Protocol Negotiation and Session Setup

SMB has a built-in mechanism that is used by the client and server to determine the other's capabilities so that a common protocol version can be established that the two will use for the network con• nection. The first SMB message that the client sends to the server is one of the SMB_COM_NEGOTIATE type. The client uses this message to send the server a list of the dialects it understands. The server selects the most recent dialect it understands from the client's list and returns a message to it.

The response the server returns depends on the type of client. The information includes the dialect selected and can include additional information, such as buffer sizes, supported access modes, time and date values, and security information. After the client receives this response, it can continue to set up the session by using the SESSION_SETUP_ANDX message type.

If the initial server response indicates that user-level security is being used, this message type can be used to perform a user logon. The client sets a value in the message header called the UID (user ID) for the account it wants to use. It also supplies the account name and password to the server by using this message type. If these values are validated by the server, the user can continue to use the UID to make subsequent accesses.

Other setup functions that are performed by using SESSION_SETUP_ANDX include the following:

• Set the maximum values for the size of buffers that will be used in the message exchange.
• Set the maximum number of client requests that can be outstanding at the server.
• Set the virtual circuit (VC) number.

If the VC passed to the server is zero and the server has other circuits open for the client, it will abort those services, assuming that the client has rebooted without freeing those services first. To properly close a session, the client uses the message type LOGOFF_ANDX, which causes the server to close all files associated with the user's UID.

Accessing Files

Other SMB message types are used to traverse the resource directory and to open, read, write, and close files. First, the user must connect to the resource by using the TREE_CONNECT message. The mes‑

sage includes the name of the resource (server and share name) and, for earlier clients that do not perform logons, a shared password. The server responds by sending the user a value called the TID (Tree ID), which will be used in SMBs exchanged for this connection.

After the connection has been established, several basic SMB command formats can be used to manipulate files and directories that reside on the share. For example, the CREATE_DIRECTORY message is used to create a new directory in the file share's directory structure. The client passes the pathname for the new directory, and the server creates the directory, provided that the client has the appropriate access rights or permissions. The DELETE_DIRECTORY SMB message can be used to remove a directory, again based on the functions allowed for the username.

Opening and Closing Files

The OPEN message is used by a client to open a file. The path for the file is given, relative to the file share root. The client specifies the access that is desired, such as read, write, or share. If the file is successfully opened, the server returns a File ID (FID) to the client, which is used to further access the file using other SMB message types; it is similar to a file handle, which most programmers will recognize.

The server also returns data to the client indicating the actual access that was granted, which is read- only, write-only, or read/write. The CLOSE message is sent by the client to tell the server to release any locks held on the resource fileheld by the client. After this message, the client can no longer use the FID to access the file, but it must instead reopen the file and obtain a new value.

When a client does not know the exact name of a file that it wants to open, the SEARCH message can be used to perform a directory lookup. This function enables wildcards to be used, and the server response can include more than one filename that matches the request.