Network Working Group S.

Chisholm
Request for Comments: 5277 Nortel
Category: Standards Track H. Trevino
Cisco
July 2008

NETCONF Event Notifications

Status of This Memo

This document specifies an Internet standards track protocol for the

Internet community, and requests discussion and suggestions for
improvements. Please refer to the current edition of the "Internet
Official Protocol Standards" (STD 1) for the standardization state
and status of this protocol. Distribution of this memo is unlimited.

Abstract

This document defines mechanisms that provide an asynchronous message

notification delivery service for the Network Configuration protocol
(NETCONF). This is an optional capability built on top of the base
NETCONF definition. This document defines the capabilities and
operations necessary to support this service.

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Table of Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1. Definition of Terms . . . . . . . . . . . . . . . . . . . 3
1.2. Motivation . . . . . . . . . . . . . . . . . . . . . . . . 4
1.3. Event Notifications in NETCONF . . . . . . . . . . . . . . 5
2. Notification-Related Operations . . . . . . . . . . . . . . . 5
2.1. Subscribing to Receive Event Notifications . . . . . . . . 5
2.1.1. <create-subscription> . . . . . . . . . . . . . . . . 6
2.2. Sending Event Notifications . . . . . . . . . . . . . . . 9
2.2.1. <notification> . . . . . . . . . . . . . . . . . . . . 9
2.3. Terminating the Subscription . . . . . . . . . . . . . . . 9
3. Supporting Concepts . . . . . . . . . . . . . . . . . . . . . 10
3.1. Capabilities Exchange . . . . . . . . . . . . . . . . . . 10
3.1.1. Capability Identifier . . . . . . . . . . . . . . . . 10
3.1.2. Capability Example . . . . . . . . . . . . . . . . . . 10
3.2. Event Streams . . . . . . . . . . . . . . . . . . . . . . 10
3.2.1. Event Stream Definition . . . . . . . . . . . . . . . 12
3.2.2. Event Stream Content Format . . . . . . . . . . . . . 12
3.2.3. Default Event Stream . . . . . . . . . . . . . . . . . 12
3.2.4. Event Stream Sources . . . . . . . . . . . . . . . . . 12
3.2.5. Event Stream Discovery . . . . . . . . . . . . . . . . 12
3.3. Notification Replay . . . . . . . . . . . . . . . . . . . 15
3.3.1. Overview . . . . . . . . . . . . . . . . . . . . . . . 15
3.3.2. Creating a Subscription with Replay . . . . . . . . . 16
3.4. Notification Management Schema . . . . . . . . . . . . . . 16
3.5. Subscriptions Data . . . . . . . . . . . . . . . . . . . . 20
3.6. Filter Mechanics . . . . . . . . . . . . . . . . . . . . . 20
3.6.1. Filtering . . . . . . . . . . . . . . . . . . . . . . 20
3.7. Message Flow . . . . . . . . . . . . . . . . . . . . . . . 20
4. XML Schema for Event Notifications . . . . . . . . . . . . . . 22
5. Filtering Examples . . . . . . . . . . . . . . . . . . . . . . 26
5.1. Subtree Filtering . . . . . . . . . . . . . . . . . . . . 28
5.2. XPATH Filters . . . . . . . . . . . . . . . . . . . . . . 29
6. Interleave Capability . . . . . . . . . . . . . . . . . . . . 30
6.1. Description . . . . . . . . . . . . . . . . . . . . . . . 30
6.2. Dependencies . . . . . . . . . . . . . . . . . . . . . . . 30
6.3. Capability Identifier . . . . . . . . . . . . . . . . . . 30
6.4. New Operations . . . . . . . . . . . . . . . . . . . . . . 31
6.5. Modifications to Existing Operations . . . . . . . . . . . 31
7. Security Considerations . . . . . . . . . . . . . . . . . . . 31
8. IANA Considerations . . . . . . . . . . . . . . . . . . . . . 32
9. Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . 33
10. Normative References . . . . . . . . . . . . . . . . . . . . . 33

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1. Introduction

[NETCONF] can be conceptually partitioned into four layers:

