODE: Using UNICODE strings
PIDHigh: 0 (0x0)
SecuritySignature: 0x0
Reserved: 0 (0x0)
TreeID: 65535 (0xFFFF)
ProcessID: 65279 (0xFEFF)
UserID: 0 (0x0)
MultiplexID: 0 (0x0)
CNegotiate:
WordCount: 0 (0x0)
ByteCount: 109 (0x6D)
Dialect: PC NETWORK PROGRAM 1.0
BufferFormat: Dialect 2(0x2)
DialectName: PC NETWORK PROGRAM 1.0
Dialect: LANMAN1.0
DialectName: LANMAN1.0
Dialect: Windows for Workgroups 3.1a
DialectName: Windows for Workgroups 3.1a
Dialect: LM1.2X002
DialectName: LM1.2X002
Dialect: LANMAN2.1
Dialect: NT LM 0.12
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DialectName: NT LM 0.12
Dialect: SMB 2.002
DialectName: SMB 2.002
2. The server receives the SMB negotiate request and finds dialect "SMB 2.002". The server
responds with an SMB2 negotiate.
Smb2: R NEGOTIATE
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Status: STATUS_SUCCESS
Command: NEGOTIATE
Credits: 1 (0x1)
Flags: 1 (0x1)
ServerToRedir: ...............................1 Server to Client
AsyncCommand: ..............................0. Command is not asynchronous
Related: .............................0.. Packet is single message
Signed: ............................0... Packet is not signed
Reserved: 0 (0x0)
DFS: 0............................... Command is not a DFS Operation
NextCommand: 0 (0x0)
MessageId: 0 (0x0)
ProcessId: 65279 (0xFEFF)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
RNegotiate:
Size: 65 (0x41)
SecurityMode: Signing Enabled
DialectRevision: 0x0202
Reserved: 0 (0x0)
Guid: {3F5CF209-A4E5-0049-A7D6-6A456D5CA5CF}
Capabilities: 1 (0x1)
DFS: ...............................1 DFS available
MaxTransactSize: 65536 (0x10000)
MaxReadSize: 65536 (0x10000)
MaxWriteSize: 65536 (0x10000)
SystemTime: 127972992061679232 (0x1C6A6C21CAE2680)
ServerStartTime: 127972985895467232 (0x1C6A6C0AD2538E0)
SecurityBufferOffset: 128 (0x80)
SecurityBufferLength: 30 (0x1E)
Reserved2: 0 (0x0)
Buffer:
3. The client queries GSS for the authentication token and sends an SMB2 SESSION_SETUP Request
with the output token received from GSS.
Smb2: C SESSION SETUP

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SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: SESSION SETUP
Credits: 126 (0x7E)
Flags: 0 (0x0)
ServerToRedir: ...............................0 Client to Server
Reserved: 0 (0x0)
MessageId: 1 (0x1)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
CSessionSetup:
Size: 25 (0x19)
VcNumber: 0 (0x0)
Channel: 0 (0x0)
SecurityBufferLength: 74 (0x4A)
Buffer: (74 bytes)
4. The server processes the token received with GSS and gets a return code indicating a subsequent
round trip is required. The server responds to the client with an SMB2 SESSION_SETUP Response
with Status equal to STATUS_MORE_PROCESSING_REQUIRED and the response containing the
output token from GSS.
Smb2: R SESSION SETUP (Status=STATUS_MORE_PROCESSING_REQUIRED)

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Status: STATUS_MORE_PROCESSING_REQUIRED
Credits: 2 (0x2)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 1 (0x1)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
RSessionSetup:
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Size: 9 (0x9)
SessionFlags: Normal session
SecurityBufferLength: 219 (0xDB)
Buffer: (219 bytes)
5. The client processes the received token with GSS and sends an SMB2 SESSION_SETUP Request
with the output token received from GSS and the SessionId received on the previous response.

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 125 (0x7D)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 2 (0x2)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
CSessionSetup:
Size: 25 (0x19)
VcNumber: 0 (0x0)
Channel: 0 (0x0)
SecurityBufferLength: 245 (0xF5)
Buffer: (245 bytes)
6. The server processes the token received with GSS and gets a successful return code. The server
responds to client with an SMB2 SESSION_SETUP Response with Status equal to
STATUS_SUCCESS and the response containing the output token from GSS.
Smb2: R SESSION SETUP

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 3 (0x3)
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Flags: 9 (0x9)
Signed: ............................1... Packet is signed
Reserved: 0 (0x0)
MessageId: 2 (0x2)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
RSessionSetup:
Size: 9 (0x9)
SecurityBufferLength: 29 (0x1D)
Buffer: (29 bytes)
7. The client completes the authentication and sends an SMB2 TREE_CONNECT Request with the
SessionId for the session, and a tree connect request containing the Unicode share name
"\\smb2server\IPC$".
Smb2: C TREE CONNECT \\smb2server\IPC$

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: TREE CONNECT
Credits: 123 (0x7B)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 3 (0x3)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
CTreeConnect:
Size: 9 (0x9)
Reserved: 0 (0x0)
PathOffset: 72 (0x48)
PathLength: 34 (0x22)
Share: \\smb2server\IPC$
8. The server responds with an SMB2 TREE_CONNECT Response with MessageId of 3,

CreditResponse of 5, Status equal to STATUS_SUCCESS, SessionId of 0x40000000009, and
TreeId set to the locally generated identifier 0x1.
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Smb2: R TREE CONNECT TID=0x1
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 5 (0x5)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 3 (0x3)
TreeId: 1 (0x1)
SessionId: 4398046511113 (0x40000000009)
RTreeConnect:
Size: 16 (0x10)
ShareType: Pipe
Reserved: 0 (0x0)
Flags: No Caching
MaximalAccess: 2032127 (0x1F01FF)
Further operations can now continue, using the SessionId and TreeId generated in the connection
to this share.
4.2 Negotiating SMB 2.10 dialect by using Multi-Protocol Negotiate
The following diagram shows the steps taken by a client that is negotiating SMB 2.10 dialect by
using an SMB-style negotiate.
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Figure 6: Client negotiating SMB 2.10 dialect with SMB-style negotiate
1. The client sends an SMB negotiate packet with the string "SMB 2.???" in the dialect string list,
along with the other SMB dialects the client supports.
Smb: C; Negotiate, Dialect = PC NETWORK PROGRAM 1.0, LANMAN1.0, Windows for Workgroups
3.1a, LM1.2X002, LANMAN2.1, NT LM 0.12, SMB 2.002, SMB 2.???
Protocol: SMB
Command: Negotiate 114(0x72)
NTStatus: 0x0, Facility = FACILITY_SYSTEM, Severity = STATUS_SEVERITY_SUCCESS, Code =
(0) STATUS_SUCCESS
Code: (................0000000000000000) (0) STATUS_SUCCESS
Facility: (...0000000000000................) FACILITY_SYSTEM
Customer: (..0.............................) NOT Customer Defined
Severity: (00..............................) STATUS_SEVERITY_SUCCESS
SMBHeader: Command, TID: 0xFFFF, PID: 0xFEFF, UID: 0x0000, MID: 0x0000
Flags: 24 (0x18)
LockAndRead: (.......0) LOCK_AND_READ and WRITE_AND_UNLOCK NOT supported
(Obsolete) (SMB_FLAGS_LOCK_AND_READ_OK)
NoAck: (......0.) An ACK response is needed (SMB_FLAGS_SEND_NO_ACK[only
applicable when SMB transport is NetBIOS over IPX])
Reserved_bit2: (.....0..) Reserved (Must Be Zero)
CaseInsensitive: (....1...) SMB paths are caseinsensitive (SMB_FLAGS_CASE_INSENSITIVE)
Canonicalized: (...1....) Canonicalized File and pathnames (Obsolete)
(SMB_FLAGS_CANONICALIZED_PATHS)
Oplock: (..0.....) Oplocks NOT supported for OPEN, CREATE & CREATE_NEW
(Obsolete) (SMB_FLAGS_OPLOCK)
OplockNotify: (.0......) Notifications NOT supported for OPEN, CREATE & CREATE_NEW
(Obsolete) (SMB_FLAGS_OPLOCK_NOTIFY_ANY)
FromServer: (0.......) Command SMB is being sent from the client
(SMB_FLAGS_SERVER_TO_REDIR)
Flags2: 51283 (0xC853)
KnowsLongFiles: (...............1) Understands Long File Names
(SMB_FLAGS2_KNOWS_LONG_NAMES)
ExtendedAttribs: (..............1.) Understands extended attributes
(SMB_FLAGS2_KNOWS_EAS)
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SignEnabled: (.............0..) Security signatures NOT enabled
(SMB_FLAGS2_SMB_SECURITY_SIGNATURE)
Compressed: (............0...) Compression Disabled for REQ_NT_WRITE_ANDX and
RESP_READ_ANDX (SMB_FLAGS2_COMPRESSED)
SignRequired: (...........1....) Security Signatures are required
(SMB_FLAGS2_SMB_SECURITY_SIGNATURE_REQUIRED)
Reserved_bit5: (..........0.....) Reserved (Must Be Zero)
LongFileNames: (.........1......) Use Long File Names (SMB_FLAGS2_IS_LONG_NAME)
Reserved_bits7_9: (......000.......) Reserved (Must Be Zero)
ReparsePath: (.....0..........) NOT a Reparse path (SMB_FLAGS2_REPARSE_PATH)
ExtSecurity: (....1...........) Aware of extended security
(SMB_FLAGS2_EXTENDED_SECURITY)
Dfs: (...0............) NO DFS namespace (SMB_FLAGS2_DFS)
Paging: (..0.............) Read operation will NOT be permitted unless user
has permission (NO Paging IO) (SMB_FLAGS2_PAGING_IO)
StatusCodes: (.1..............) Using 32bit NT status error codes
(SMB_FLAGS2_NT_STATUS)
Unicode: (1...............) Using UNICODE strings (SMB_FLAGS2_UNICODE)
PIDHigh: 0 (0x0)
SecuritySignature: 0x0
Reserved: 0 (0x0)
TreeID: 65535 (0xFFFF)
ProcessID: 65279 (0xFEFF)
UserID: 0 (0x0)
MultiplexID: 0 (0x0)
CNegotiate:
WordCount: 0 (0x0)
ByteCount: 120 (0x78)
Dialect: PC NETWORK PROGRAM 1.0
DialectName: PC NETWORK PROGRAM 1.0
Dialect: LANMAN1.0
Dialect: Windows for Workgroups 3.1a
DialectName: Windows for Workgroups 3.1a
Dialect: LM1.2X002
DialectName: LM1.2X002
Dialect: LANMAN2.1
Dialect: NT LM 0.12
DialectName: NT LM 0.12
Dialect: SMB 2.002
DialectName: SMB 2.002
Dialect: SMB 2.???
DialectName: SMB 2.???
2. The server receives the SMB negotiate request and finds the "SMB 2.???" string in the dialect
string list. The server responds with an SMB2 NEGOTIATE Response with the DialectRevision set
to 0x02ff.
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Smb2: R NEGOTIATE (0x0), GUID={1ED9580F5FEF1AA04B9DDB1C77C63757}, Mid = 0
SMBIdentifier: SMB
SMB2Header: R NEGOTIATE (0x0)
Size: 64 (0x40)
Epoch: 0 (0x0)
Status: 0x0, Facility = FACILITY_SYSTEM, Severity = STATUS_SEVERITY_SUCCESS, Code =
(0) STATUS_SUCCESS
Command: NEGOTIATE (0x0)
Credits: 1 (0x1)
Flags: 0x1
ServerToRedir: (...............................1) Server to Client
(SMB2_FLAGS_SERVER_TO_REDIR)
AsyncCommand: (..............................0.) Command is not asynchronous
(SMB2_FLAGS_ASYNC_COMMAND)
Related: (.............................0..) Packet is single message
(SMB2_FLAGS_RELATED_OPERATIONS)
Signed: (............................0...) Packet is not signed
(SMB2_FLAGS_SIGNED)
Reserved4_27: (....000000000000000000000000....)
DFS: (...0............................) Command is not a DFS Operation
(SMB2_FLAGS_DFS_OPERATIONS)
Reserved29_31: (000.............................)
MessageId: 0 (0x0)
ProcessId: 0 (0x0)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
Signature: Binary Large Object (16 Bytes)
RNegotiate:
Size: 65 (0x41)
SecurityMode: Signing Enabled (0x1)
DialectRevision: 767 (0x2FF)
Reserved: 0 (0x0)
Guid: {1ED9580F5FEF1AA04B9DDB1C77C63757}
Capabilities: 0x3
DFS: (...............................1) DFS available
Reserved_bits1_31: (0000000000000000000000000000001.) Reserved
MaxReadSize: 1048576 (0x100000)
SystemTime: 12/29/2008, 11:18:59 PM
SystemStartTime: 12/05/2008, 11:55:51 PM
SecurityBufferLength: 120 (0x78)
Reserved2: 541936672 (0x204D4C20)
securityBlob:
3. The client receives the SMB2 NEGOTIATE Response. The client issues a new SMB2 NEGOTIATE
Request with a new dialect 0x0210 appended along with other SMB2 dialects.
Smb2: C NEGOTIATE (0x0), GUID={9879BE56-0D00-58BA-11DD-D5F0AF3A5B5D}, Mid = 1
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SMBIdentifier: SMB
SMB2Header: C NEGOTIATE (0x0)
Size: 64 (0x40)
Epoch: 0 (0x0)
(0) STATUS_SUCCESS
Credits: 0 (0x0)
Flags: 0x0
ServerToRedir: (...............................0) Client to Server
(SMB2_FLAGS_SIGNED)
Reserved4_27: (....000000000000000000000000....)
Reserved29_31: (000.............................)
MessageId: 1 (0x1)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
CNegotiate:
Size: 36 (0x24)
DialectCount: 2 (0x2)
Reserved: 0 (0x0)
Capabilities: 0x0
DFS: (...............................0) DFS unavailable
Guid: {9879BE56-0D00-58BA-11DD-D5F0AF3A5B5D}
StartTime: No Time Specified (0)
Dialects:
Dialects: 514 (0x202)
4. The server receives the SMB2 negotiate request and finds dialect 0x0210. The server sends an
SMB2 NEGOTIATE Response with DialectRevision set to 0x0210.
Smb2: R NEGOTIATE (0x0), GUID={1ED9580F-5FEF-1AA0-4B9D-DB1C77C63757}, Mid = 1

SMBIdentifier: SMB
SMB2Header: R NEGOTIATE (0x0)
Size: 64 (0x40)
Epoch: 0 (0x0)
(0) STATUS_SUCCESS
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Credits: 1 (0x1)
Flags: 0x1
ServerToRedir: (...............................1) Server to Client
(SMB2_FLAGS_SIGNED)
Reserved4_27: (....000000000000000000000000....)
Reserved29_31: (000.............................)
MessageId: 1 (0x1)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
RNegotiate:
Size: 65 (0x41)
DialectRevision: 528 (0x210)
Reserved: 0 (0x0)
Guid: {1ED9580F-5FEF-1AA0-4B9D-DB1C77C63757}
Capabilities: 0x3
DFS: (...............................1) DFS available
MaxReadSize: 1048576 (0x100000)
SystemTime: 12/29/2008, 11:18:59 PM
SystemStartTime: 12/05/2008, 11:55:51 PM
SecurityBufferLength: 120 (0x78)
Reserved2: 0 (0x0)
securityBlob:
4.3 Connecting to a Share by Using an SMB2 Negotiate
The following diagram shows the steps taken by a client that is negotiating SMB2 by using an SMB2
negotiate.
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Figure 7: Client negotiating SMB2 with SMB2 negotiate
1. The client sends an SMB2 negotiate packet with the dialect 0x0202 in the Dialects array.
Smb2: C NEGOTIATE
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: NEGOTIATE
Credits: 126 (0x7E)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 0 (0x0)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
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CNegotiate:
Size: 36 (0x24)
DialectCount: 1 (0x1)
Reserved: 0 (0x0)
Guid: {00000000-0000-0000-0000-000000000000}
StartTime: 0 (0x0)
2. The server receives the SMB2 NEGOTIATE Request and finds dialect 0x0202. The server responds
with an SMB2 negotiate.
Smb2: R NEGOTIATE
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: NEGOTIATE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 0 (0x0)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
RNegotiate:
Size: 65 (0x41)
DialectRevision: 514 (0x0202)
Reserved: 0 (0x0)
Guid: {3F5CF209-A4E5-0049-A7D6-6A456D5CA5CF}
MaxReadSize: 65536 (0x10000)
SystemTime: 127972992061679232 (0x1C6A6C21CAE2680)
ServerStartTime: 127972985895467232 (0x1C6A6C0AD2538E0)
SecurityBufferLength: 30 (0x1E)
Reserved2: 0 (0x0)
Buffer:
3. The client queries GSS for the authentication token and sends an SMB2 SESSION_SETUP Request
with the output token received from GSS.
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SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 126 (0x7E)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 1 (0x1)
TreeId: 0 (0x0)
SessionId: 0 (0x0)
CSessionSetup:
Size: 25 (0x19)
VcNumber: 0 (0x0)
Channel: 0 (0x0)
SecurityBufferLength: 74 (0x4A)
Buffer: (74 bytes)
4. The server processes the token received with GSS and gets a return code indicating a subsequent
round trip is required. The server responds to the client with an SMB2 SESSION_SETUP Response
with Status equal to STATUS_MORE_PROCESSING_REQUIRED and the response containing the
output token from GSS.

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Status: STATUS_MORE_PROCESSING_REQUIRED
Credits: 2 (0x2)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 1 (0x1)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
RSessionSetup:
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Size: 9 (0x9)
SecurityBufferLength: 219 (0xDB)
Buffer: (219 bytes)
5. The client processes the received token with GSS and sends an SMB2 SESSION_SETUP Request
with the output token received from GSS and the SessionId received on the previous response.

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 125 (0x7D)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 2 (0x2)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
CSessionSetup:
Size: 25 (0x19)
VcNumber: 0 (0x0)
Channel: 0 (0x0)
SecurityBufferLength: 245 (0xF5)
Buffer: (245 bytes)
6. The server processes the token received with GSS and gets a successful return code. The server
responds to the client with an SMB2 SESSION_SETUP Response with Status equal to
STATUS_SUCCESS and the response containing the output token from GSS.

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 3 (0x3)
Flags: 9 (0x9)
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Signed: ............................1... Packet is signed
Reserved: 0 (0x0)
MessageId: 2 (0x2)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
RSessionSetup:
Size: 9 (0x9)
SecurityBufferLength: 29 (0x1D)
Buffer: (29 bytes)
7. The client completes the authentication and sends an SMB2 TREE_CONNECT Request with the
SessionId for the session, and a tree connect request containing the Unicode share name
"\\smb2server\IPC$".
Smb2: C TREE CONNECT \\smb2server\IPC$

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 123 (0x7B)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 3 (0x3)
TreeId: 0 (0x0)
SessionId: 4398046511113 (0x40000000009)
CTreeConnect:
Size: 9 (0x9)
Reserved: 0 (0x0)
PathOffset: 72 (0x48)
PathLength: 34 (0x22)
Share: \\smb2server\IPC$
8. The server responds with an SMB2 TREE_CONNECT Response with MessageId of 3,

CreditResponse of 5, Status equal to STATUS_SUCCESS, SessionId of 0x40000000009, and
TreeId set to the locally generated identifier 0x1.
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Smb2: R TREE CONNECT TID=0x1
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Credits: 5 (0x5)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 3 (0x3)
TreeId: 1 (0x1)
SessionId: 4398046511113 (0x40000000009)
RTreeConnect:
Size: 16 (0x10)
ShareType: Pipe
Reserved: 0 (0x0)
Flags: No Caching
MaximalAccess: 2032127 (0x1F01FF)
Further operations can now continue, using the SessionId and TreeId generated in the connection
to this share.
4.4 Executing an Operation on a Named Pipe
The following diagram demonstrates the steps taken to execute transactions over a named pipe
using both individual reads and writes, and the transact named pipe operation. Assume that this
sequence starts on a connection where the session and tree connect have been established as
described in previous sections with SessionId = 0x4000000000D and TreeId 0x1, and messages
have been exchanged such that the current MessageId is 9.
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Figure 8: Executing an operation on a named pipe
1. The client sends an SMB2 CREATE Request to open the named pipe "srvsvc".
Smb2: C CREATE srvsvc

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CREATE
Credits: 111 (0x6F)
Flags: 0 (0x0)
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Reserved: 0 (0x0)
MessageId: 9 (0x9)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
CCreate:
Size: 57 (0x39)
SecurityFlags: 0 (0x0)
RequestedOplockLevel: 9 (0x9)
ImpersonationLevel: 2 (0x2)
SmbCreateFlags: 0 (0x0)
Reserved: 0(0x0)
DesiredAccess: 0x0012019f
read: (...............................1) Read Data
write: (..............................1.) Write Data
append: (.............................1..) Append Data
readEA: (............................1...) Read EA
writeEA: (...........................1....) Write EA
FileExecute: (..........................0.....) No File Execute
FileDeleted: (.........................0......) No File Delete
FileRead: (........................1.......) File Read Attributes
FileWrite: (.......................1........) File Write Attributes
FileAttributes: 0x00000000
ReadOnly: (...............................0) Read/Write
Hidden: (..............................0.) Not Hidden
System: (.............................0..) Not System
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Archive: (..........................0.....) Not Archive
Device: (.........................0......) Not Device
Normal: (........................0.......) Not Normal
Temporary: (.......................0........) Permanent
Sparse: (......................0.........) Not Sparse
Reparse: (.....................0..........) Not Reparse Point
Compressed: (....................0...........) Uncompressed
Offline: (...................0............) Content indexed
NotIndexed: (..................0.............) Permanent
Encrypted: (.................0..............) Unencrypted
ShareAccess: Shared for Read/Write
CreateDisposition: Open
CreateOptions: 0x00400040
dir: (...............................0) non-directory
write: (..............................0.) non-write through
sq: (.............................0..) non-sequentially writing allowed
buffer: (............................0...) intermediate buffering allowed
alert: (...........................0....) IO alerts bits not set
nonalert: (..........................0.....) IO non-alerts bit not set
nondir: (.........................1......) Operation is on non-directory file
connect: (........................0.......) tree connect bit not set
oplock: (.......................0........) complete if oplocked bit not set
EA: (......................0.........) no EA knowledge bit is not set
filename: (.....................0..........) 8.3 filenames bit is not set
random: (....................0...........) random access bit is not set
delete: (...................0............) delete on close bit is not set
open: (..................0.............) open by filename
backup: (.................0..............) open for backup bit not set
NameOffset: 120 (0x78)
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NameLength: 12 (0xC)
CreateContextsOffset: 0 (0x0)
CreateContextsLength: 0 (0x0)
Name: srvsvc
2. The server responds with an SMB2 CREATE Response with the FileId for the pipe open.
Smb2: R CREATE FID=

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CREATE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 9 (0x9)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
RCreate:
Size: 89 (0x59)
OplockLevel: 0 (0x0)
Reserved1: 9 (0x9)
CreateAction: 1 (0x1)
CreationTime: 0 (0x0)
LastAccessTime: 0 (0x0)
LastWriteTime: 0 (0x0)
ChangeTime: 0 (0x0)
AllocationSize: 4096 (0x1000)
EndOfFile: 0 (0x0)
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Normal: (........................1.......) Normal
Reserved2: 7536758 (0x730076)
Fid:
Persistent: 5 (0x5)
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Volatile: -4294967291 (0xFFFFFFFF00000005)
3. The client sends an SMB2 WRITE Request to write data into the pipe.
Smb2: C WRITE 0x74 bytes at offset 0 (0x0)

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 10 (0xA)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
CWrite:
Size: 49 (0x31)
DataOffset: 112 (0x70)
DataLength: 116 (0x74)
Offset: 0 (0x0)
Fid:
Persistent: 5 (0x5)
Channel: 0 (0x0)
RemainingBytes: 0 (0x0)
WriteChannelInfoOffset: 0 (0x0)
WriteChannelInfoLength: 0 (0x0)
Flags: 0 (0x0)
Data: (116 bytes)
4. The server responds with an SMB2 WRITE Response indicating the data was written successfully.
Smb2: R WRITE 0x74 bytes written

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 1 (0x1)
Flags: 1 (0x1)
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Reserved: 0 (0x0)
MessageId: 10 (0xA)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
RWrite:
Size: 17 (0x11)
Reserved: 0 (0x0)
Remaining: 0 (0x0)
5. The client sends an SMB2 READ Request to read data from the pipe.
Smb2: C READ 0x400 bytes from offset 0 (0x0)

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: READ
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 11 (0xB)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
CRead:
Size: 49 (0x31)
Padding: 80 (0x50)
Reserved: 0 (0x0)
Offset: 0 (0x0)
Fid:
Persistent: 5 (0x5)
MinimumCount: 0 (0x0)
Channel: 0 (0x0)
ReadChannelInfoOffset: 0 (0x0)
ReadChannelInfoLength: 0 (0x0)
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6. The server responds with an SMB2 READ Response with the data that was read.
Smb2: R READ 0x5c bytes read

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: READ
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 11 (0xB)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
RRead:
Size: 17 (0x11)
Reserved: 0 (0x0)
DataLength: 92 (0x5C)
DataRemaining: 0 (0x0)
Reserved2: 0 (0x0)
Data: (92 bytes)
7. The client sends an SMB2 IOCTL Request to perform a pipe transaction, writing data into the
buffer and then reading the response in a single operation.
Smb2: C IOCTL
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: IOCTL
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 12 (0xC)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
CIoCtl:
Size: 57 (0x39)
Reserved: 0 (0x0)
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Code: 0x0011c017
Fid:
Persistent: 5 (0x5)
InputOffset: 120 (0x78)
InputCount: 68 (0x44)
MaxInputResponse: 0 (0x0)
OutputOffset: 120 (0x78)
OutputCount: 0 (0x0)
MaxOutputResponse: 1024 (0x400)
Flags: 1 (0x1)
Reserved2: 0 (0x0)
Input: (68 bytes)
8. The server sends an SMB2 IOCTL Response with the data that was read.
Smb2: R IOCTL
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: IOCTL
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 12 (0xC)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
RIoCtl:
Size: 49 (0x31)
Reserved: 0 (0x0)
Code: 0x0011c017
Method: ..............................11 Method neither
Function: 0x005
Access: ................11.............. Read/Write
Device: 0x0011
Fid:
Persistent: 5 (0x5)
InputOffset: 112 (0x70)
InputCount: 68 (0x44)
OutputOffset: 184 (0xB8)
OutputCount: 112 (0x70)
Flags: 0 (0x0)
Reserved2: 0 (0x0)
Input: (68 bytes)
Output: (112 bytes)
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9. The client sends an SMB2 CLOSE Request to close the named pipe.
Smb2: C CLOSE FID=

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CLOSE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 13 (0xD)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
CClose:
Size: 24 (0x18)
Flags: 1 (0x1)
Reserved: 0 (0x0)
Fid:
Persistent: 5 (0x5)
10.The server sends an SMB2 CLOSE Response to indicate the close was successful.
Smb2: R CLOSE
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CLOSE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 13 (0xD)
TreeId: 1 (0x1)
SessionId: 4398046511117 (0x4000000000D)
RClose:
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Size: 60 (0x3C)
Flags: 0 (0x0)
Reserved: 0 (0x0)
CreationTime: 0 (0x0)
LastAccessTime: 0 (0x0)
LastWriteTime: 0 (0x0)
ChangeTime: 0 (0x0)
EndOfFile: 0 (0x0)
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Encrypted: (.................0..............)
4.5 Reading from a Remote File
The following diagram demonstrates the steps taken to open a remote file, read from it, and close it.
Assume that this sequence starts on a connection where the session and tree connect have been
established as described in previous sections with SessionId of 0x40000000011 and TreeId of
0x5, and messages have been exchanged such that the current MessageId is 10.
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Figure 9: Reading from a remote file
1. The client sends an SMB2 CREATE Request for the file "testfile.txt".
Smb2: C CREATE testfile.txt

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CREATE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 10 (0xA)
TreeId: 5 (0x5)
SessionId: 4398046511121 (0x40000000011)
CCreate:
Size: 57 (0x39)
Reserved: 0 (0x0)
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DesiredAccess: 0x00120089
read: (...............................1) Read Data
write: (..............................0.) No Write Data
append: (.............................0..) No Append Data
readEA: (............................1...) Read EA
writeEA: (...........................0....) No Write EA
FileWrite: (.......................0........) No File Write Attributes
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Normal: (........................1.......) Normal
ShareAccess: Shared for Read/Write
CreateDisposition: Open
CreateOptions: 0x00000060
dir: (...............................0) non-directory
write: (..............................0.) non-write through
sq: (.............................0..) non-sequentially writing allowed
buffer: (............................0...) intermediate buffering allowed
nonalert: (..........................1.....) Do synchronous IO non-alerts
nondir: (.........................1......) Operation is on non-directory file
connect: (........................0.......) tree connect bit not set
oplock: (.......................0........) complete if oplocked bit not set
EA: (......................0.........) no EA knowledge bit is not set
random: (....................0...........) random access bit is not set
delete: (...................0............) delete on close bit is not set
open: (..................0.............) open by filename
backup: (.................0..............) open for backup bit not set
NameLength: 24 (0x18)
Name: testfile.txt
2. The server responds with an SMB2 CREATE Response giving the FileId of the opened file.
Smb2: R CREATE FID=

SMB2Header:
Size: 64 (0x40)
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Epoch: 0 (0x0)
Command: CREATE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 10 (0xA)
TreeId: 5 (0x5)
SessionId: 4398046511121 (0x40000000011)
RCreate:
Size: 89 (0x59)
Reserved1: 9 (0x9)
CreationTime: 127972992877715232 (0x1C6A6C24D51DF20)
LastAccessTime: 127972992923579232 (0x1C6A6C2500DB360)
LastWriteTime: 127972992923579232 (0x1C6A6C2500DB360)
ChangeTime: 127972992923579232 (0x1C6A6C2500DB360)
EndOfFile: 98 (0x62)
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Archive: (..........................1.....) Archive
Reserved2: 0 (0x0)
Fid:
Persistent: 17 (0x11)
3. The client sends an SMB2 READ Request to read data from the file.
Smb2: C READ 0x62 bytes from offset 0 (0x0)

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
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Command: READ
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 11 (0xB)
TreeId: 5 (0x5)
SessionId: 4398046511121 (0x40000000011)
CRead:
Size: 49 (0x31)
Padding: 80 (0x50)
Reserved: 0 (0x0)
Offset: 0 (0x0)
Fid:
MinimumCount: 0 (0x0)
Channel: 0 (0x0)
ReadChannelInfoOffset: 0 (0x0)
ReadChannelInfoLength: 0 (0x0)
4. The server responds with an SMB2 READ Response with the data read from the file.
Smb2: R READ 0x62 bytes read

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: READ
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 11 (0xB)
TreeId: 5 (0x5)
SessionId: 4398046511121 (0x40000000011)
RRead:
Size: 17 (0x11)
Reserved: 0 (0x0)
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DataRemaining: 0 (0x0)
Reserved2: 0 (0x0)
Data: (98 bytes)
5. The client sends an SMB2 CLOSE Request to close the file.
Smb2: C CLOSE FID=

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CLOSE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 12 (0xC)
TreeId: 5 (0x5)
SessionId: 4398046511121 (0x40000000011)
CClose:
Size: 24 (0x18)
Flags: 1 (0x1) <- Post-query attributes
Reserved: 0 (0x0)
Fid:
Persistent: 9 (0x9)
6. The server sends an SMB2 CLOSE Response indicating the close was successful.
Smb2: R CLOSE
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CLOSE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 12 (0xC)
TreeId: 5 (0x5)
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SessionId: 4398046511121 (0x40000000011)
RClose:
Size: 60 (0x3C)
Flags: 1 (0x1)
Reserved: 0 (0x0)
CreationTime: 127972990708847232 (0x1C6A6C1CC0B9280)
LastAccessTime: 127972993090343232 (0x1C6A6C259FE5140)
LastWriteTime: 127972992877715232 (0x1C6A6C24D51DF20)
ChangeTime: 127972992877715232 (0x1C6A6C24D51DF20)
EndOfFile: 0 (0x0)
Reserverd3: 0 (0x0)
Directory: (...........................1....) Directory
4.6 Writing to a Remote File
The following diagram demonstrates the steps taken to open a remote file, write to it, and close it.
established as described in previous sections, and messages have been exchanged such that the
current MessageId is 30. Let us assume TreeId is set to 0x1 and SessionId is set to
0x40000000015 for all requests and responses listed below.
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Figure 10: Writing to a remote file
1. The client sends an SMB2 CREATE Request for the file "test.dat".
Smb2: C CREATE test.dat

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CREATE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Signed: ............................0... Packet not signed
Reserved: 0 (0x0)
MessageId: 10 (0xA)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
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CCreate:
Size: 57 (0x39)
Reserved: 0 (0x0)
DesiredAccess: 0x00130197
read: (...............................1) Read Data
write: (..............................1.) Write Data
append: (.............................1..) Append Data
readEA: (............................0...) No Read EA
writeEA: (...........................1....) Write EA
FileWrite: (.......................1........) File Write Attributes
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Archive: (..........................1.....) Archive
ShareAccess: No sharing
CreateDisposition: Overwrite if
CreateOptions: 0x0000004c
dir: (...............................0) Non-directory
write: (..............................0.) Non-write through
sq: (.............................1..) Data must be written
to the file sequentially
buffer: (............................1...) Do not do intermediate
buffering
nonalert: (..........................0.....) IO non-alerts bit not set
nondir: (.........................1......) Operation is on non-directory
file
connect: (........................0.......) Tree connect bit not set
oplock: (.......................0......
..) Complete if oplocked bit is not
set
EA: (......................0.........) No EA knowledge bit is not set
random: (....................0...........) Random access bit is not set
delete: (...................0............) Delete on close bit is not set
open: (..................0.............) Open by filename
backup: (.................0..............) Open for backup bit not set
NameLength: 16 (0x10)
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Name: test.dat
2. The server responds with an SMB2 CREATE Response with the FileId of the opened file.
Smb2: R CREATE FID=