Layer Example
+-------------+ +-------------------------------------------+
| Content | | Configuration data |
+-------------+ +-------------------------------------------+
| |
+-------------+ +-------------------------------------------+
| Operations | |<get-config>, <edit-config>, <notification>|
+-------------+ +-------------------------------------------+
| | |
+-------------+ +-----------------------------+ |
| RPC | | <rpc>, <rpc-reply> | |
+-------------+ +-----------------------------+ |
| | |
+-------------+ +-------------------------------------------+
| Transport | | BEEP, SSH, SSL, console |
| Protocol | | |
+-------------+ +-------------------------------------------+

Figure 1

This document defines mechanisms that provide an asynchronous message

notification delivery service for the [NETCONF] protocol. This is an
optional capability built on top of the base NETCONF definition.
This memo defines the capabilities and operations necessary to
support this service.

1.1. Definition of Terms

The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
"SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this
document are to be interpreted as described in [RFC2119].

Element: An [XML] Element.

Subscription: An agreement and method to receive event notifications

over a NETCONF session. A concept related to the delivery of
notifications (if there are any to send) involving destination and
selection of notifications. It is bound to the lifetime of a
session.

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Operation: This term is used to refer to NETCONF protocol operations

[NETCONF]. Within this document, operation refers to NETCONF
protocol operations defined in support of NETCONF notifications.

Event: An event is something that happens that may be of interest -

a configuration change, a fault, a change in status, crossing a
threshold, or an external input to the system, for example.
Often, this results in an asynchronous message, sometimes referred
to as a notification or event notification, being sent to
interested parties to notify them that this event has occurred.

Replay: The ability to send/re-send previously logged notifications

upon request. These notifications are sent asynchronously. This
feature is implemented by the NETCONF server and invoked by the
NETCONF client.

Stream: An event stream is a set of event notifications matching

some forwarding criteria and available to NETCONF clients for
subscription.

Filter: A parameter that indicates which subset of all possible

events are of interest. A filter is defined as one or more filter
elements [NETCONF], each of which identifies a portion of the
overall filter.

1.2. Motivation

The motivation for this work is to enable the sending of asynchronous

messages that are consistent with the data model (content) and
security model used within a NETCONF implementation.

The scope of the work aims at meeting the following operational

needs:

o Initial release should ensure it supports notifications in support

of configuration operations.

o It should be possible to use the same data model for notifications

as for configuration operations.

o The solution should support a reasonable message size limit (i.e.,

not too short).

o The notifications should be carried over a connection-oriented

delivery mechanism.

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o A subscription mechanism for notifications should be provided.

This takes into account that a NETCONF server does not send
notifications before being asked to do so, and that it is the
NETCONF client who initiates the flow of notifications.

o A filtering mechanism for sending notifications should be put in

place within the NETCONF server.

o The information contained in a notification should be sufficient

so that it can be analyzed independent of the transport mechanism.
In other words, the data content fully describes a notification;
protocol information is not needed to understand a notification.

o The server should have the capability to replay locally logged

notifications.

1.3. Event Notifications in NETCONF

This memo defines a mechanism whereby the NETCONF client indicates

interest in receiving event notifications from a NETCONF server by
creating a subscription to receive event notifications. The NETCONF
server replies to indicate whether the subscription request was
successful and, if it was successful, begins sending the event
notifications to the NETCONF client as the events occur within the
system. These event notifications will continue to be sent until
either the NETCONF session is terminated or the subscription
terminates for some other reason. The event notification
subscription allows a number of options to enable the NETCONF client
to specify which events are of interest. These are specified when
the subscription is created. Note that a subscription cannot be
modified once created.

The NETCONF server MUST accept and process the <close-session>

operation, even while the notification subscription is active. The
NETCONF server MAY accept and process other commands; otherwise, they
will be rejected and the server MUST send a ’resource-denied’ error.
A NETCONF server advertises support of the ability to process other
commands via the :interleave capability.

2. Notification-Related Operations

2.1. Subscribing to Receive Event Notifications

The event notification subscription is initiated by the NETCONF

client and responded to by the NETCONF server. A subscription is
bound to a single stream for the lifetime of the subscription. When
the event notification subscription is created, the events of
interest are specified.