SMBIdentifier: SMB
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CREATE
Credits: 1 (0x1)
Flags: 1 (0x1)
AsyncCommand: ..............................0. Command not asynchronous
Reserved: 0 (0x0)
DFS: 0............................... Command not DFS Operation
MessageId: 10 (0xA)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RCreate:
Size: 89 (0x59)
Reserved1: 9 (0x9)
CreationTime: 127972994486543232 (0x1C6A6C2AD36A380)
LastAccessTime: 127972994486543232 (0x1C6A6C2AD36A380)
LastWriteTime: 127972994486543232 (0x1C6A6C2AD36A380)
ChangeTime: 127972994486543232 (0x1C6A6C2AD36A380)
AllocationSize: 765952 (0xBB000)
EndOfFile: 0 (0x0)
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Archive: (..........................1.....) Archive
Reserved2: 0 (0x0)
Fid:
Volatile: -4294967291
(0xFFFFFFFF00000005)
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3. The client sends an SMB2 SET_INFO Request to set FileEndOfFileInformation (specified in MS-
FSCC section 2.4.13) to 0x2f000.
Smb2: C SET INFORMATION

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: SET INFORMATION
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 11 (0xB)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
CSetInfo:
Size: 33 (0x21)
InfoType: 1 (0x1)
FileInformationClass:
FileEndOfFileInformation
BufferLength: 8 (0x8)
BufferOffset: 96 (0x60)
Reserved: 0 (0x0)
AdditionalInformation: 0 (0x0)
Fid:
Volatile: -4294967291
Buffer: (8 bytes) 0x000000000002f000
4. The server sends an SMB2 SET_INFO Response with success.
Smb2: R SET INFORMATION

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: SET INFORMATION
Credits: 1 (0x1)
Flags: 1 (0x1)
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Reserved: 0 (0x0)
MessageId: 11 (0xB)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RSetInfo:
Size: 2 (0x2)
5. The client sends an SMB2 WRITE Request to write the first 0x10000 bytes.
Smb2: C WRITE 0x10000 bytes at

offset 0 (0x0)
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 12 (0xC)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
CWrite:
Size: 49 (0x31)
Offset: 0 (0x0)
Fid:
Volatile: -4294967291
Channel: 0 (0x0)
Flags: 0 (0x0)
6. The server responds with an SMB2 WRITE Response indicating 0x10000 bytes were written.
Smb2: R WRITE 0x10000 bytes

written
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
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Command: WRITE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 12 (0xC)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RWrite:
Size: 17 (0x11)
Reserved: 0 (0x0)
Remaining: 0 (0x0)
7. The client sends an SMB2 WRITE Request to write the next 0x10000 bytes.
Smb2: C WRITE 0x10000 bytes at

offset 0 (0x0)
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 13 (0xD)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
CWrite:
Size: 49 (0x31)
Offset: 65536 (0x10000)
Fid:
Volatile: -4294967291
Channel: 0 (0x0)
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Flags: 0 (0x0)
8. The server responds with an SMB2 WRITE Response indicating 0x10000 bytes were written.
Smb2: R WRITE 0x10000 bytes

written
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 13 (0xD)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RWrite:
Size: 17 (0x11)
Reserved: 0 (0x0)
Remaining: 0 (0x0)
9. The client sends an SMB2 WRITE Request to write the final 0xf000 bytes.
Smb2: C WRITE 0xF000 bytes at

offset 0 (0x0)
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 14 (0xE)
TreeId: 1 (0x1)
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SessionId: 4398046511125 (0x40000000015)
CWrite:
Size: 49 (0x31)
DataLength: 61440 (0xF000)
Offset: 131072 (0x20000)
Fid:
Volatile: -4294967291
Channel: 0 (0x0)
Flags: 0 (0x0)
10.The server responds with an SMB2 WRITE Response indicating 0xf000 bytes were written.
Smb2: R WRITE 0xF000 bytes

written
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: WRITE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 14 (0xE)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RWrite:
Size: 17 (0x11)
Reserved: 0 (0x0)
DataLength: 61440 (0xF000)
Remaining: 0 (0x0)
11.The client sends an SMB2 CLOSE Request to close the opened file.
Smb2: C CLOSE FID=

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CLOSE
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Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 15 (0xF)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
CClose:
Size: 24 (0x18)
Flags: 1 (0x1)
Reserved: 0 (0x0)
Fid:
Volatile: -4294967291
12.The server sends an SMB2 CLOSE Response indicating the close was successful.
Smb2: R CLOSE
SMBIdentifier: SMB
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: CLOSE
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
MessageId: 15 (0xF)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RClose:
Size: 60 (0x3C)
Flags: 1 (0x1)
Reserved: 0 (0x0)
CreationTime: 127972994486543232
(0x1C6A6C2AD36A380)
LastAccessTime: 127972994494343232
(0x1C6A6C2ADADA840)
LastWriteTime: 127965940833141721
(0x1C6A0585EB543D9)
ChangeTime: 127972993511484705
(0x1C6A6C273186D21)
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EndOfFile: 192512 (0x2F000)
Reserverd3: 0 (0x0)
Directory: (...........................0....) File
Archive: (..........................1.....) Archive
4.7 Disconnecting a Share and Logging Off
The following diagram demonstrates the steps taken to close a tree connect and log off a session.
established as described in previous sections with SessionId of 0x40000000015 and TreeId of
0x1.
Figure 11: Disconnecting a share and logging off a session
1. The client sends an SMB2 TREE_DISCONNECT Request for the tree connect.
Smb2: C TREE DISCONNECT TID=0x1

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: TREE DISCONNECT
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Credits: 111 (0x6F)
Flags: 0 (0x0)
Reserved: 0 (0x0)
MessageId: 32 (0x20)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
CTreeDisconnect:
Size: 4 (0x4)
Reserved: 0 (0x0)
2. The server responds with an SMB2 TREE_DISCONNECT Response indicating success.
Smb2: R TREE DISCONNECT

SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: TREE DISCONNECT
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
TreeId: 1 (0x1)
SessionId: 4398046511125 (0x40000000015)
RTreeDisconnect:
Size: 4 (0x4)
Reserved: 0 (0x0)
3. The client sends an SMB2 LOGOFF Request for the session.
Smb2: C LOGOFF
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: LOGOFF
Credits: 111 (0x6F)
Flags: 0 (0x0)
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Reserved: 0 (0x0)
TreeId: 0 (0x0)
SessionId: 4398046511125 (0x40000000015)
CLogoff:
Size: 4 (0x4)
Reserved: 0 (0x0)
4. The server responds with an SMB2 LOGOFF Response indicating success.
Smb2: R LOGOFF
SMB2Header:
Size: 64 (0x40)
Epoch: 0 (0x0)
Command: LOGOFF
Credits: 1 (0x1)
Flags: 1 (0x1)
Reserved: 0 (0x0)
TreeId: 0 (0x0)
SessionId: 4398046511125 (0x40000000015)
RLogoff:
Size: 4 (0x4)
Reserved: 0 (0x0)
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5 Security
The following sections specify security considerations for implementers of the Server Message Block
(SMB) Version 2 Protocol.
5.1 Security Considerations for Implementers
The protocol does not sign oplock break requests from the server to the client if message signing is
enabled. This could allow attackers to affect performance but it does not allow them to deny access
or alter data.
The protocol does not require cancel requests from the client to the server to be signed if message
signing is enabled. This could allow attackers to cancel previously sent messages from the client to
the server on the same SMB2 transport connection.
The previous versions support does potentially allow access to versions of a file that have been
deleted or modified, and so could allow access to information that was not available without these
extensions. However, this access is still subject to the same access checks it would have normally
been subject to.
All data exchanged on the wire is not encrypted. For data that requires stricter security, either the
underlying transport must provide encryption of the data or a different protocol may be more
applicable.
5.2 Index of Security Parameters
Security parameter Section
SHA-256 hashing 3.1.4.1
SHA-256 hashing 3.1.5.1
GSSAPI authentication 3.2.4.2.3
GSSAPI authentication 3.3.5.5.3
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6 Appendix A: Product Behavior
The information in this specification is applicable to the following Microsoft products:
Windows Vista® operating system
Windows Server® 2008 operating system
Windows® 7 operating system
Windows Server® 2008 R2 operating system
Exceptions, if any, are noted below. If a service pack number appears with the product version,
behavior changed in that service pack. The new behavior also applies to subsequent service packs of
the product unless otherwise specified.
Unless otherwise specified, any statement of optional behavior in this specification prescribed using
the terms SHOULD or SHOULD NOT implies product behavior in accordance with the SHOULD or
SHOULD NOT prescription. Unless otherwise specified, the term MAY implies that product does not
follow the prescription.
<1> Section 1.6: The Server Message Block (SMB) Version 2.002 Protocol is available only in
Windows Vista, Windows Server 2008, Windows 7, and Windows Server 2008 R2. SMB Version 2.1
is available only in Windows 7 and Windows Server 2008 R2. Windows Vista, Windows Server 2008,
Windows 7 and Windows Server 2008 R2 default to using the highest common dialect of the SMB 2
Protocol when it is available. Windows 95, Windows 98, Windows Millennium Edition,
Windows NT 4.0, Windows 2000, Windows XP, and Windows Server 2003, support the SMB Protocol,
as specified in [MS-SMB], and thus use it by default.
<2> Section 2.2.1.1: Windows-based clients always set the SessionId field to 0 for these
commands, and Windows-based servers will ignore SessionId for these commands.
<3> Section 2.2.2: Windows–based SMB2 servers leave this one byte of ErrorData uninitialized
and it might contain any value.
<4> Section 2.2.2.1: Windows servers will never follow a symlink. It is the client's responsibility to
evaluate the symlink and access the actual file using the symlink. A Windows server only returns
STATUS_STOPPED_ON_SYMLINK when the open fails due to presence of a symlink.
<5> Section 2.2.2.1: Windows Vista, Windows Server 2008, Windows 7, and Windows
Server 2008 R2 will return an absolute target to a local resource in the format of "\??\C:\..." where
C: is the drive mount point on the local system and ... is replaced by the remainder of the path to
the target.
<6> Section 2.2.3: Windows-based SMB2 servers fail the request and return
STATUS_INVALID_PARAMETER, if the DialectCount field is greater than 64.
<7> Section 2.2.3: A Windows Vista RTM–based client would send a value of zero in the Dialects
array in SMB2 NEGOTIATE Request and a Windows Vista RTM-based server would acknowledge with
a value of 6 in DialectRevision in SMB2 NEGOTIATE Response. This behavior is deprecated.
<8> Section 2.2.3: Windows Vista, Windows Server 2008, Windows 7, and Windows
Server 2008 R2 support this dialect revision.
<9> Section 2.2.3: Only Windows 7 and Windows Server 2008 R2 support this dialect revision.
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<10> Section 2.2.4: A Windows Vista RTM–based client would send a value of zero in the Dialects
array in SMB2 NEGOTIATE Request and a Windows Vista RTM–based server would acknowledge with
a value of 6 in DialectRevision in SMB2 NEGOTIATE Response. This behavior is deprecated.
<11> Section 2.2.4: Windows Vista, Windows Server 2008, Windows 7, and Windows
Server 2008 R2 support this dialect revision.
<12> Section 2.2.4: Only Windows 7 and Windows Server 2008 R2 support this dialect revision.
<13> Section 2.2.4: The "SMB 2.???" dialect string is supported by SMB2 clients and servers in
Windows 7 and Windows Server 2008 R2.
<14> Section 2.2.4: Windows-based SMB2 servers may set this field to any value.
<15> Section 2.2.4: Windows–based SMB2 servers generate a new ServerGuid each time they are
started.
<16> Section 2.2.4: Windows clients do not enforce the MaxTransactSize value.
<17> Section 2.2.5: Windows-based clients always set the Capabilities field to
SMB2_GLOBAL_CAP_DFS(0x00000001) and the server will ignore them on receipt.
<18> Section 2.2.9: The Windows SMB 2 Protocol client translates any names of the form
\\server\pipe to \\server\IPC$ before sending a request on the network.
<19> Section 2.2.10: SHI1005_FLAGS_FORCE_LEVELII_OPLOCK is not supported on Windows Vista

and Windows Server 2008.
<20> Section 2.2.13: Windows-based clients never use exclusive oplocks. Because there are no
situations where the client would require an exclusive oplock where it would not also require an
SMB2_OPLOCK_LEVEL_BATCH, it always requests an SMB2_OPLOCK_LEVEL_BATCH.
<21> Section 2.2.13: Windows-based SMB2 servers impersonate with the Anonymous Logon
Security Principal SID(S-1-5-7), as described in [MS-LSAT] section 3.1.1.1.1.
<22> Section 2.2.13: When opening an existing file, Windows clients set this field to any value, and
Windows-based servers ignore this value.
<23> Section 2.2.13: When opening a printer file or a named pipe, Windows-based servers ignore
these ShareAccess values.
<24> Section 2.2.13: When opening a printer object, Windows-based servers ignore this value.
<27> Section 2.2.13: Windows server implementations reserve all bits that are not specified in the
table. If any of the reserved bits are set, STATUS_NOT_SUPPORTED is returned.
<28> Section 2.2.13: Windows SMB2 clients do not initialize this bit. The bit contains the value
specified by the caller when requesting the open.
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<33> Section 2.2.13: Windows Vista, Windows Server 2008, and Windows 7-based clients will set
this bit when it is requested by the application.
<34> Section 2.2.13.1.1: Windows sets this flag to the value passed in by the higher-level
application.
<35> Section 2.2.13.1.1: Windows Server 2008 R2 fails the Create or Open request with
STATUS_ACCESS_DENIED if the caller does not have the SYNCHRONIZE privilege.
<36> Section 2.2.13.1.1: Windows fails the create request with STATUS_ACCESS_DENIED if the
caller does not have the AccessSystemAcl privilege.
<37> Section 2.2.13.1.2: Windows sets this flag to the value passed in by the higher-level
application.
<38> Section 2.2.13.2: If DataLength is 0, Windows-based clients set this field to any value.
<39> Section 2.2.13.2.8: Windows 7 and Windows Server 2008 R2 as SMB server support the
following combinations of values: 0, READ, READ | WRITE, READ | HANDLE, READ | WRITE |
HANDLE. Windows 7 and Windows Server 2008 R2 clients restrict requests accordingly.
<40> Section 2.2.14: Windows-based clients never use exclusive oplocks. Because there are no
situations where it would require an exclusive oplock where it would not also require an
<41> Section 2.2.14: Windows-based SMB2 servers always return FILE_OPENED for pipes with
successful opens.
<42> Section 2.2.14: Windows-based SMB2 servers may set this field to any value.
<43> Section 2.2.23.1: Windows-based clients never use exclusive oplocks. Because there are no
situations where it would require an exclusive oplock where it would not also require an
<44> Section 2.2.24.1: Windows-based clients never use exclusive oplocks. There are no situations
where an exclusive oplock would be used instead of using a SMB2_OPLOCK_LEVEL_BATCH.
<45> Section 2.2.24.2: Windows clients always set the LeaseState in the Lease Break
Acknowledgment to be equal to the LeaseState in the Lease Break Notification from the server.
<46> Section 2.2.31: If no input data is required for the FSCTL/IOCTL command being issued,
Windows-based clients set this field to any value.
<47> Section 2.2.31: Windows clients set the OutputOffset field equal to the InputOffset field.
<48> Section 2.2.31.1.1: Windows sets this field to any value.
<49> Section 2.2.31.2.1: Windows–based SMB2 servers and clients do not check
SourceFileName. It is ignored.
<50> Section 2.2.32: Windows–based SMB2 servers set the InputOffset field to the offset, in
bytes, from the beginning of the SMB2 header to the Buffer[] field of the response.
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<51> Section 2.2.32: Windows–based SMB2 servers set InputCount to the same value as the
value received in the IOCTL request for the following FSCTLs.
FSCTL_FIND_FILES_BY_SID
FSCTL_GET_RETRIEVAL_POINTERS
FSCTL_QUERY_ALLOCATED_RANGES
FSCTL_READ_FILE_USN_DATA
FSCTL_RECALL_FILE
FSCTL_WRITE_USN_CLOSE_RECORD
Windows clients ignore the InputCount field.
<52> Section 2.2.32: Windows–based SMB2 servers set OutputOffset to InputOffset +

InputCount, rounded up to a multiple of 8.
<53> Section 2.2.32.2: Windows-based SMB2 server will place 2 extra bytes set to zero in the
SRV_SNAPSHOT_ARRAY response, if NumberOfSnapShotsReturned is zero.
<54> Section 2.2.32.3: Windows-based servers Windows Vista, Windows Server 2008, Windows 7,
and Windows Server 2008 R2 always send 4 bytes of zero for the Context field.
<55> Section 2.2.33: Windows-based servers do not support resuming an enumeration at a

specified FileIndex. The server will ignore this flag.
<56> Section 2.2.37: Windows clients set this value to the offset from the start of the SMB2 header
to the beginning of the Buffer field.
<57> Section 2.2.37: Windows clients send a 1-byte buffer of 0 when InputBufferLength is set to
0.
<58> Section 2.2.37.1: Windows clients set this field to 1 for TRUE.
<59> Section 2.2.37.1: Windows clients set this field to 1 for TRUE.
<60> Section 2.2.37.1: If either StartSidLength or StartSidOffset is zero, Windows Vista,

Windows Server 2008, Windows 7, and Windows Server 2008 R2 servers ignore both and process
the buffer as a SidList-type request as described in SidBuffer format 1. As a consequence, they will
fail the request with STATUS_INVALID_PARAMETER.
Server 2008 R2 clients always send the request with the SidBuffer field containing a SidList and
never send the request with a StartSid.
<62> Section 3.1.3: By default, Windows-based servers set the RequireMessageSigning value to
TRUE for domain controllers and FALSE for all other machines.
<63> Section 3.2.1.2: Windows clients do not enforce the MaxTransactSize value.
<64> Section 3.2.2.1: The Windows-based client implements this timer with a default value of 60
seconds. The client does not enforce this timer for the following commands:
Named Pipe Read
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Named Pipe Write
Directory Change Notifications
Blocking byte range lock requests
FSCTLs: FSCTL_PIPE_PEEK, FSCTL_PIPE_TRANSCEIVE, FSCTL_PIPE_WAIT
<65> Section 3.2.2.2: The Windows-based clients scan existing connections every 10 seconds and
disconnect idle connects that have no open files and that have had no activity for 10 or more
seconds.
<66> Section 3.2.4.1.1: A client can selectively sign requests, and the server will sign the
corresponding responses. Windows-based clients do not selectively sign requests.
<67> Section 3.2.4.1.2: The Windows-based client will request credits up to a configured
maximum. That maximum is 128 by default. A Windows-based client sends a value of 0 for an SMB2
NEGOTIATE Request and expects the server to grant at least 1 credit.
<68> Section 3.2.4.1.4: Windows SMB2 Server allows a mix of related and unrelated compound
requests in the same transport send. Upon encountering a request with
SMB2_FLAGS_RELATED_OPERATIONS not set Windows SMB2 Server treats it as the start of a chain.
<69> Section 3.2.4.1.4: Windows Vista, Windows Server 2008, Windows 7, and Windows
Server 2008 R2 will align their compounded requests and responses on 8-byte boundaries. Currently
they do not disconnect other machines that disobey this rule.
<70> Section 3.2.4.1.4: The Windows-based client does not send unrelated compounded requests.
<71> Section 3.2.4.1.4: Windows-based clients will compound certain related requests to improve
performance, by combining a Create with another operation, such as an attribute query.
<72> Section 3.2.4.1.5: Windows 7 client only sends multi-credit requests for read, write, and
directory enumeration.
<73> Section 3.2.4.2: Windows-based clients always set up a new transport connection when
establishing a new session to a server.
<74> Section 3.2.4.2: Windows will reuse an existing session if the access is by the same logged-on
user and the target server name matches exactly. This means that Windows will establish a new
session with the same credentials if the same user is logged on to the client multiple times, or if the
user is accessing the server through two different names that resolve to the same server. (NetBIOS
and fully qualified domain name, for example.)
<75> Section 3.2.4.2: Windows will establish a new connection for every SMB2 session being
created.
<76> Section 3.2.4.2: Windows establishes a new connection for each new session.
<77> Section 3.2.4.2.2: The Windows-based client will initiate a multi-protocol negotiation unless it
has previously negotiated with this server and determined that it supports the SMB 2 Protocol. In
the latter case, it will initiate an SMB2-only negotiate.
<78> Section 3.2.4.2.2.1: When a Windows-based client sends the deprecated "SMB 2.001" dialect,
a Windows Vista RTM–based server would acknowledge with a value of 6 in DialectRevision in the
SMB2 NEGOTIATE Response. This behavior is deprecated.
<79> Section 3.2.4.2.3: Windows-based clients implement the first option that is specified.
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<80> Section 3.2.4.2.3: All the GSS-API tokens used by Windows SMB2 clients are up to 4Kbytes in
size. SMB2 servers always instruct the GSS_API server to expect the GSS_C_FRAGMENT_TO_FIT.
<81> Section 3.2.4.2.3.1: Windows-based clients implement the first option that is specified.
<82> Section 3.2.4.2.3.1: All the GSS-API tokens used by Windows SMB2 clients are up to 4Kbytes
in size. SMB2 servers always instruct the GSS_API server to expect the GSS_C_FRAGMENT_TO_FIT.
<83> Section 3.2.4.3: Windows-based clients will request a batch oplock for file creates.
<84> Section 3.2.4.3.8: A Windows client application requests SMB2_LEASE_READ_CACHING and

SMB2_LEASE_HANDLE_CACHING when a file is opened for read access. In addition, a Windows
client application requests SMB2_LEASE_WRITE_CACHING if the file is being opened for write
access.
<85> Section 3.2.4.6: Windows-based clients will try to send multiple read commands at the same
time, starting at the lowest offset and working to the highest.
<86> Section 3.2.4.7: Windows-based clients always put the payload at the beginning of the Buffer
field and do not insert padding.
<87> Section 3.2.4.7: Windows-based clients will try to send multiple write commands at the same
time, starting at the lowest offset and working to the highest.
<88> Section 3.2.4.8: Windows clients set this value to the offset from the start of the SMB2
header to the beginning of the Buffer field.
Server 2008 R2 clients will set StartSidLength and StartSidOffset to any value.
Server 2008 R2 clients always use a SidList.
Server 2008 R2 clients set SidListLength to be StartSidOffset + StartSidLength instead of 0.
<94> Section 3.2.4.14: If either StartSidLength or StartSidOffset is zero, Windows Vista,

Windows Server 2008, Windows 7, and Windows Server 2008 R2 servers ignore both and process
the buffer as a SidList-type request as described in section 2.2.37.1 SidBuffer format 1. As a
consequence, they will fail the request with STATUS_INVALID_PARAMETER.
<95> Section 3.2.4.17: The Windows SMB2 server implementation closes and reopens the directory
handle in order to "reset" the enumeration state. So any outstanding operations on the directory
handle will be failed with a STATUS_FILE_CLOSED error.
<96> Section 3.2.4.20.1: Windows clients set this field to any value.
<97> Section 3.2.4.20.1: Windows clients set the OutputOffset field to InputOffset +
InputCount, rounded up to a multiple of 8 bytes.
<98> Section 3.2.4.20.2.1: Windows clients set this field to any value.
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<99> Section 3.2.4.20.2.1: Windows clients set this field to InputOffset + InputCount, rounded
up to a multiple of 8 bytes.
<100> Section 3.2.4.20.2.2: Windows applications use FSCTL_SRV_COPYCHUNK if the target file
handle has FILE_READ_DATA access. Otherwise, they use the FSCTL_SRV_COPYCHUNK_WRITE.
<101> Section 3.2.4.20.2.2: Windows clients set the OutputOffset field to InputOffset +
<104> Section 3.2.4.20.5: Windows clients set this field to any value.
<106> Section 3.2.4.20.6: Windows-based SMB2 servers pass File System Control requests through
to the local object store but do not support I/O Control requests and fail such requests with
<108> Section 3.2.4.20.7: Windows clients set the OutputOffset field to the sum of the values of
the InputOffset and the InputCount fields, rounded up to a multiple of 8 bytes.
<110> Section 3.2.5.1.2: Windows-based clients will not disconnect the connection but simply
disregard the incorrectly signed response.
<111> Section 3.2.5.1.6: Windows-based clients will not disconnect the connection, but will simply
fail the request.
<112> Section 3.2.5.1.7: Windows-based SMB 2 Protocol clients do not check the validity of the
command in the response.
<113> Section 3.2.5.2: Windows-based clients will not use the MaxTransactSize and will use the
ServerGuid to determine if the client and server are the same machine.
<114> Section 3.2.5.14: If the OutputCount field in an SMB2 IOCTL Response is 0 and the
OutputOffset exceeds the size of the SMB2 response, Windows clients will return
STATUS_INVALID_NETWORK_RESPONSE to the application.
<115> Section 3.2.5.14.9: Windows clients enable TCP keepalives to detect broken connections.
<116> Section 3.2.5.19.1: Windows-based clients will not request exclusive oplocks.
<117> Section 3.2.6.1: Windows clients use a default time-out of 60 seconds for all requests with
the following exception. Windows clients do not enforce a time-out on SMB2 CHANGE_NOTIFY
requests, SMB2 LOCK requests without the SMB2_LOCKFLAG_FAIL_IMMEDIATELY flag, SMB2 READ
requests on named pipes, SMB2 WRITE requests on named pipes, and the FSCTL_PIPE_PEEK,
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FSCTL_PIPE_TRANSCEIVE and FSCTL_PIPE_WAIT named pipe FSCTLs. Windows clients enforce a
time-out on SMB2 FLUSH requests on named pipes.
<118> Section 3.2.6.1: Windows clients do not extend the default time-out.
<119> Section 3.2.6.1: Windows-based clients return a STATUS_CONNECTION_DISCONNECTED

error code to the calling application.
<120> Section 3.2.6.1: The Windows-based clients will disconnect the connection.
<121> Section 3.2.6.2: The Windows-based client will disconnect idle connections that have no
open files and that have had no activity for 10 seconds.
<122> Section 3.3.1.1: Windows-based servers will limit the maximum range of sequence numbers.
If a client has been granted 10 credits, the server will not allow the difference between the smallest
available sequence number and the largest available sequence number to exceed 2*10 = 20.
Therefore, if the client has sequence number 10 available and does not send it, the server will stop
granting credits as the client nears sequence number 30, and eventually will grant no further credits
until the client sends sequence number 10.
<123> Section 3.3.1.2: Windows Vista SP1, Windows 7, and Windows Server 2008–based SMB2
clients require a minimum of 4 credits to be granted by the server.
<124> Section 3.3.1.2: A Windows-based server will grant some portion of the client request based
on available resources and the number of credits the client is currently taking advantage of. A
Windows–based server grants credits based on usage but will attempt to enforce fairness if there
are insufficient credits.
<125> Section 3.3.1.2: A Windows–based server does not currently scale credits based on quality
of service features.
<126> Section 3.3.1.4: Windows 7 and Windows Server 2008 R2-based SMB2 servers support only
the levels described above, and Windows 7 and Windows Server 2008 R2-based SMB2 clients
request only those levels.
<127> Section 3.3.1.6: Windows-based servers allow the sharing of both printers and traditional file
shares.
<128> Section 3.3.1.6: In Windows, this abstract state element contains the security descriptor for
the share.
<129> Section 3.3.1.10: Windows 7 and Windows Server 2008 R2 SMB 2.1 server support a
maximum extent of 64 entries in the Open.LockSequenceArray[].
<130> Section 3.3.2.1: This timer has a default value of 35 seconds, but its value could be changed
by system policy to any range between 5 seconds and infinite (4,294,967,295 seconds).
<131> Section 3.3.2.2: Windows-based SMB2 servers set this timer to a constant value of 16
minutes.
<132> Section 3.3.2.3: Windows-based servers implement this timer with a constant value of 45
seconds.
<133> Section 3.3.3: By default, Windows-based servers listen on both TCP-445 and NetBIOS.
They can be configured to use only TCP-445 by disabling NetBIOS over TCP. Likewise, they can also
pick up this setting via policy or DHCP configuration.
<134> Section 3.3.3: Windows-based SMB2 servers set this value to 256.
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<135> Section 3.3.3: Windows-based SMB2 servers set this value to 1 MB.
<136> Section 3.3.3: Windows-based SMB2 servers set this value to 16 MB.
<137> Section 3.3.3: Windows servers initialize ServerHashLevel based on a stored value in the
registry.
<138> Section 3.3.3: Windows 7 and Windows Server 2008 R2 SMB2 servers provide a constant
maximum resiliency time-out of 300000 milliseconds.
<139> Section 3.3.4.1.1: Windows-based servers do not sign interim responses.
<140> Section 3.3.4.1.2: For an asynchronously processed request, Windows Vista, Windows
Server 2008, Windows 7, and Windows Server 2008 R2 grant credits on the interim response and do
not grant credits on the final response. The interim response grants credits to keep the transaction
from stalling in case the client is out of credits.
<141> Section 3.3.4.1.3: The Windows-based server compounds responses for any received
compounded operations. Otherwise, it does not compound responses.
<142> Section 3.3.4.1.3: Windows-based servers grant all credits in the final response of the
compounded chain, and grant 0 credits in all responses other than the final response.
<143> Section 3.3.4.2: Windows-based servers send interim responses for the following operations
if they cannot be completed immediately:
SMB2_CREATE, when the server is in oplock break for the file under consideration
SMB2_CHANGE_NOTIFY
Byte Range Lock
Named Pipe Read on a blocking named pipe
Named Pipe Write on a blocking named pipe
Large file write
FSCTL_PIPE_TRANSCEIVE
FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE, when oplock break happens
SMB2 FLUSH on a named pipe
<144> Section 3.3.4.2: Windows-based servers incorrectly process the FSCTL_PIPE_WAIT request
on named pipes synchronously.
<145> Section 3.3.4.2: Windows servers allot a certain number of blocking operations with a
statically configured blocking operation credit, which defaults to 50 but is configurable. If a client
attempts to exceed this maximum number of blocking operations, the server will fail the request.
<146> Section 3.3.4.2: Windows servers always fail requests that go to async mode in a compound
request with STATUS_INTERNAL_ERROR except for the following two cases: when a create request
in the compound request triggers an oplock break, or when the last request in the compound
request requires to go async mode. If a create request in a compound chain goes to async mode
due to oplock break, Windows servers only send one interim response to the client. If there are
other create requests in a compound chain already completed before the oplock break, the broken
oplock level will not be updated in these create responses in the compound chain.
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<147> Section 3.3.4.4: For Windows 7 and Windows Server 2008 R2, STATUS_BUFFER_OVERFLOW
will be returned for FSCTL_GET_RETRIEVAL_POINTERS and FSCTL_GET_REPARSE_POINT, along
with the ones mentioned in section 3.3.4.4.
<148> Section 3.3.4.6: Windows based SMB2 servers set Open.OplockTimeout to the current
time plus 35000 milliseconds.
<149> Section 3.3.4.7: Windows Server 2008 R2 breaks to one of the following caching states:
NONE, R, RW, RH, RWH.
<150> Section 3.3.4.7: Windows based SMB2 servers set Lease.LeaseBreakTimeout to the
current time plus 35000 milliseconds.
<151> Section 3.3.5.2: Windows generates a unique IORequest Identifier for each request sent to
the object store. The IORequest is also stored in the Connection.RequestList entry until
completed by the object store, so that the pending IO operations can be canceled. Windows
performs cancellation of in-progress requests via the interface in [MS-FSA]section 3.1.5.19 Server
Requests Canceling an Operation. The IORequest parameter is obtained from the
Connection.RequestList as stored during the original object store operation invocation.
<152> Section 3.3.5.2.2: Windows-based servers will not fail the request with an error code but will
disconnect clients that send noncompounded requests with an invalid MessageId. When the
MessageId is invalid in the compounded requests, the server behavior is undefined.
<153> Section 3.3.5.2.3: Windows-based servers will not disconnect the connection due to a
mismatched signature.
<154> Section 3.3.5.2.3: Windows-based servers will not disconnect the connection due to an
unsigned packet.
<155> Section 3.3.5.2.5: Windows-based servers will disconnect the connection when it processes
packets that are smaller than the SMB2 header or packets that contain an invalid SMB2 command.
For all other validations, it will not disconnect the connection but simply return the error.
<156> Section 3.3.5.2.6: Windows–based SMB2 servers always fail requests that go to async mode
in a compound request with STATUS_INTERNAL_ERROR except for the following two cases: when a
create request in the compound request triggers an oplock break, or when the last request in the
compound request goes to async mode. If multiple requests in a compound message go to async
mode, only the first request will be responded to by Windows–based SMB2 servers. Subsequent
async requests will be ignored by Windows–based SMB2 server implementations. Responses for the
requests prior to the first async request are sent as part of a single response. Other responses are
returned in separate messages.
<157> Section 3.3.5.2.6: Windows-based SMB2 servers allow a mix of related and unrelated
compound requests in the same transport send. Upon encountering a request with
SMB2_FLAGS_RELATED_OPERATIONS not set, a Windows-based SMB2 server treats it as the start
of a chain.
<158> Section 3.3.5.2.6.2: If SMB2_FLAGS_RELATED_OPERATIONS is present in the first request

and the request does not have valid SessionId, TreeId or FileId, Windows servers fail all requests
in compounded chain with error STATUS_INVALID_PARAMETER. Otherwise, the operation will
succeed.
<159> Section 3.3.5.2.6.2: Windows Vista, Windows Server 2008, Windows 7, and Windows
Server 2008 R2 fail the compounded request with STATUS_INVALID_PARAMETER if the previous
request failed to create the FileId or the compounded request does not contain a FileId,
SessionId, or TreeId. If the previous session expired, Windows Vista, Windows Server 2008,
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Windows 7, and Windows Server 2008 R2 fail the next request in the compound request with
STATUS_NETWORK_SESSION_EXPIRED, and the subsequent requests in the compounded request
will be failed with STATUS_ INVALID_PARAMETER.
<160> Section 3.3.5.3.1: Windows clients do not enforce the MaxTransactSize value.
<161> Section 3.3.5.3.1: If the negotiate dialect is SMB 2.1 and the underlying TCP endpoint is on
port 445, the default MaxTransactSize value is set to 1024KB. This default value can be
customized through registry configurations. Otherwise, the default MaxTransactSize value is set to
64KB.
port 445, the default MaxReadSize value is set to 1024KB. This default value can be customized
through registry configurations. Otherwise, the default MaxReadSize value is set to 64KB.
port 445, the default MaxWriteSize value is set to 1024KB. This default value can be customized
through registry configurations. Otherwise, the default MaxWriteSize value is set to 64K.
<164> Section 3.3.5.3.2: When a Windows-based client sends the deprecated "SMB 2.001" dialect,
a Windows Vista RTM-based server would acknowledge with a value of 6 in DialectRevision in the
SMB2 NEGOTIATE Response. This behavior is deprecated.
<165> Section 3.3.5.3.2: A Windows Vista RTM–based server sets DialectRevision to 6.
<166> Section 3.3.5.3.2: Windows clients do not enforce the MaxTransactSize value.
<167> Section 3.3.5.5.3: Windows 2000, Windows XP, Windows Server 2003, Windows Vista,
Windows Server 2008, Windows 7, and Windows Server 2008 R2 will also accept raw Kerberos
messages and implicit NTLM messages as part of GSS authentication.
<168> Section 3.3.5.9: Windows-SMB2 servers ignore the FILE_OPEN_REPARSE_POINT flag and
return STATUS_PATH_NOT_COVERED
<169> Section 3.3.5.9: If the target of the create request is a file, and any of the bits in the mask
0x0CE0FE00 are set, Windows allows the file open but does not allow any operations on the opened
file.
<170> Section 3.3.5.9: Windows-based servers ignore DesiredAccess values other than
FILE_WRITE_DATA, FILE_APPEND_DATA and GENERIC_WRITE if any one of these values is
specified.
<171> Section 3.3.5.9: Windows-based servers fail requests having a CreateDisposition of