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Content for an event notification subscription can be selected by

applying user-specified filters.

2.1.1. <create-subscription>

Description:

This operation initiates an event notification subscription that

will send asynchronous event notifications to the initiator of the
command until the subscription terminates.

Parameters:

Stream:

An optional parameter, <stream>, that indicates which stream of

events is of interest. If not present, events in the default
NETCONF stream will be sent.

Filter:

An optional parameter, <filter>, that indicates which subset of

all possible events is of interest. The format of this
parameter is the same as that of the filter parameter in the
NETCONF protocol operations. If not present, all events not
precluded by other parameters will be sent. See section 3.6
for more information on filters.

Start Time:

A parameter, <startTime>, used to trigger the replay feature

and indicate that the replay should start at the time
specified. If <startTime> is not present, this is not a replay
subscription. It is not valid to specify start times that are
later than the current time. If the <startTime> specified is
earlier than the log can support, the replay will begin with
the earliest available notification. This parameter is of type
dateTime and compliant to [RFC3339]. Implementations must
support time zones.

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Stop Time:

An optional parameter, <stopTime>, used with the optional

replay feature to indicate the newest notifications of
interest. If <stopTime> is not present, the notifications will
continue until the subscription is terminated. Must be used
with and be later than <startTime>. Values of <stopTime> in
the future are valid. This parameter is of type dateTime and
compliant to [RFC3339]. Implementations must support time
zones.

Positive Response:

If the NETCONF server can satisfy the request, the server sends an
<ok> element.

Negative Response:

An <rpc-error> element is included within the <rpc-reply> if the

request cannot be completed for any reason. Subscription requests
will fail if a filter with invalid syntax is provided or if the
name of a non-existent stream is provided.

If a <stopTime> is specified in a request without having specified

a <startTime>, the following error is returned:

Tag: missing-element

Error-type: protocol

Severity: error

Error-info: <bad-element>: startTime

Description: An expected element is missing.

If the optional replay feature is requested but it is not

supported by the NETCONF server, the following error is returned:

Tag: operation-failed

Error-type: protocol

Severity: error

Error-info: none

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Description: Request could not be completed because the

requested operation failed for some reason not covered by any
other error condition.

If a <stopTime> is requested that is earlier than the specified

<startTime>, the following error is returned:

Tag: bad-element

Error-type: protocol

Severity: error

Error-info: <bad-element>: stopTime

Description: An element value is not correct; e.g., wrong type,

out of range, pattern mismatch.

If a <startTime> is requested that is later than the current time,

the following error is returned:

Tag: bad-element

Error-type: protocol

Severity: error

Error-info: <bad-element>: startTime

Description: An element value is not correct; e.g., wrong type,

out of range, pattern mismatch.

2.1.1.1. Usage Example

The following demonstrates creating a simple subscription. More

complex examples can be found in section 5.

<netconf:rpc message-id="101"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0">
<create-subscription
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
</create-subscription>
</netconf:rpc>

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2.2. Sending Event Notifications

Once the subscription has been set up, the NETCONF server sends the
event notifications asynchronously over the connection.

2.2.1. <notification>

Description:

An event notification is sent to the client who initiated a

<create-subscription> command asynchronously when an event of
interest (i.e., meeting the specified filtering criteria) has
occurred. An event notification is a complete and well-formed XML
document. Note that <notification> is not a Remote Procedure Call
(RPC) method but rather the top-level element identifying the one-
way message as a notification.

Parameters:

eventTime

The time the event was generated by the event source. This
parameter is of type dateTime and compliant to [RFC3339].
Implementations must support time zones.

Also contains notification-specific tagged content, if any. With

the exception of <eventTime>, the content of the notification is
beyond the scope of this document.

Response:

No response. Not applicable.

2.3. Terminating the Subscription

Closing of the event notification subscription can be done by using

the <close-session> operation from the subscriptions session or
terminating the NETCONF session ( <kill-session> ) or the underlying
transport session from another session. If a stop time is provided
when the subscription is created, the subscription will terminate
after the stop time is reached. In this case, the NETCONF session
will still be an active session.