FILE_OPEN or FILE_OVERWRITE, but ignore values of FILE_SUPERSEDE, FILE_OPEN_IF and
FILE_OVERWRITE_IF.
Server 2008 R2 ignore create contexts having a NameLength greater than 4 and ignores create
contexts with length of 4 that are not specified in section 2.2.13.2.
<173> Section 3.3.5.9: Windows performs the following open/create mappings from SMB2
parameters to the object store as described in [MS-FSA] section 3.1.5.1 Server Requests an Open of
a File.
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Object Store
parameter SMB2 parameter Notes
DesiredAccess DesiredAccess
DesiredFileAttributes FileAttributes
ShareAccess ShareAccess
CreateDisposition CreateDisposition
CreateOptions CreateOptions
SecurityContext Session.SecurityContext SecurityFlags and ImpersonationLevel are not

SecurityFlags passed to the object store
ImpersonationLevel
PathName PathName Relative to TreeConnect.Share.LocalPath
RootOpen TreeConnect.Share Share open instance obtained at SMB2 initialization
IsCaseSensitive FALSE Windows-based SMB2 servers always handle path

names as case-insensitive
OplockKey NULL OplockKey specified only for obtaining Leases
Windows performs the following mappings from object store results to SMB2 response.
Object Store SMB2

result response Notes
CreateAction CreateAction
Open FileId The FileID to Open mapping is computed and maintained by the
server
<174> Section 3.3.5.9: Windows-based servers will receive the data from the local create operation
for constructing the error response when a symbolic link is present in the target path name.
<175> Section 3.3.5.9: Windows Oplock acquisition is described in [MS-FSA] section 3.1.5.17.
Oplock acquisition is an optional step in open/create processing; the Open parameter passed is the
Open result from the open or create operation, and the Type parameter is mapped as follows.
Object Store oplock Type SMB2 oplock level
LEVEL_BATCH SMB2_OPLOCK_LEVEL_BATCH
LEVEL_ONE SMB2_OPLOCK_LEVEL_EXCLUSIVE
LEVEL_TWO SMB2_OPLOCK_LEVEL_II
The Status code returned indicates whether the requested oplock was granted.
<176> Section 3.3.5.9: Windows obtains CreationTime from the object store FileBasicInformation
[MS-FSA] section 3.1.5.11.6 and [MS-FSCC] section 2.4.7.
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<177> Section 3.3.5.9: Windows obtains LastAccessTime from the object store
FileBasicInformation [MS-FSA] section 3.1.5.11.6 and [MS-FSCC] section 2.4.7.
<178> Section 3.3.5.9: Windows obtains LastWriteTime from the object store
FileBasicInformation [MS-FSA] section 3.1.5.11.6 and and [MS-FSCC] section 2.4.7.
<179> Section 3.3.5.9: Windows obtains ChangeTime from the object store FileBasicInformation
<180> Section 3.3.5.9: Windows obtains AllocationSize from the object store
FileStandardInformation [MS-FSA] section 3.1.5.11.27 and [MS-FSCC] section 2.4.38.
<181> Section 3.3.5.9: Windows-based SMB2 servers will set AllocationSize to any value for the
named pipe.
<182> Section 3.3.5.9: Windows obtains EndOfFile from the object store FileStandardInformation
<183> Section 3.3.5.9: Windows-based SMB2 servers will set EndofFile to any value for the named
pipe.
<184> Section 3.3.5.9: Windows obtains FileAttributes from the object store FileBasicInformation
<185> Section 3.3.5.9.1: Windows sets extended attributes on a newly created file with the
FSCTL_SET_OBJECT_ID_EXTENDED FSCTL [MS-FSA] section 3.1.5.9.24 and MS-FSCC section
2.3.53.
<186> Section 3.3.5.9.2: Windows sets security attributes on a newly created file with the
Application requests setting of security information [MS-FSA] section 3.1.5.16.
<187> Section 3.3.5.9.2: Windows will ignore security descriptors if the underlying object store
does not support them.
<188> Section 3.3.5.9.3: Windows-based servers support this request.
<189> Section 3.3.5.9.3: Windows sets allocation size on a newly created file with the
FileAllocationInformation [MS-FSA] section 3.1.5.14.1 and [MS-FSCC] section 2.4.4, after converting
bytes to volume cluster size.
<190> Section 3.3.5.9.4: Windows validates that a snapshot with the time stamp provided exists by
forming a FileBothDirectoryInformation object store request for the file including the provided
@GMT token in the path, as described in [MS-SMB] section 2.2.1.1.1 and [MS-FSA] section
3.1.5.5.4.1.
<191> Section 3.3.5.9.4: Windows opens a file on a snapshot with the time stamp provided by the
file including the provided @GMT token in the path, as described in [MS-SMB] section 2.2.1.1.1 and
[MS-FSA] section 3.1.5.1.
<192> Section 3.3.5.9.5: Windows computes the MaximalAccess to return by querying the security
attributes of the file with [MS-FSA] section 3.1.5.13, and performing an access check against the
credentials provided by the request.
<193> Section 3.3.5.9.8: The Lease.LeaseKey generated in section 3.3.5.9.8 is associated with
the LeaseTable.ClientGuid to generate a unique OplockKey which is passed to the object store
when processing continues at open/create time. A new or existing lease is thereby associated with
the resulting open.
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To acquire or promote the lease as dictated by the SMB2_CREATE_REQUEST_LIST Create Context, a
subsequent object store call is invoked as described in [MS-FSA] section 3.1.5.17 Server Requests
an Oplock. The Open parameter passed is the Open result from the above operation, and the Type
parameter is LEVEL_GRANULAR to indicate a Lease request. The RequestedOplockLevel
parameter is constructed to include zero or more bits as follows.
Object Store RequestedOplockLevel bit to be set SMB2 Lease.LeaseState bit requested
READ_CACHING SMB2_LEASE_READ_CACHING
WRITE_CACHING SMB2_LEASE_WRITE_CACHING
HANDLE_CACHING SMB2_LEASE_HANDLE_CACHING
The Status code returned indicates whether the requested lease was granted.
<194> Section 3.3.5.10: Windows closes the open file with Server Requests Closing an Open [MS-
FSA] section 3.1.5.4.
<195> Section 3.3.5.10: Windows Lease break is described in [MS-FSA] section 3.1.5.17. The Open
parameter passed is the Open value from current close operation, the Type parameter is
LEVEL_GRANULAR to indicate a Lease request, and the RequestedOplockLevel parameter is zero.
<196> Section 3.3.5.10: Windows obtains attributes and end of file from the object store
FileBasicInformation [MS-FSA] section 3.1.5.11.6 and [MS-FSCC] section 2.4.7.
<197> Section 3.3.5.11: Windows flushes any cached data to the file with Server Requests Flushing
Cached Data [MS-FSA] section 3.1.5.6.
<198> Section 3.3.5.11: If the request target is a named pipe or file, Windows-based servers
handle this request asynchronously.
Server 2008 R2 fail the request with STATUS_BUFFER_OVERFLOW instead of
<200> Section 3.3.5.12: Windows reads from a file with Server Requests a Read [MS-FSA] section
3.1.5.2.
Object Store parameter SMB2 parameter
ByteOffset ByteOffset
ByteCount ByteCount
IsNonCached FALSE
<201> Section 3.3.5.12: Windows SMB2 servers send an interim response to the client and handle
the read asynchronously if the read is not finished in 0.5 milliseconds.
<202> Section 3.3.5.12: Windows-based servers handle the following commands asynchronously:
SMB2 Create (section 2.2.13) when this create would result in an oplock break, SMB2 IOCTL
Request (section 2.2.31) for FSCTL_PIPE_TRANSCEIVE if it blocks for more than 1 millisecond,
SMB2 IOCTL Request for FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE (section
2.2.31) when oplock break happens, SMB2 Change_Notify Request (section 2.2.35) if it blocks for
more than 0.5 milliseconds, SMB2 Read request (section 2.2.19) for named pipes if it blocks for
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more than 0.5 milliseconds, SMB2 Write request (section 2.2.21) for named pipes if it blocks for
more than 0.5 milliseconds, SMB2 Write Request (section 2.2.21) for large file write, SMB2 lock
request (section 2.2.26) if the SMB2_LOCKFLAG_FAIL_IMMEDIATELY flag is not set, and SMB2
FLUSH Request (section 2.2.17) for named pipes.
<203> Section 3.3.5.13: Windows SMB2 servers allow the operation when either
FILE_APPEND_DATA or FILE_WRITE_DATA is set in Open.GrantedAccess.
Server 2008 R2 fail the request with STATUS_BUFFER_OVERFLOW instead of
<205> Section 3.3.5.13: Windows writes to a file with Server Requests a Write [MS-FSA] section
3.1.5.3.
ByteOffset ByteOffset
ByteCount ByteCount
IsWriteThrough TRUE if SMB2_WRITEFLAG_WRITE_THROUGH flag set
IsNonCached FALSE
SMB2 CREATE Request (section 3.3.5.9) when this create would result in an oplock break.
SMB2 IOCTL Request (section 3.3.5.15) for FSCTL_PIPE_TRANSCEIVE if it blocks for more than 1
millisecond. For FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE, when an oplock
break happens.
SMB2 CHANGE_NOTIFY Request (section 3.3.5.19) if it blocks for more than 0.5 milliseconds.
SMB2 READ Request (section 3.3.5.12) for named pipes if it blocks for more than 0.5
milliseconds.
SMB2 WRITE Request (section 3.3.5.13) for named pipes if it blocks for more than 0.5
milliseconds.
SMB2 WRITE Request (section 3.3.5.13) for large file write.
SMB2 LOCK Request (section 3.3.5.14) if the SMB2_LOCKFLAG_FAIL_IMMEDIATELY flag is not

set.
SMB2 FLUSH Request (section 3.3.5.11) for named pipes.
<207> Section 3.3.5.14.1: Windows-based servers ignore this value while processing Unlocks.
<208> Section 3.3.5.14.1: Windows processes unlock with Server Requests unlock of a Byte-Range
[MS-FSA] section 3.1.5.8.
FileOffset Offset
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Length Length
<209> Section 3.3.5.14.2: Windows-based servers check for SMB2_LOCKFLAG_FAIL_IMMEDIATELY

only for the first element of the Locks array.
<210> Section 3.3.5.14.2: Refer to [FSBO] for implementation-specific details of how byte range
locks can be implemented.
<211> Section 3.3.5.14.2: Windows processes lock with Server Requests a Byte-Range Lock [MS-
FSA] section 3.1.5.7.
Object Store
parameter SMB2 parameter
FileOffset Offset
Length Length
ExclusiveLock FALSE if SMB2_LOCKFLAG_SHARED_LOCK set, or TRUE if

SMB2_LOCKFLAG_EXCLUSIVE_LOCK set
FailImmediately TRUE if SMB2_LOCKFLAG_FAIL_IMMEDIATELY set
<212> Section 3.3.5.15: Windows 7 and Windows Server 2008 R2 SMB2 servers copy the
OutputCount bytes into the output buffer for the following FSCTLs
FSCTL_GET_RETRIEVAL_POINTERS
FSCTL_GET_REPARSE_POINT
FSCTL_PIPE_PEEK
FSCTL_DFS_GET_REFERRALS
Windows Vista and Windows Server 2008 SMB2 servers copy the OutputCount bytes into the
output buffer for the following FSCTLs
FSCTL_PIPE_PEEK
FSCTL_DFS_GET_REFERRALS
All other FSCTL commands will be failed with error STATUS_BUFFER_OVERFLOW through error
response specified in section 2.2.2.
<213> Section 3.3.5.15: Windows Vista and Windows Server 2008 servers without KB 978491, and
Windows 7 and Windows Server 2008 R2 without Service Pack 1 ignore a
FSCTL_SRV_NOTIFY_TRANSACTION request specifying a valid FileId and don't send a response to
the client, and reply to a FSCTL_SRV_NOTIFY_TRANSACTION with an invalid or -1 FileId with
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<214> Section 3.3.5.15.1: Windows enumerates previous versions of an existing file by forming a
FileBothDirectoryInformation object store request for the file including an @GMT-* wildcard as
described in [MS-SMB] section 2.2.1.1.1 and [MS-FSA] section 3.1.5.5.4.1.
<215> Section 3.3.5.15.1: Windows-based SMB2 server will place 2 extra bytes set to zero in
SnapShots array and set SnapShotArraySize to 2, if NumberOfSnapShots is zero.
<216> Section 3.3.5.15.1: Windows SMB2 servers set the InputOffset field to the offset, in bytes,
from the beginning of the SMB2 header to the Buffer[] field of the response.
<217> Section 3.3.5.15.2: A Windows-based DFS server does not return any data to the caller if
the buffer supplied to FSCTL_GET_DFS_REFERRALS is too small.
<218> Section 3.3.5.15.2: Windows–based servers set the InputOffset field to the offset, in bytes,
<219> Section 3.3.5.15.3: Windows-based servers return STATUS_INVALID_DEVICE_REQUEST if

the FSCTL_PIPE_TRANSCEIVE being executed is not a named pipe share.
<220> Section 3.3.5.15.3: Windows 7 and Windows Server 2008 R2 will not return the input buffer,
and InputCount is always zero. Windows Vista, Windows Vista SP1, Windows Server 2008 and
Windows Server 2008 SP1 will send back the input buffer based on the InputOffset and InputCount
indicated in the request.
<221> Section 3.3.5.15.3: Windows SMB2 servers send an interim response to the client if the
read/write attempt is not finished in 1 millisecond.
<222> Section 3.3.5.15.3: Windows–based SMB2 servers set the InputOffset field to the offset, in
<223> Section 3.3.5.15.3: Windows–based SMB2 servers currently return the input buffer that was
received in the request as part of the response.
<224> Section 3.3.5.15.3: Windows–based SMB2 servers currently return the input buffer that was
received in the request as part of the response.
<225> Section 3.3.5.15.3: Windows–based SMB2 servers set OutputOffset to InputOffset +

<226> Section 3.3.5.15.4: Windows-based servers return STATUS_INVALID_DEVICE_REQUEST, if

FSCTL_PIPE_PEEK request being executed is not a named pipe share.
<228> Section 3.3.5.15.4: Windows SMB2 servers will set OutputOffset to InputOffset +
<229> Section 3.3.5.15.5: Windows servers do not support any additional contexts.
<230> Section 3.3.5.15.5: Windows servers construct the 24-byte blob using Open.DurableFileId
and other pieces of information which include the process ID of the caller and a timestamp.
<232> Section 3.3.5.15.6: Windows performs server-side copy reads from a file with Server
Requests a Read [MS-FSA] section 3.1.5.2.
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ByteOffset SourceOffset
ByteCount Length
IsNonCached FALSE
<233> Section 3.3.5.15.6: Windows servers will return STATUS_INVALID_VIEW_SIZE instead of