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3. Supporting Concepts

3.1. Capabilities Exchange

The ability to process and send event notifications is advertised

during the capability exchange between the NETCONF client and server.

3.1.1. Capability Identifier

"urn:ietf:params:netconf:capability:notification:1.0"

3.1.2. Capability Example

<hello xmlns="urn:ietf:params:xml:ns:netconf:base:1.0">
<capabilities>
<capability>
urn:ietf:params:xml:ns:netconf:base:1.0
</capability>
<capability>
urn:ietf:params:netconf:capability:startup:1.0
</capability>
<capability>
urn:ietf:params:netconf:capability:notification:1.0
</capability>
</capabilities>
<session-id>4</session-id>
</hello>

3.2. Event Streams

An event stream is defined as a set of event notifications matching

some forwarding criteria.

Figure 2 illustrates the notification flow and concepts identified in

this document. It does not mandate and/or preclude an
implementation. The following is observed from the diagram below:
System components (c1..cn) generate event notifications that are
passed to a central component for classification and distribution.
The central component inspects each event notification and matches
the event notification against the set of stream definitions. When a
match occurs, the event notification is considered to be a member of
that event stream (stream 1..stream n). An event notification may be
part of multiple event streams.

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At some point after the NETCONF server receives the internal event
from a stream, it is converted to an appropriate XML encoding by the
server, and a <notification> element is ready to send to all NETCONF
sessions subscribed to that stream.

After generation of the <notification> element, access control is

applied by the server. If a session does not have permission to
receive the <notification>, then it is discarded for that session,
and processing of the internal event is completed for that session.

When a NETCONF client subscribes to a given event stream, user-

defined filter elements, if applicable, are applied to the event
stream and matching event notifications are forwarded to the NETCONF
server for distribution to subscribed NETCONF clients. A filter is
transferred from the client to the server during the <create-
subscription> operation and applied against each <notification>
element generated by the stream. For more information on filtering,
see Section 3.6.

A notification-logging service may also be available, in which case,

the central component logs notifications. The NETCONF server may
later retrieve logged notifications via the optional replay feature.
For more information on replay, see section 3.3.

+----+
| c1 |----+ available streams
+----+ | +---------+
+----+ | |central |-> stream 1
| c2 | +--->|event |-> stream 2 filter +-------+
+----+ | |processor|-> NETCONF stream ----->|NETCONF|
... | | |-> stream n |server |
System | +---------+ +-------+
Components| | /\
... | | ||
+----+ | | (------------) ||
| cn |----+ | (notification) ||
+----+ +-----> ( logging ) ||
( service ) ||
(------------) ||
||
||
\/
+-------+
|NETCONF|
|client |
+-------+

Figure 2

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3.2.1. Event Stream Definition

Event streams are predefined on the managed device. The

configuration of event streams is outside the scope of this document.
However, it is envisioned that event streams are either pre-
established by the vendor (pre-configured), user configurable (e.g.,
part of the device’s configuration), or both. Device vendors may
allow event stream configuration via the NETCONF protocol (i.e.,
<edit-config> operation).

3.2.2. Event Stream Content Format

The contents of all event streams made available to a NETCONF client

(i.e., the notification sent by the NETCONF server) MUST be encoded
in XML.

3.2.3. Default Event Stream

A NETCONF server implementation supporting the notification

capability MUST support the "NETCONF" notification event stream.
This stream contains all NETCONF XML event notifications supported by
the NETCONF server. The exact string "NETCONF" is used during the
advertisement of stream support during the <get> operation on
<streams> and during the <create-subscription> operation. Definition
of the event notifications and their contents, beyond the inclusion
of <eventTime>, for this event stream is outside the scope of this
document.

3.2.4. Event Stream Sources

With the exception of the default event stream (NETCONF),

specification of additional event stream sources (e.g., Simple
Network Management Protocol (SNMP), syslog) is outside the scope of
this document. NETCONF server implementations may leverage any
desired event stream source in the creation of supported event
streams.

3.2.5. Event Stream Discovery

A NETCONF client retrieves the list of supported event streams from a

NETCONF server using the <get> operation.

3.2.5.1. Name Retrieval Using <get> Operation

The list of available event streams is retrieved by requesting the

<streams> subtree via a <get> operation. Available event streams for
the requesting session are returned in the reply containing the
<name> and <description> elements, where the <name> element is

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mandatory, and its value is unique within the scope of a NETCONF

server. An empty reply is returned if there are no available event
streams, due to user-specified filters on the <get> operation.

Additional information available about a stream includes whether

notification replay is available and, if so, the timestamp of the
earliest possible notification to replay.

The following example shows retrieving the list of available event

stream list using the <get> operation.

<rpc message-id="101"
xmlns="urn:ietf:params:xml:ns:netconf:base:1.0">
<get>
<filter type="subtree">
<netconf xmlns="urn:ietf:params:xml:ns:netmod:notification">
<streams/>
</netconf>
</filter>
</get>
</rpc>

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The NETCONF server returns a list of event streams available for

subscription: NETCONF, SNMP, and syslog-critical in this example.

<rpc-reply message-id="101"
xmlns="urn:ietf:params:xml:ns:netconf:base:1.0">
<data>
<netconf xmlns="urn:ietf:params:xml:ns:netmod:notification">
<streams>
<stream>
<name>NETCONF</name>
<description>default NETCONF event stream
</description>
<replaySupport>true</replaySupport>
<replayLogCreationTime>
2007-07-08T00:00:00Z
</replayLogCreationTime>
</stream>
<stream>
<name>SNMP</name>
<description>SNMP notifications</description>
<replaySupport>false</replaySupport>
</stream>
<stream>
<name>syslog-critical</name>
<description>Critical and higher severity
</description>
<replaySupport>true</replaySupport>
<replayLogCreationTime>
2007-07-01T00:00:00Z
</replayLogCreationTime>
</stream>
</streams>
</netconf>
</data>
</rpc-reply>

3.2.5.2. Event Stream Subscription

A NETCONF client may request from the NETCONF server the list of
event streams available to this session and then issue a <create-
subscription> request with the desired event stream name. Omitting
the event stream name from the <create-subscription> request results
in subscription to the default NETCONF event stream.

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3.2.5.2.1. Filtering Event Stream Contents

The set of event notifications delivered in an event stream may be

further refined by applying a user-specified filter supplied at
subscription creation time ( <create-subscription> ). This is a
transient filter associated with the event notification subscription
and does not modify the event stream configuration. The filter
element is applied against the contents of the <notification> wrapper
and not the wrapper itself. See section 5 for examples. Either
subtree or XPATH filtering can be used.

XPATH support for the Notification capability is advertised as part

of the normal XPATH capability advertisement. If XPATH support is
advertised via the XPATH capability, then XPATH is supported for
notification filtering. If this capability is not advertised, XPATH
is not supported for notification filtering.

3.3. Notification Replay

3.3.1. Overview

Replay is the ability to create an event subscription that will

resend recently generated notifications, or in some cases send them
for the first time to a particular NETCONF client. These
notifications are sent the same way as normal notifications.

A replay of notifications is specified by including the optional

<startTime> parameter to the subscription command, which indicates
the start time of the replay. The end time is specified using the
optional <stopTime> parameter. If not present, notifications will
continue to be sent until the subscription is terminated.

A notification stream that supports replay is not expected to have an

unlimited supply of saved notifications available to accommodate any
replay request. Clients can query <replayLogCreationTime> and
<replayLogAgedTime> to learn about the availability of notifications
for replay.

The actual number of stored notifications available for retrieval at

any given time is a NETCONF server implementation-specific matter.
Control parameters for this aspect of the feature are outside the
scope of this document.

Replay is dependent on a notification stream supporting some form of

notification logging, although it puts no restrictions on the size or
form of the log, or where it resides within the device. Whether or
not a stream supports replay can be discovered by doing a <get>
operation on the <streams> element of the Notification Management

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Schema and looking at the value of the <replaySupport> object. This

schema also provides the <replayLogCreationTime> element to indicate
the earliest available logged notification.