STATUS_END_OF_FILE.
<234> Section 3.3.5.15.6: Windows performs server-side copy writes to a file with Application
Requests a Write [MS-FSA] section 3.1.5.3.
ByteOffset TargetOffset
ByteCount Length
IsWriteThrough FALSE
IsNonCached FALSE
<236> Section 3.3.5.15.6.1: Windows-based SMB2 servers set the InputOffset field to the offset,
in bytes, from the beginning of the SMB2 header to the Buffer[] field of the response.
<237> Section 3.3.5.15.6.2: Windows SMB2 servers set the InputOffset field to the offset, in
<238> Section 3.3.5.15.7: Windows 7 and Windows Server 2008 R2 servers support the
FSCTL_SRV_READ_HASH request.
<239> Section 3.3.5.15.7: The File Content Information data structure for a server-side Read
Hash is described in [MS-PCCRC] section 2.3.
<241> Section 3.3.5.15.8: The following FSCTLs are explicitly blocked by Windows-based SMB2
server and not passed through to the object store. They are failed with STATUS_NOT_SUPPORTED.
FSCTL_REQUEST_OPLOCK_LEVEL_1 (0x00090000)
FSCTL_REQUEST_OPLOCK_LEVEL_2 (0x00090004)
FSCTL_REQUEST_BATCH_OPLOCK (0x00090008)
FSCTL_REQUEST_FILTER_OPLOCK (0x0009005C)
FSCTL_OPLOCK_BREAK_ACKNOWLEDGE (0x0009000C)
FSCTL_OPBATCH_ACK_CLOSE_PENDING (0x00090010)
FSCTL_OPLOCK_BREAK_NOTIFY (0x00090014)
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FSCTL_MOVE_FILE (0x00090074)
FSCTL_MARK_HANDLE (0x000900FC)
FSCTL_QUERY_RETRIEVAL_POINTERS (0x0009003B)
FSCTL_PIPE_ASSIGN_EVENT (0x00110000)
FSCTL_GET_VOLUME_BITMAP (0x0009006F)
FSCTL_GET_NTFS_FILE_RECORD (0x00090068)
FSCTL_INVALIDATE_VOLUMES (0x00090054)
FSCTL_READ_USN_JOURNAL (0x000900BB)
FSCTL_CREATE_USN_JOURNAL (0x000900E7)
FSCTL_QUERY_USN_JOURNAL (0x000900F4)
FSCTL_DELETE_USN_JOURNAL (0x000900F8)
FSCTL_ENUM_USN_DATA (0x000900B3)
FSCTL_QUERY_DEPENDENT_VOLUME (0x000901F0)
FSCTL_SD_GLOBAL_CHANGE (0x000901F4)
FSCTL_GET_BOOT_AREA_INFO (0x00090230)
FSCTL_GET_RETRIEVAL_POINTER_BASE (0x00090234)
FSCTL_SET_PERSISTENT_VOLUME_STATE (0x00090238)
FSCTL_QUERY_PERSISTENT_VOLUME_STATE (0x0009023C)
FSCTL_REQUEST_OPLOCK (0x00090240)
FSCTL_TXFS_MODIFY_RM (0x00098144)
FSCTL_TXFS_QUERY_RM_INFORMATION (0x00094148)
FSCTL_TXFS_ROLLFORWARD_REDO (0x00098150)
FSCTL_TXFS_ROLLFORWARD_UNDO (0x00098154)
FSCTL_TXFS_START_RM (0x00098158)
FSCTL_TXFS_SHUTDOWN_RM (0x0009815C)
FSCTL_TXFS_READ_BACKUP_INFORMATION (0x00094160)
FSCTL_TXFS_WRITE_BACKUP_INFORMATION (0x00098164)
FSCTL_TXFS_CREATE_SECONDARY_RM (0x00098168)
FSCTL_TXFS_GET_METADATA_INFO (0x0009416C)
FSCTL_TXFS_GET_TRANSACTED_VERSION (0x00094170)
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FSCTL_TXFS_SAVEPOINT_INFORMATION (0x00098178)
FSCTL_TXFS_CREATE_MINIVERSION (0x0009817C)
FSCTL_TXFS_TRANSACTION_ACTIVE (0x0009418C)
FSCTL_TXFS_LIST_TRANSACTIONS (0x000941E4)
FSCTL_TXFS_READ_BACKUP_INFORMATION2 (0x000901F8)
FSCTL_TXFS_WRITE_BACKUP_INFORMATION2 (0x00090200)
Windows-based SMB2 servers fail FSCTLs whose transfer type is METHOD_NEITHER with error
STATUS_NOT_SUPPORTED except the following ones. For more information about FSCTL transfer
type, see [MSDN-IoCtlCodes].
FSCTL_PIPE_TRANSCEIVE (0x0011C017)
FSCTL_QUERY_ALLOCATED_RANGES (0x000940CF)
FSCTL_WRITE_USN_CLOSE_RECORD (0x000900EF)
FSCTL_READ_FILE_USN_DATA (0x000900EB)
FSCTL_GET_RETRIEVAL_POINTERS (0x00090073)
FSCTL_FIND_FILES_BY_SID (0x0009008F)
FSCTL_SRV_READ_HASH (0x001441BB)
<242> Section 3.3.5.15.8: Windows performs passthrough FSCTL operations via Server Requests
an FsControl Request [MS-FSA] section 3.1.5.9.
<243> Section 3.3.5.15.8: Windows–based SMB2 servers set the InputOffset field to the offset, in
<244> Section 3.3.5.15.8: Windows–based SMB2 servers will set OutputOffset to InputOffset +
<245> Section 3.3.5.15.9: Windows 7 and Windows Server 2008 R2 servers support the
FSCTL_LMR_REQUEST_RESILIENCY request.
<247> Section 3.3.5.16: Windows performs cancellation of in-progress requests via the interface in
[MS-FSA] section 3.1.5.19 Server Requests Canceling an Operation. The IORequest parameter is
obtained from the Connection.RequestList as stored during the original object store operation
invocation.
<248> Section 3.3.5.18: The Windows SMB2 server implementation closes and reopens the
directory handle in order to "reset" the enumeration state. So any outstanding operations on the
directory handle will be failed with a STATUS_FILE_CLOSED error.
<249> Section 3.3.5.18: If the length of the received data is less than the size of SMB2 header
(0x40) plus size of SMB2 QUERY_DIRECTORY request (0x21), Windows servers fail the request with
STATUS_INVALID_PARAMETER. Otherwise, if FileNameLength is 0 and the underlying file system
is NTFS, Windows servers fail the request with STATUS_OBJECT_NAME_INVALID.
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[MS-SMB2] — v20100820

<250> Section 3.3.5.18: Windows-based servers do not support resuming an enumeration at a
specified FileIndex. The server will ignore this flag.
<251> Section 3.3.5.18: Windows performs directory query information requests via the
corresponding interfaces in [MS-FSA] section 3.1.5.5.4:
FileBothDirectoryInformation: [MS-FSA] section 3.1.5.5.4.1.
FileDirectoryInformation: [MS-FSA] section 3.1.5.5.4.2.
FileFullDirectoryInformation: [MS-FSA] section 3.1.5.5.4.3.
FileIdBothDirectoryInformation: [MS-FSA] section 3.1.5.5.4.4.
FileIdFullDirectoryInformation: [MS-FSA] section 3.1.5.5.4.5.
FileNamesInformation: [MS-FSA] section 3.1.5.5.4.6.
SMB2 Create (section 2.2.13) when this create would result in an oplock break, SMB2 IOCTL
Request (section 2.2.31) for FSCTL_PIPE_TRANSCEIVE if it blocks for more than 1 millisecond,
SMB2 IOCTL Request for FSCTL_SRV_COPYCHUNK or FSCTL_SRV_COPYCHUNK_WRITE (section
2.2.31) when oplock break happens, SMB2 Change_Notify Request (section 2.2.35) if it blocks for
more than 0.5 milliseconds, SMB2 Read Request (section 2.2.19) for named pipes if it blocks for
more than 0.5 milliseconds, SMB2 Write Request (section 2.2.21) for named pipes if it blocks for
more than 0.5 milliseconds, SMB2 Write Request (section 2.2.21) for large file write, SMB2 lock
Request (section 2.2.26) if the SMB2_LOCKFLAG_FAIL_IMMEDIATELY flag is not set, and SMB2
FLUSH Request (section 2.2.17) for named pipes.
<253> Section 3.3.5.19: Windows requests ChangeNotify processing via Server Requests Change
Notifications for a Directory in [MS-FSA] section 3.1.5.10. If the SMB2_WATCH_TREE flag is set, the
WatchTree boolean is passed as TRUE. ChangeNotify notification is reported as described in [MS-
FSA] section 3.1.5.10.1.
<254> Section 3.3.5.19: Windows Vista and Windows Server 2008 limit OutputBufferLength size
to 256 KB. Windows 7 and Windows Server 2008 R2 limits OutputBufferLength size to 64 KB.
<255> Section 3.3.5.20.1: Windows-based SMB2 servers fail the following request levels with
STATUS_NOT_SUPPORTED instead of STATUS_INVALID_INFO_CLASS: 41, 42, 43, 47, 49, 51, 52,
and 53.
<256> Section 3.3.5.20.1: Windows-based SMB2 servers will set the CurrentByteOffset to any
value.
<257> Section 3.3.5.20.1: Windows performs SMB2_GET_INFO SMB2_0_INFO_FILE processing via

the subsection of [MS-FSA] 3.1.5.11 corresponding to the requested FILE_INFORMATION_CLASS
value of the FileInfoClass request field, as listed in section 2.2.37.
<258> Section 3.3.5.20.2: Windows performs SMB2_GET_INFO SMB2_0_INFO_FILESYSTEM

processing via the subsection of [MS-FSA] 3.1.5.11 corresponding to the requested
FS_INFORMATION_CLASS value of the FileInfoClass request field, as listed in section 2.2.37.
<259> Section 3.3.5.20.2: SetFsInfo calls to Windows servers fail with STATUS_ACCESS_DENIED
because Windows servers do not allow setting volume information over the network.
<260> Section 3.3.5.20.3: Windows performs SMB2_GET_INFO SMB2_0_INFO_SECURITY

processing via Server Requests a Query of Security Information [MS-FSA] section 3.1.5.13.
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[MS-SMB2] — v20100820

<261> Section 3.3.5.20.4: Windows-based servers do support quotas, if configured.
<262> Section 3.3.5.20.4: Windows performs SMB2_GET_INFO SMB2_0_INFO_QUOTA processing

via FileQuotaInformation [MS-FSA] section 3.1.5.5.2.
<263> Section 3.3.5.20.4: If either StartSidLength or StartSidOffset is zero, Windows Vista,

Windows Server 2008, Windows 7 and Windows Server 2008 R2 servers ignore both and process
the buffer as a SidList-type request as described in section 2.2.37.1 Buffer format 1. As a
consequence, they will fail the request with STATUS_INVALID_PARAMETER.
<264> Section 3.3.5.21.1: Windows-based SMB2 servers fail the following request levels with
STATUS_NOT_SUPPORTED instead of STATUS_INVALID_INFO_CLASS: 30, 41, 42, 43.
<265> Section 3.3.5.21.1: Windows performs SMB2_SET_INFO SMB2_0_INFO_FILE processing via

the subsection of [MS-FSA] 3.1.5.14 corresponding to the requested FILE_INFORMATION_CLASS
value of the FileInfoClass request field, as listed in section 2.2.37.
<266> Section 3.3.5.21.2: Windows performs SMB2_SET_INFO SMB2_0_INFO_FILESYSTEM

processing via the subsection of [MS-FSA] 3.1.5.15 corresponding to the requested
FS_INFORMATION_CLASS value of the FileInfoClass request field, as listed in section 2.2.37.
<267> Section 3.3.5.21.3: If the underlying object store does not support object security based on
Access Control Lists (as specified in [MS-DTYP] section 2.4.5), it returns STATUS_SUCCESS.
<268> Section 3.3.5.21.3: Windows performs SMB2_SET_INFO SMB2_0_INFO_SECURITY

processing via Server Requests Setting of Security Information [MS-FSA] section 3.1.5.16.
<269> Section 3.3.5.21.4: Windows servers do support quotas, if configured.
<270> Section 3.3.5.21.4: Windows performs SMB2_SET_INFO SMB2_0_INFO_QUOTA processing

via FileQuotaInformation [MS-FSA] section 3.1.5.14.10.
<271> Section 3.3.7.1: Windows-based SMB2 servers provide a statically configured durable handle
time-out, which defaults to 16 minutes.
<272> Section 3.3.7.1: Windows-based SMB2 servers provide a statically configured durable handle
time-out, which defaults to 16 minutes.
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[MS-SMB2] — v20100820

7 Change Tracking
This section identifies changes that were made to the [MS-SMB2] protocol document between the
July 2010 and August 2010 releases. Changes are classified as New, Major, Minor, Editorial, or No
change.
The revision class New means that a new document is being released.
The revision class Major means that the technical content in the document was significantly revised.
Major changes affect protocol interoperability or implementation. Examples of major changes are:
A document revision that incorporates changes to interoperability requirements or functionality.
An extensive rewrite, addition, or deletion of major portions of content.
Changes made for template compliance.
Removal of a document from the documentation set.
The revision class Minor means that the meaning of the technical content was clarified. Minor
changes do not affect protocol interoperability or implementation. Examples of minor changes are
updates to clarify ambiguity at the sentence, paragraph, or table level.
The revision class Editorial means that the language and formatting in the technical content was
changed. Editorial changes apply to grammatical, formatting, and style issues.
The revision class No change means that no new technical or language changes were introduced.
The technical content of the document is identical to the last released version, but minor editorial
and formatting changes, as well as updates to the header and footer information, and to the revision
summary, may have been made.
Major and minor changes can be described further using the following change types:
New content added.
Content updated.
Content removed.
New product behavior note added.
Product behavior note updated.
Product behavior note removed.
New protocol syntax added.
Protocol syntax updated.
Protocol syntax removed.
New content added due to protocol revision.
Content updated due to protocol revision.
Content removed due to protocol revision.
New protocol syntax added due to protocol revision.
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[MS-SMB2] — v20100820

Protocol syntax updated due to protocol revision.
Protocol syntax removed due to protocol revision.
New content added for template compliance.
Content updated for template compliance.
Content removed for template compliance.
Obsolete document removed.
Editorial changes are always classified with the change type "Editorially updated."
Some important terms used in revision type descriptions are defined as follows:
Protocol syntax refers to data elements (such as packets, structures, enumerations, and
methods) as well as interfaces.
Protocol revision refers to changes made to a protocol that affect the bits that are sent over
the wire.
The changes made to this document are listed in the following table. For more information, please
contact [email protected].
Major
chang
e
Tracking number (if applicable) (Y or Chang
Section and description N) e Type
1.1 Added "NetBIOS" and "Transmission Y Content

Glossary Control Protocol (TCP)" to the list of update
glossary terms. d.
1.7 53279 N Content

Versioning and Capability Negotiation Updated the reference for packets used update
to exchange capabilities. d.
2.2.1.2 53277 Y Content

SMB2 Packet Header - SYNC Updated the description of the ProcessId update
field. d.
2.2.3 52772 Y Content

SMB2 NEGOTIATE Request Updated the description of the update
Capabilities field. d.
2.2.3 52775 Y Content

SMB2 NEGOTIATE Request Updated the description of the update
ClientGUID field. d.
2.2.3 54343 Y Content

SMB2 NEGOTIATE Request Updated the description of Dialects. update
d.
2.2.10 52773 Y New

SMB2 TREE_CONNECT Response Added a new product behavior note to product
the description of behavio
SHI1005_FLAGS_FORCE_LEVELII_OPLO r note
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[MS-SMB2] — v20100820

Major
chang
e
CK. added.
2.2.13 50625 Y Content

SMB2 CREATE Request Updated the update
FILE_OPEN_FOR_BACKUP_INTENT d.
meaning.
2.2.13 50624 Y Content

SMB2 CREATE Request Updated the description of update
FILE_OPEN_FOR_BACKUP_INTENT. d.
2.2.13 49757 Y Content

SMB2 CREATE Request Updated the description of the update
NameOffset and Buffer field. d.
2.2.13 49133 Y Content

SMB2 CREATE Request Updated the description of the update
ImpersonationLevel field. d.
2.2.25.1 52942 Y Content

Oplock Break Response Updated OplockLevel field description update
and values table. d.
2.2.26 52930 Y Content

SMB2 LOCK Request Updated StructureSize and LockCount update
field descriptions. d.
2.2.31 50624 Y Content

SMB2 IOCTL Request Updated the description of the FileId update
field. d.
2.2.31.2 52940 Y Content

SRV_READ_HASH Request Changed REQUEST_HASH_DATA packet update
to SRV_READ_HASH request. d.
2.2.31.2 52941 Y Content

SRV_READ_HASH Request Changed SMB2 IOCTL Request from update
SRV_READ_HASH to d.
FSCTL_SRV_READ_HASH.
2.2.31.2 52949 Y Content

SRV_READ_HASH Request Updated descriptions for update
HashRetrievalType, Length, and Offset d.
fields. Updated meaning for
SRV_HASH_RETRIEVE_HASH_BASED in
the table for HashRetrievalType.
2.2.31.2 52958 Y Content

SRV_READ_HASH Request Updated the HashType, HashVersion, update
and HashRetrievalType descriptions. d.
2.2.32 50624 Y Content

SMB2 IOCTL Response Updated the description of the FileId update
field. d.
326 / 341
[MS-SMB2] — v20100820

Major
chang
e
2.2.32 52959 Y Content

SMB2 IOCTL Response Updated the description of InputOffset. update
d.
2.2.32.4 52949 Y Content

SRV_READ_HASH Response Changed "FileOffset" to "Offset" in the update
description for the NextOffset field. d.
2.2.33 54216 Y Content