3.3.2. Creating a Subscription with Replay

This feature uses optional parameters to the <create-subscription>

command called <startTime> and <stopTime>. <startTime> identifies the
earliest date and time of interest for event notifications being
replayed and also indicates that a subscription will be providing
replay of notifications. Events generated before this time are not
matched. <stopTime> specifies the latest date and time of interest
for event notifications being replayed. If it is not present, then
notifications will continue to be sent until the subscription is
terminated.

Note that <startTime> and <stopTime> are associated with the time an
event was generated by the event source.

A <replayComplete> notification is sent to indicate that all of the

replay notifications have been sent and must not be sent for any
other reason. If this subscription has a stop time, then this
session becomes a normal NETCONF session again. The NETCONF server
will then accept <rpc> operations even if the server did not
previously accept such operations due to lack of interleave support.
In the case of a subscription without a stop time, after the
<replayComplete> notification has been sent, it can be expected that
any notifications generated since the start of the subscription
creation will be sent, followed by notifications as they arise
naturally within the system.

The <replayComplete> and <notificationComplete> notifications cannot

be filtered out. They will always be sent on a replay subscription
that specified a <startTime> and <stopTime>, respectively.

3.4. Notification Management Schema

This Schema is used to learn about the event streams supported on the
system. It also contains the definition of the <replayComplete> and
<notificationComplete> notifications, which are sent to indicate that
an event replay has sent all applicable notifications and that the
subscription has terminated, respectively.

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<?xml version="1.0" encoding="UTF-8"?>

<xs:schema xmlns:xs="http://www.w3.org/2001/XMLSchema"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0"
xmlns:ncEvent="urn:ietf:params:xml:ns:netconf:notification:1.0"
xmlns:manageEvent="urn:ietf:params:xml:ns:netmod:notification"
targetNamespace="urn:ietf:params:xml:ns:netmod:notification"
elementFormDefault="qualified"
attributeFormDefault="unqualified"
xml:lang="en" version="1.0">
<xs:annotation>
<xs:documentation xml:lang="en">
A schema that can be used to learn about current
event streams. It also contains the replayComplete
and notificationComplete notification.
</xs:documentation>
</xs:annotation>

<xs:import namespace="http://www.w3.org/XML/1998/namespace"
schemaLocation="http://www.w3.org/2001/xml.xsd"/>
<xs:import namespace="urn:ietf:params:xml:ns:netconf:base:1.0"
schemaLocation="netconf.xsd"/>
<xs:import namespace=
"urn:ietf:params:xml:ns:netconf:notification:1.0"
schemaLocation="notification.xsd"/>

<xs:element name="netconf" type="manageEvent:Netconf"/>

<xs:complexType name="Netconf">
<xs:sequence>
<xs:element name="streams" >
<xs:annotation>
<xs:documentation>
The list of event streams supported by the
system. When a query is issued, the returned
set of streams is determined based on user
privileges.
</xs:documentation>
</xs:annotation>
<xs:complexType>
<xs:sequence minOccurs="1" maxOccurs="unbounded">
<xs:element name="stream">
<xs:annotation>
<xs:documentation>
Stream name, description, and other information.
</xs:documentation>
</xs:annotation>
<xs:complexType>
<xs:sequence>

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<xs:element name="name"
type="ncEvent:streamNameType">
<xs:annotation>
<xs:documentation>
The name of the event stream. If this is
the default NETCONF stream, this must have
the value "NETCONF".
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="description"
type="xs:string">
<xs:annotation>
<xs:documentation>
A description of the event stream, including
such information as the type of events that
are sent over this stream.
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="replaySupport"
type="xs:boolean">
<xs:annotation>
<xs:documentation>
An indication of whether or not event replay
is available on this stream.
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="replayLogCreationTime"
type="xs:dateTime" minOccurs="0">
<xs:annotation>
<xs:documentation>
The timestamp of the creation of the log
used to support the replay function on
this stream.
Note that this might be earlier then
the earliest available
notification in the log. This object
is updated if the log resets
for some reason. This
object MUST be present if replay is
supported.
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="replayLogAgedTime"
type="xs:dateTime" minOccurs="0">