SMB2 QUERY_DIRECTORY Request Updated FileNamesInformation update
description to include directories and d.
removed a redundant instance of
"unique".
2.2.37.1 36437 Y Content

SMB2_QUERY_QUOTA_INFO Changed the field name from "Buffer" to update
"SidBuffer". d.
2.2.37.1 49999 Y Product

SMB2_QUERY_QUOTA_INFO Updated the error returned in the behavio
product behavior note for StartSidOffset. r note
update
d.
3.2.1.2 54217 Y Content

Per SMB2 Transport Connection Updated the Connection.RequireSigning update
description. d.
3.2.1.4 50912 Y Content

Per Tree Connect Added TreeConnect.Session to client update
implementation instructions. d.
3.2.2.2 50624 Y Product

Idle Connection Timer Updated the conditions when the timer behavio
will close an idle connection. r note
update
d.
3.2.3 50625 Y Content

Initialization Updated initialization instructions for the update
ClientGuid and removed product d.
behavior note.
3.2.4.1.1 53278 Y Content

Signing the Message Updated the processing of the ProcessId update
field. d.
3.2.4.2 50912 Y Content

Application Requests a Connection to a Removed IsDFSShare description. update
Share d.
3.2.4.2 54218 Y Content

Application Requests a Connection to a Added UserCredentials and update
Session.UserCredentials to clarify the
327 / 341
[MS-SMB2] — v20100820

Major
chang
e
Share client connection instructions. d.
3.2.4.2.2.2 52772 Y Product

SMB2-Only Negotiate Removed the product behavior note for behavio
the values of Capabilities and r note
ClientStartTime. remove
d.
3.2.4.3 50912 Y Content

Application Requests Opening a File Updated the SMB2 header initialization update
instructions. d.
3.2.4.4 53975 Y Content

Re-establishing a Durable Open Clarified the durable open response. update
d.
3.2.4.5 53975 Y Content

Application Requests Closing a File or Named Clarified the durable open response. update
Pipe d.
3.2.4.6 53975 Y Content

Application Requests Reading from a File or Clarified the durable open response. update
Named Pipe d.
3.2.4.7 53975 Y Content

Application Requests Writing to a File or Clarified the durable open response. update
Named Pipe d.
3.2.4.8 53975 Y Content

Application Requests Querying File Attributes Clarified the durable open response. update
d.
3.2.4.9 53975 Y Content

Application Requests Applying File Attributes Clarified the durable open response. update
d.
3.2.4.10 53975 Y Content

Application Requests Querying File System Clarified the durable open response. update
Attributes d.
3.2.4.11 53975 Y Content

Application Requests Applying File System Clarified the durable open response. update
Attributes d.
3.2.4.12 53948 Y Content

Application Requests Querying File Security Updated the abstract data model update
element used to set the SessionId. d.
3.2.4.12 53975 Y Content

Application Requests Querying File Security Clarified the durable open response. update
d.
3.2.4.13 53975 Y Content

Application Requests Applying File Security Clarified the durable open response. update
328 / 341
[MS-SMB2] — v20100820

Major
chang
e
d.
3.2.4.14 36437 Y Content

Application Requests Querying Quota Updated the processing rules for update
Information StartSid and SidList. d.
3.2.4.14 49999 Y Product

Application Requests Querying Quota Updated the product behavior note for behavio
Information the error code returned if either r note
StartSidLength or StartSidOffset is zero. update
d.
3.2.4.14 53975 Y Content

Application Requests Querying Quota Clarified the durable open response. update
Information d.
3.2.4.15 53975 Y Content

Application Requests Applying Quota Clarified the durable open response. update
Information d.
3.2.4.16 53975 Y Content

Application Requests Flushing Cached Data Clarified the durable open response. update
d.
3.2.4.17 53975 Y Content

Application Requests Enumerating a Clarified the durable open response. update
Directory d.
3.2.4.18 53975 Y Content

Application Requests Change Notifications Clarified the durable open response. update
for a Directory d.
3.2.4.19 52930 Y Content

Application Requests Locking of an Array of Updated lock request initializations update
Byte Ranges instructions. d.
3.2.4.19 53975 Y Content

Application Requests Locking of an Array of Clarified the durable open response. update
Byte Ranges d.
3.2.4.20.1 53975 Y Content

Application Requests Enumeration of Clarified the durable open response. update
Previous Versions d.
3.2.4.20.2.1 53975 Y Content

Application Requests a Source File Key Clarified the durable open response. update
d.
3.2.4.20.2.2 53975 Y Content

Application Requests a Server Side Data Clarified the durable open response. update
Copy d.
3.2.4.20.4 53975 Y Content

Application Requests a Pipe Transaction Clarified the durable open response. update
329 / 341
[MS-SMB2] — v20100820

Major
chang
e
d.
3.2.4.20.5 53975 Y Content

Application Requests a Peek at Pipe Data Clarified the durable open response. update
d.
3.2.4.20.6 52943 Y Content

Application Requests a Pass-Through Updated the buffer used for update
Operation MaxInputResponse and d.
MaxOutputResponse.
3.2.4.20.6 53975 Y Content

Application Requests a Pass-Through Clarified the durable open response. update
Operation d.
3.2.4.20.7 52940 N Content

Application Requests Content Information Clarified that SRV_READ_HASH is a update
for a File request. d.
3.2.4.20.7 53975 Y Content

Application Requests Content Information Clarified the durable open response. update
for a File d.
3.2.4.20.8 53950 N Content

Application Requests Resiliency on an Open Changed "Open.ReslientHandle" to update
File "Open.ResilientHandle". d.
3.2.4.20.8 53975 Y Content

Application Requests Resiliency on an Open Clarified the durable open response. update
File d.
3.2.4.21 52930 Y Content

Application Requests Unlocking of an Array Updated lock request initializations update
of Byte Ranges instructions. d.
3.2.4.21 53975 Y Content

Application Requests Unlocking of an Array Clarified the durable open response. update
of Byte Ranges d.
3.2.4.22 53278 Y Content

Application Requests Closing a Share Updated the processing of the ProcessId update
Connection field. d.
3.2.4.23 53278 Y Content

Application Requests Terminating an Updated the processing of the ProcessId update
Authenticated Context field. d.
3.2.5.3.1 53278 Y Content

Handling a New Authentication Updated the processing of the ProcessId update
field. d.
3.2.5.3.2 53278 Y Content

Handling a Reauthentication Updated the processing of the ProcessId update
field. d.
330 / 341
[MS-SMB2] — v20100820

Major
chang
e
3.2.5.5 50912 Y Content

Receiving an SMB2 TREE_CONNECT Updated tree connect initialization update
Response instructions. d.
3.2.5.7 53947 Y Content

Receiving an SMB2 CREATE Response for a Added Open.ResilientHandle to the list of update
New Create Operation abstract data model elements to be d.
initialized by the client.
3.2.5.19.1 53278 Y Content

Receiving an Oplock Break Notification Updated the processing of the ProcessId update
field. d.
3.2.5.19.2 53278 Y Content

Receiving a Lease Break Notification Updated the processing of the ProcessId update
field. d.
3.3.1.4 50625 Y Content

Algorithm for Leasing in an Object Store Updated the conditions the algorithm update
must meet when a lease is broken. d.
3.3.1.6 52773 Y Content

Per Share Structures Added a new abstract data model update
element Share.ForceLevel2Oplock. d.
3.3.1.7 52775 Y Content

Per Transport Connection Structures Added instructions for implementing update
SMB 2.1 and moved the d.
Connection.ClientGuid definition into the
SMB 2.1 instructions.
3.3.2.3 50706 Y New

Session Expiration Timer Added a product behavior note for the product
default timer. behavio
r note
added.
3.3.3 50625 Y Content

Initialization Updated initialization instructions for the update
ServerGuid and removed product d.
behavior note.
3.3.3 52773 Y Content

Initialization Added the initialization rules for the update
abstract data model element d.
Share.ForceLevel2Oplock.
3.3.4.2 53976 Y Content

Sending an Interim Response for an Updated the normative language for update
Asynchronous Operation setting the CreditResponse. d.
3.3.4.6 53278 Y Content

Object Store Indicates an Oplock Break Updated the processing of the ProcessId update
331 / 341
[MS-SMB2] — v20100820

Major
chang
e
field. d.
3.3.4.6 52508 Y Content

Object Store Indicates an Oplock Break Updated the processing rules for if the update
oplock level is set to d.
SMB2_OPLOCK_LEVEL_BATCH.
3.3.4.7 53278 Y Content

Object Store Indicates a Lease Break Updated the processing of the ProcessId update
field. d.
3.3.4.7 52508 Y Content

Object Store Indicates a Lease Break Updated the processing rules for update
SMB2_LEASE_HANDLE_CACHING. d.
3.3.4.13 52773 Y Content

Server Application Registers a Share Added the default value for update
Share.ForceLevel2Oplock. d.
3.3.4.14 52773 Y Content

Server Application Updates a Share Added the rules for update
Share.ForceLevel2Oplock. d.
3.3.4.16 52773 Y Content

Server Application Requests Querying a Updated the rules for the abstract data update
Share model element d.
3.3.5.2.7 52731 Y Content

Updating Idle Time Updated the processing rules for the idle update
time. d.
3.3.5.3.1 53278 Y Content

SMB 2.1 Support Updated the processing of the ProcessId update
field. d.
3.3.5.3.2 53278 Y Content

SMB 2.002 Support Updated the processing of the ProcessId update
field. d.
3.3.5.4 52775 Y Content

Receiving an SMB2 NEGOTIATE Request Updated instructions for implementing update
SMB 2.1. d.
3.3.5.7 52773 Y Content

Receiving an SMB2 TREE_CONNECT Request Added the processing rules for the update
abstract data model element d.
3.3.5.7 50912 Y Content

Receiving an SMB2 TREE_CONNECT Request Updated connect response instructions. update
d.
3.3.5.9 50625 Y Content
332 / 341
[MS-SMB2] — v20100820

Major
chang
e
Receiving an SMB2 CREATE Request Updated open execution instructions. update

d.
3.3.5.9 49757 Y Content

Receiving an SMB2 CREATE Request Updated the rules for processing a update
relative pathname. d.
3.3.5.9 52776 Y Content

Receiving an SMB2 CREATE Request Updated the conditions for supporting update
Oplock Acquisitions. d.
3.3.5.9 49623 Y Content

Receiving an SMB2 CREATE Request Updated the processing rules for if update
IsDfsCapable is TRUE. d.
3.3.5.9.3 50625 Y Content

Handling the Updated the open execution phase update
SMB2_CREATE_ALLOCATION_SIZE Create instructions. d.
Context
3.3.5.9.5 50625 Y Product

Handling the Updated how MaximalAccess was behavio
SMB2_CREATE_QUERY_MAXIMAL_ACCESS_ computed in product behavior note. r note
REQUEST Create Context update
d.
3.3.5.14 52930 Y Content

Receiving an SMB2 LOCK Request Updated the server processing update
instructions. d.
3.3.5.14.1 52931 Y Product

Processing Unlocks Updated the name of the first parameter behavio
in the Object store parameter and SMB2 r note
parameter. update
d.
3.3.5.14.1 52930 Y Content

Processing Unlocks Changed two instances of "SMB2_LOCK" update
to "SMB2_LOCK_ELEMENT". d.
3.3.5.14.2 52933 Y Product

Processing Locks Updated the name of the first parameter behavio
in the Object store parameter and SMB2 r note
parameter. update
d.
3.3.5.14.2 52930 Y Content

Processing Locks Changed "SMB2_LOCK" to update
"SMB2_LOCK_ELEMENT". d.
3.3.5.15 52784 Y Content

Receiving an SMB2 IOCTL Request Updated the valid range of CreditCharge. update
d.
333 / 341
[MS-SMB2] — v20100820

Major
chang
e
3.3.5.15.5 53974 Y Content

Handling a Source File Key Request Updated the abstract data model update
element used in the product behavior d.
note.
3.3.5.15.7 52940 Y Content

Handling a Content Information Retrieval Changed REQUEST_HASH_DATA to update
Request SRV_READ_HASH request. d.
3.3.5.15.7 52949 Y Content

Handling a Content Information Retrieval Added an item to the operation fails update
Request cases list describing the value of the d.
HashRetreivalType field of the
SRV_READ_HASH_request.
3.3.5.15.7 52934 Y Content

Handling a Content Information Retrieval Updated the title from "Handling a update
Request Server-Side Read Hash Request" to d.
"Handling a Content Information
Retrieval Request".
3.3.5.15.7 52958 Y Content

Handling a Content Information Retrieval Updated instructions for the Content update
Request Information retrieval operation. d.
3.3.5.15.8 50625 Y Content

Handling a Pass-Through Operation Request Updated instructions for handling an update
error. d.
3.3.5.20.4 36437 Y Product

Handling SMB2_0_INFO_QUOTA Updated the product behavior note for behavio
StartSidLength and StartSidOffset. r note
update
d.
3.3.5.20.4 49999 Y Product

Handling SMB2_0_INFO_QUOTA Updated the product behavior note for behavio
the error code returned if either r note
StartSidLength or StartSidOffset is zero. update
d.
3.3.5.21.2 52801 Y Content

Handling SMB2_0_INFO_FILESYSTEM Updated the processing rules for Query. update
d.
3.3.5.22.2 52502 Y Content

Processing a Lease Acknowledgment Updated the conditions when update
STATUS_CANNOT_GRANT_REQUESTED_ d.
OPLOCK return value is sent.
3.3.7.1 52293 Y Content

Handling a Transport Disconnect Updated for if the server implements update
SMB 2.1. d.
334 / 341
[MS-SMB2] — v20100820

Major
chang
e
3.3.7.1 52294 Y Content

Handling a Transport Disconnect Updated for if the Open is not being update
preserved. d.
3.3.7.1 52508 Y New

Handling a Transport Disconnect Added a new product behavior note for product
the durable handle time out. behavio
r note
added.
335 / 341
[MS-SMB2] — v20100820

8 Index
A message processing
overview 158
Abstract data model receiving any message 158
client (section 3.1.1 112, section 3.2.1 113) receiving SMB2 CHANGE_NOTIFY response 169
server (section 3.1.1 112, section 3.3.1 173) receiving SMB2 CLOSE response 166
Applicability 19 receiving SMB2 CREATE response for new
Application Requests Reauthenticating a User 124 create operation 164
Authenticating the user 123 receiving SMB2 CREATE response for open
reestablishment 165
C receiving SMB2 FLUSH response 166
receiving SMB2 IOCTL response 167
Capability negotiation 19 receiving SMB2 LOCK response 166
Change notifications algorithm 174 receiving SMB2 LOGOFF response 163
Change tracking 324 receiving SMB2 NEGOTIATE response 160
Client receiving SMB2 OPLOCK_BREAK notification
abstract data model (section 3.1.1 112, section 170
3.2.1 113) receiving SMB2 QUERY_DIRECTORY response
global connections 113 169
higher-layer triggered events receiving SMB2 QUERY_INFO response 169
overview 117 receiving SMB2 READ response 166
re-establishing a durable open 129 receiving SMB2 SESSION_SETUP response 160
requesting applying of file attributes 134 receiving SMB2 SET_INFO response 170
requesting applying of file security attributes receiving SMB2 TREE_CONNECT response 163
137 receiving SMB2 TREE_DISCONNECT response
requesting applying of file system attributes 164
135 receiving SMB2 WRITE response 166
requesting applying of quota information 139 verifying incoming message 113
requesting cancellation of operation 157 message sequence numbers algorithm 119
requesting change of notifications for directory per open 116
142 per session 115
requesting closing of file or named pipe 129 per SMB2 transport connection 114
requesting closing of share connection 156 per tree connect 115
requesting connection to share 119 per unique open file 115
requesting enumeration of directory 141 required global data 112
requesting flushing of cached data 140 sequencing rules
requesting IO control code operation 144 overview 158
requesting locking of array of byte ranges 143 receiving any message 158
requesting opening of file 125 receiving SMB2 CHANGE_NOTIFY response 169
requesting querying for file attributes 132 receiving SMB2 CLOSE response 166
requesting querying for file security attributes receiving SMB2 CREATE response for new
136 create operation 164
requesting querying for file system attributes receiving SMB2 CREATE response for open
134 reestablishment 165
requesting querying for quota information 138 receiving SMB2 FLUSH response 166
requesting reading from file or named pipe 130 receiving SMB2 IOCTL response 167
requesting session key for authenticated receiving SMB2 LOCK response 166
context 158 receiving SMB2 LOGOFF response 163
requesting termination of authenticated context receiving SMB2 NEGOTIATE response 160
157 receiving SMB2 OPLOCK_BREAK notification
requesting unlocking of array of byte ranges 170
155 receiving SMB2 QUERY_DIRECTORY response
requesting writing to file or named pipe 131 169
sending any outgoing message 117 receiving SMB2 QUERY_INFO response 169
signing outgoing message 112 receiving SMB2 READ response 166
initialization (section 3.1.3 112, section 3.2.3 receiving SMB2 SESSION_SETUP response 160
117) receiving SMB2 SET_INFO response 170
local events (section 3.1.7 113, section 3.2.7 receiving SMB2 TREE_CONNECT response 163
172)
336 / 341
[MS-SMB2] — v20100820

receiving SMB2 TREE_DISCONNECT response requesting applying of file security attributes
164 137
receiving SMB2 WRITE response 166 requesting applying of file system attributes
verifying incoming message 113 135
timer events (section 3.1.6 113, section 3.2.6 requesting applying of quota information 139
172) requesting cancellation of operation 157
timers (section 3.1.2 112, section 3.2.2 116) requesting change of notifications for directory
Connecting to the share 125 142
Connecting to the target server 121 requesting closing of file or named pipe 129
Connections - global 113 requesting closing of share connection 156
Credit granting algorithm 174 requesting connection to share 119
requesting enumeration of directory 141
D requesting flushing of cached data 140
requesting IO control code operation 144
Data - global 112 requesting locking of array of byte ranges 143
Data model – abstract requesting opening of file 125
client (section 3.1.1 112, section 3.2.1 113) requesting querying for file attributes 132
server (section 3.1.1 112, section 3.3.1 173) requesting querying for file security attributes
Directory_Access_Mask packet 52 136
Disconnecting example 298 requesting querying for file system attributes
Durable open scavenger timer 182 134
Durable open scavenger timer event 254 requesting querying for quota information 138
requesting reading from file or named pipe 130
E requesting session key for authenticated
context 158
Example requesting termination of authenticated context
disconnecting 298 157
logging off 298 requesting unlocking of array of byte ranges
Examples 155
multi-protocol negotiate 256 requesting writing to file or named pipe 131
named pipe 273 sending any outgoing message 117
negotiating SMB 2.10 dialect by using multi- signing outgoing message 112
protocol negotiate 262 server
overview 256 notification that DFS is active 190
remote files notification that share is DFS share 190
reading 282 notification that share is not DFS share 190
writing 288 object store indicating lease break 189
SMB2 negotiate 267 object store indicating oplock break 189
overview 185
F requesting security context 190
requesting session key 188
Fields – vendor-extensible 21 sending any outgoing message 185
FILE_NOTIFY_INFORMATION packet 101 sending error response 187
File_Pipe_Printer_Access_Mask packet 51 sending interim response for asynchronous
operation 186
G signing outgoing message 112
Global I
connections 113
data 112 Idle connection timer 117
structures 176 Idle connection timer event 172
Glossary 12 Implementer - security considerations 301
Incoming message - verifying 113
H Index of security parameters 301
Informative references 16
HASH_HEADER packet 89 Initialization
Higher-layer triggered events client (section 3.1.3 112, section 3.2.3 117)
client server (section 3.1.3 112, section 3.3.3 183)
overview 117 Introduction 12
re-establishing a durable open 129
requesting applying of file attributes 134 L
337 / 341
[MS-SMB2] — v20100820

Leasing algorithm 175 receiving SMB2 WRITE request 223
Local events verifying incoming message 113
client (section 3.1.7 113, section 3.2.7 172) Message sequence numbers algorithm (section
server (section 3.1.7 113, section 3.3.7 254) 3.2.4.1.6 119, section 3.3.1.1 173)
Logging off example 298 Messages
overview 22
M signing outgoing 112
SMB2 Packet Header 23
Message processing syntax 22
client transport 22
overview 158 verifying incoming 113
receiving any message 158 Multi-protocol negotiate example 256
receiving SMB2 CHANGE_NOTIFY response 169
receiving SMB2 CLOSE response 166 N
receiving SMB2 CREATE response for new
create operation 164 Named pipe example 273
receiving SMB2 CREATE response for open Negotiating SMB 2.10 dialect by using multi-
reestablishment 165 protocol negotiate example 262
receiving SMB2 FLUSH response 166 Negotiating the protocol 122
receiving SMB2 IOCTL response 167 Network disconnect 172
receiving SMB2 LOCK response 166 NETWORK_RESILIENCY_REQUEST_Request packet
receiving SMB2 LOGOFF response 163 91
receiving SMB2 NEGOTIATE response 160 Normative references 15
receiving SMB2 OPLOCK_BREAK notification
170 O
receiving SMB2 QUERY_DIRECTORY response
169 Oplock break acknowledgment timer 182
receiving SMB2 QUERY_INFO response 169 Oplock break acknowledgment timer event 253
receiving SMB2 READ response 166 Outgoing message - signing 112
receiving SMB2 SESSION_SETUP response 160 Overview (synopsis) 16
receiving SMB2 SET_INFO response 170
receiving SMB2 TREE_CONNECT response 163 P
receiving SMB2 TREE_DISCONNECT response
164 Parameters - security index 301
receiving SMB2 WRITE response 166 Per lease structures 182
verifying incoming message 113 Per lease table structures 181
server Per open 116
accepting incoming connection 195 Per open structures 180
overview 195 Per session 115
receiving any message 196 Per session structures 179
receiving SMB_COM_NEGOTIATE 198 Per share structures 177
receiving SMB2 CANCEL request 237 Per SMB2 transport connection 114
receiving SMB2 CHANGE_NOTIFY request 240 Per transport connection structures 178
receiving SMB2 CLOSE request 219 Per tree connect 115
receiving SMB2 CREATE request 210 Per tree connect structures 179
receiving SMB2 ECHO request 238 Per unique open file 115
receiving SMB2 FLUSH request 220 Pipe - named - example 273
receiving SMB2 IOCTL request 227 Preconditions 19
receiving SMB2 LOCK request 224 Prerequisites 19
receiving SMB2 LOGOFF request 207 Product behavior 302
receiving SMB2 NEGOTIATE request 201
receiving SMB2 OPLOCK_BREAK R
acknowledgment 251
receiving SMB2 QUERY_DIRECTORY request References
238 informative 16
receiving SMB2 QUERY_INFO request 242 normative 15
receiving SMB2 READ request 221 Relationship to other protocols 17
receiving SMB2 SESSION_SETUP request 202 Remote files
receiving SMB2 SET_INFO request 248 reading - example 282
receiving SMB2 TREE_CONNECT request 207 writing - example 288
receiving SMB2 TREE_DISCONNECT request Request expiration timer 116
209 Request expiration timer event 172
338 / 341
[MS-SMB2] — v20100820

Resilient open scavenger timer 183 receiving SMB2 TREE_DISCONNECT request
Resilient open scavenger timer event 254 209
receiving SMB2 WRITE request 223
S verifying incoming message 113
Server
Security abstract data model (section 3.1.1 112, section
implementer considerations 301 3.3.1 173)
overview 301 change notifications algorithm 174
parameter index 301 credit granting algorithm 174
Sequencing rules global structures 176
client higher-layer triggered events
overview 158 notification that DFS is active 190
receiving any message 158 notification that share is DFS share 190
receiving SMB2 CHANGE_NOTIFY response 169 notification that share is not DFS share 190
receiving SMB2 CLOSE response 166 object store indicating lease break 189
receiving SMB2 CREATE response for new object store indicating oplock break 189
create operation 164 overview 185
receiving SMB2 CREATE response for open requesting security context 190
reestablishment 165 requesting session key 188
receiving SMB2 FLUSH response 166 sending any outgoing message 185
receiving SMB2 IOCTL response 167 sending error response 187
receiving SMB2 LOCK response 166 sending interim response for asynchronous
receiving SMB2 LOGOFF response 163 operation 186
receiving SMB2 NEGOTIATE response 160 signing outgoing message 112
receiving SMB2 OPLOCK_BREAK notification initialization (section 3.1.3 112, section 3.3.3
170 183)
receiving SMB2 QUERY_DIRECTORY response leasing algorithm 175
169 local events (section 3.1.7 113, section 3.3.7
receiving SMB2 QUERY_INFO response 169 254)
receiving SMB2 READ response 166 message processing
receiving SMB2 SESSION_SETUP response 160 accepting incoming connection 195
receiving SMB2 SET_INFO response 170 overview 195
receiving SMB2 TREE_CONNECT response 163 receiving any message 196
receiving SMB2 TREE_DISCONNECT response receiving SMB_COM_NEGOTIATE 198
164 receiving SMB2 CANCEL request 237
receiving SMB2 WRITE response 166 receiving SMB2 CHANGE_NOTIFY request 240
verifying incoming message 113 receiving SMB2 CLOSE request 219
server receiving SMB2 CREATE request 210
accepting incoming connection 195 receiving SMB2 ECHO request 238
overview 195 receiving SMB2 FLUSH request 220
receiving any message 196 receiving SMB2 IOCTL request 227
receiving SMB_COM_NEGOTIATE 198 receiving SMB2 LOCK request 224
receiving SMB2 CANCEL request 237 receiving SMB2 LOGOFF request 207
receiving SMB2 CHANGE_NOTIFY request 240 receiving SMB2 NEGOTIATE request 201
receiving SMB2 CLOSE request 219 receiving SMB2 OPLOCK_BREAK
receiving SMB2 CREATE request 210 acknowledgment 251
receiving SMB2 ECHO request 238 receiving SMB2 QUERY_DIRECTORY request
receiving SMB2 FLUSH request 220 238
receiving SMB2 IOCTL request 227 receiving SMB2 QUERY_INFO request 242
receiving SMB2 LOCK request 224 receiving SMB2 READ request 221
receiving SMB2 LOGOFF request 207 receiving SMB2 SESSION_SETUP request 202
receiving SMB2 NEGOTIATE request 201 receiving SMB2 SET_INFO request 248
receiving SMB2 OPLOCK_BREAK receiving SMB2 TREE_CONNECT request 207
acknowledgment 251 receiving SMB2 TREE_DISCONNECT request
receiving SMB2 QUERY_DIRECTORY request 209
238 receiving SMB2 WRITE request 223
receiving SMB2 QUERY_INFO request 242 verifying incoming message 113
receiving SMB2 READ request 221 message sequence numbers algorithm 173
receiving SMB2 SESSION_SETUP request 202 per lease structures 182
receiving SMB2 SET_INFO request 248 per lease table structures 181
receiving SMB2 TREE_CONNECT request 207 per open structures 180
339 / 341
[MS-SMB2] — v20100820

per session structures 179 SMB2_CREATE_QUERY_MAXIMAL_ACCESS_RESPON
per share structures 177 SE packet 63
per transport connection structures 178 SMB2_CREATE_QUERY_ON_DISK_ID 64
per tree connect structures 179 SMB2_CREATE_Request packet 45
required global data 112 SMB2_CREATE_REQUEST_LEASE packet 58
sequencing rules SMB2_CREATE_Response packet 59
accepting incoming connection 195 SMB2_CREATE_RESPONSE_LEASE packet 64
overview 195 SMB2_CREATE_SD_BUFFER 62
receiving any message 196 SMB2_CREATE_TIMEWARP_TOKEN 64
receiving SMB_COM_NEGOTIATE 198 SMB2_CREATE_TIMEWARP_TOKEN packet 57
receiving SMB2 CANCEL request 237 SMB2_ECHO_Request packet 83
receiving SMB2 CHANGE_NOTIFY request 240 SMB2_ECHO_Response packet 83
receiving SMB2 CLOSE request 219 SMB2_ERROR_Response packet 30
receiving SMB2 CREATE request 210 SMB2_FILEID packet 62
receiving SMB2 ECHO request 238 SMB2_FLUSH_Request packet 68
receiving SMB2 FLUSH request 220 SMB2_FLUSH_Response packet 68
receiving SMB2 IOCTL request 227 SMB2_IOCTL_Request packet 84
receiving SMB2 LOCK request 224 SMB2_IOCTL_Response packet 91
receiving SMB2 LOGOFF request 207 SMB2_Lease_Break_Acknowledgment packet 77
receiving SMB2 NEGOTIATE request 201 SMB2_Lease_Break_Notification packet 75
receiving SMB2 OPLOCK_BREAK SMB2_Lease_Break_Response packet 79
acknowledgment 251 SMB2_LOCK_ELEMENT packet 82
receiving SMB2 QUERY_DIRECTORY request SMB2_LOCK_Request packet 81
238 SMB2_LOCK_Response packet 83
receiving SMB2 QUERY_INFO request 242 SMB2_LOGOFF_Request packet 41
receiving SMB2 READ request 221 SMB2_LOGOFF_Response packet 41
receiving SMB2 SESSION_SETUP request 202 SMB2_NEGOTIATE_Request packet 34
receiving SMB2 SET_INFO request 248 SMB2_NEGOTIATE_Response packet 35
receiving SMB2 TREE_CONNECT request 207 SMB2_Oplock_Break_Acknowledgment packet 76
receiving SMB2 TREE_DISCONNECT request SMB2_Oplock_Break_Notification packet 74
209 SMB2_Oplock_Break_Response packet 78
receiving SMB2 WRITE request 223 SMB2_Packet_Header_ASYNC packet 23
verifying incoming message 113 SMB2_Packet_Header_SYNC packet 27
timer events (section 3.1.6 113, section 3.3.6 SMB2_QUERY_DIRECTORY_Request packet 96
253) SMB2_QUERY_DIRECTORY_Response packet 98
timers (section 3.1.2 112, section 3.3.2 182) SMB2_QUERY_INFO_Request packet 102
Session expiration timer 183 SMB2_QUERY_INFO_Response packet 107
Session expiration timer event 254 SMB2_QUERY_QUOTA_INFO packet 106
SMB2 LOCK Request packet 81 SMB2_READ_Request packet 69
SMB2 negotiate example 267 SMB2_READ_Response packet 70
SMB2 Packet Header 23 SMB2_SESSION_SETUP_Request packet 38
SMB2_CANCEL_Request packet 84 SMB2_SESSION_SETUP_Response packet 40
SMB2_CHANGE_NOTIFY_Request packet 98 SMB2_SET_INFO_Request packet 108
SMB2_CHANGE_NOTIFY_Response packet 100 SMB2_SET_INFO_Response packet 110
SMB2_CLOSE_Request packet 65 SMB2_TREE_CONNECT_Request packet 41
SMB2_CLOSE_Response packet 66 SMB2_TREE_CONNECT_Response packet 42
SMB2_CREATE_ALLOCATION_SIZE 64 SMB2_TREE_DISCONNECT_Request packet 44
SMB2_CREATE_ALLOCATION_SIZE packet 57 SMB2_TREE_DISCONNECT_Response packet 45
SMB2_CREATE_CONTEXT Response Values 62 SMB2_WRITE_Request packet 71
SMB2_CREATE_CONTEXT_Request_Values packet SMB2_WRITE_Response packet 73
54 SRV_COPYCHUNK packet 88
SMB2_CREATE_DURABLE_HANDLE_RECONNECT 63 SRV_COPYCHUNK_COPY packet 87
SMB2_CREATE_DURABLE_HANDLE_RECONNECT SRV_COPYCHUNK_RESPONSE packet 93
packet 56 SRV_READ_HASH packet 88
SMB2_CREATE_DURABLE_HANDLE_REQUEST SRV_READ_HASH_Response packet 95
packet 56 SRV_REQUEST_RESUME_KEY_Response packet 94
SMB2_CREATE_DURABLE_HANDLE_RESPONSE SRV_SNAPSHOT_ARRAY packet 93
packet 63 Standards assignments 21
SMB2_CREATE_EA_BUFFER 62 Symbolic_Link_Error_Response packet 31
SMB2_CREATE_QUERY_MAXIMAL_ACCESS_REQUES Syntax – message 22
T packet 57
340 / 341
[MS-SMB2] — v20100820

T sending interim response for asynchronous
operation 186
Timer events signing outgoing message 112
client (section 3.1.6 113, section 3.2.6 172)
server (section 3.1.6 113, section 3.3.6 253) V
Timers
client (section 3.1.2 112, section 3.2.2 116) Vendor-extensible fields 21
server (section 3.1.2 112, section 3.3.2 182) Versioning 19
Tracking changes 324
Transport
disconnect 254
message 22
Triggered events – higher layer
client
overview 117
re-establishing a durable open 129
requesting applying of file attributes 134
requesting applying of file security attributes
137
requesting applying of file system attributes
135
requesting applying of quota information 139
requesting cancellation of operation 157
requesting change of notifications for directory
142
requesting closing of file or named pipe 129
requesting closing of share connection 156
requesting connection to share 119
requesting enumeration of directory 141
requesting flushing of cached data 140
requesting IO control code operation 144
requesting locking of array of byte ranges 143
requesting opening of file 125
requesting querying for file attributes 132
requesting querying for file security attributes
136
requesting querying for file system attributes
134
requesting querying for quota information 138
requesting reading from file or named pipe 130
requesting session key for authenticated
context 158
requesting termination of authenticated context
157
requesting unlocking of array of byte ranges
155
requesting writing to file or named pipe 131
sending any outgoing message 117
signing outgoing message 112
server
notification that DFS is active 190
notification that share is DFS share 190
notification that share is not DFS share 190
object store indicating lease break 189
object store indicating oplock break 189
overview 185
requesting security context 190
requesting session key 188
sending any outgoing message 185
sending error response 187
341 / 341
[MS-SMB2] — v20100820

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Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

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Release: Friday, August 20, 2010

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07/16/2010 25.0 Major Significantly changed the technical content.

08/27/2010 26.0 Major Significantly changed the technical content.

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

3 Protocol Details .................................................................................................... 112

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

4 Protocol Examples ................................................................................................ 256

Copyright © 2010 Microsoft Corporation.

Release: Friday, August 20, 2010

6 Appendix A: Product Behavior .............................................................................. 302