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<xs:annotation>
<xs:documentation>
The timestamp of the last notification
aged out of the log. This
object MUST be present if replay is
supported and any notifications
have been aged out of the log.
</xs:documentation>
</xs:annotation>
</xs:element>
</xs:sequence>
</xs:complexType>
</xs:element>
</xs:sequence>
</xs:complexType>
</xs:element>
</xs:sequence>
</xs:complexType>

<xs:complexType name="ReplayCompleteNotificationType">
<xs:complexContent>
<xs:extension base="ncEvent:NotificationContentType"/>
</xs:complexContent>
</xs:complexType>

<xs:element name="replayComplete"
type="manageEvent:ReplayCompleteNotificationType"
substitutionGroup="ncEvent:notificationContent">
<xs:annotation>
<xs:documentation>
This notification is sent to signal the end of a replay
portion of a subscription.
</xs:documentation>
</xs:annotation>
</xs:element>

<xs:complexType name="NotificationCompleteNotificationType">
<xs:complexContent>
<xs:extension base="ncEvent:NotificationContentType"/>
</xs:complexContent>
</xs:complexType>

<xs:element name="notificationComplete"
type="manageEvent:NotificationCompleteNotificationType"
substitutionGroup="ncEvent:notificationContent">
<xs:annotation>
<xs:documentation>
This notification is sent to signal the end of a

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notification subscription. It is sent in the case

that stopTime was specified during the creation of
the subscription.
</xs:documentation>
</xs:annotation>
</xs:element>

</xs:schema>

3.5. Subscriptions Data

Subscriptions are non-persistent state information, and their

lifetime is defined by their session or by the <stopTime> parameter.

3.6. Filter Mechanics

If a filter element is specified to look for data of a particular

value, and the data item is not present within a particular event
notification for its value to be checked against, the notification
will be filtered out. For example, if one were to check for
’severity=critical’ in a configuration event notification where this
field was not supported, then the notification would be filtered out.

For subtree filtering, a non-empty node set means that the filter
matches. For XPath filtering, the mechanisms defined in [XPATH]
should be used to convert the returned value to boolean.

3.6.1. Filtering

Filtering is explicitly stated when the event notification

subscription is created. This is specified via the ’filter’
parameter. A Filter only exists as a parameter to the subscription.

3.7. Message Flow

The following figure depicts message flow between a NETCONF client

(C) and NETCONF server (S) in order to create a subscription and
begin the flow of notifications. This subscription specifies a
<startTime>, so the server starts by replaying logged notifications.
It is possible that many rpc/rpc-reply sequences occur before the
subscription is created, but this is not depicted in the figure.

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C S
| |
| capability exchange |
|-------------------------->|
|<------------------------->|
| |
| <create-subscription> | (startTime)
|-------------------------->|
|<--------------------------|
| <rpc-reply> |
| |
| <notification> |
|<--------------------------|
| |
| <notification> |
|<--------------------------|
| <notification> | (replayComplete)
|<--------------------------|
| |
| |
| |
| <notification> |
|<--------------------------|
| |
| |
| <notification> |
|<--------------------------|
| |
| |

Figure 3

The following figure depicts message flow between a NETCONF client

(C) and NETCONF server (S) in order to create a subscription and
begin the flow of notifications. This subscription specified a
<startTime> and <stopTime> so it starts by replaying logged
notifications and then returns to be a normal command-response
NETCONF session after the <replayComplete> and <notificationComplete>
notifications are sent and it is available to process <rpc> requests.
It is possible that many rpc/rpc-reply sequences occur before the
subscription is created, but this is not depicted in the figure.

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C S
| |
| capability exchange |
|-------------------------->|
|<------------------------->|
| |
| <create-subscription> | (startTime,
|-------------------------->| stopTime)
|<--------------------------|
| <rpc-reply> |
| |
| <notification> |
|<--------------------------|
| |
| <notification> |
|<--------------------------|
| <notification> | (replayComplete)
|<--------------------------|
| <notification> |(notificationComplete)
|<--------------------------|
| |
| |
| |
| <rpc> |
|-------------------------->|
|<--------------------------|
| <rpc-reply> |
| |

Figure 4

4. XML Schema for Event Notifications

The following [XMLSchema] defines NETCONF Event Notifications.

<?xml version="1.0" encoding="UTF-8"?>

<xs:schema xmlns:xs="http://www.w3.org/2001/XMLSchema"
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0"
targetNamespace=
"urn:ietf:params:xml:ns:netconf:notification:1.0"
elementFormDefault="qualified"
attributeFormDefault="unqualified"
xml:lang="en">

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<!-- import standard XML definitions -->

<xs:import namespace="http://www.w3.org/XML/1998/namespace"
schemaLocation="http://www.w3.org/2001/xml.xsd">
<xs:annotation>
<xs:documentation>
This import accesses the xml: attribute groups for the
xml:lang as declared on the error-message element.
</xs:documentation>
</xs:annotation>
</xs:import>

<!-- import base netconf definitions -->

<xs:import namespace="urn:ietf:params:xml:ns:netconf:base:1.0"
schemaLocation="netconf.xsd"/>

<!-- ************** Symmetrical Operations ********************-->

<!-- <create-subscription> operation -->

<xs:complexType name="createSubscriptionType">
<xs:complexContent>
<xs:extension base="netconf:rpcOperationType">
<xs:sequence>
<xs:element name="stream"
type="streamNameType" minOccurs="0">
<xs:annotation>
<xs:documentation>
An optional parameter that indicates
which stream of events is of interest.
If not present, then events in the
default NETCONF stream will be sent.
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="filter"
type="netconf:filterInlineType"
minOccurs="0">
<xs:annotation>
<xs:documentation>
An optional parameter that indicates
which subset of all possible events
is of interest. The format of this
parameter is the same as that of the
filter parameter in the NETCONF
protocol operations. If not
present, all events not precluded
by other parameters will be sent.

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</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="startTime" type="xs:dateTime"
minOccurs="0" >
<xs:annotation>
<xs:documentation>
A parameter used to trigger the replay
feature indicating that the replay
should start at the time specified. If
start time is not present, this is not a
replay subscription.
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element name="stopTime" type="xs:dateTime"
minOccurs="0" >
<xs:annotation>
<xs:documentation>
An optional parameter used with the
optional replay feature to indicate the
newest notifications of interest. If
stop time is not present, the
notifications will continue until the
subscription is terminated. Must be
used with startTime.
</xs:documentation>
</xs:annotation>
</xs:element>
</xs:sequence>
</xs:extension>
</xs:complexContent>
</xs:complexType>
<xs:simpleType name="streamNameType">
<xs:annotation>
<xs:documentation>
The name of an event stream.
</xs:documentation>
</xs:annotation>
<xs:restriction base="xs:string"/>
</xs:simpleType>

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<xs:element name="create-subscription"
type="createSubscriptionType"
substitutionGroup="netconf:rpcOperation">
<xs:annotation>
<xs:documentation>
The command to create a notification subscription. It
takes as argument the name of the notification stream
and filter. Both of those options
limit the content of the subscription. In addition,
there are two time-related parameters, startTime and
stopTime, which can be used to select the time interval
of interest to the notification replay feature.
</xs:documentation>
</xs:annotation>
</xs:element>

<!-- ************** One-way Operations ******************-->

<!-- <Notification> operation -->

<xs:complexType name="NotificationContentType"/>

<xs:element name="notificationContent"
type="NotificationContentType" abstract="true"/>

<xs:complexType name="NotificationType">
<xs:sequence>
<xs:element name="eventTime" type="xs:dateTime">
<xs:annotation>
<xs:documentation>
The time the event was generated by the event source.
</xs:documentation>
</xs:annotation>
</xs:element>
<xs:element ref="notificationContent"/>
</xs:sequence>
</xs:complexType>

<xs:element name="notification" type="NotificationType"/>

</xs:schema>

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5. Filtering Examples

The following section provides examples to illustrate the various

methods of filtering content on an event notification subscription.

In order to illustrate the use of filter expressions, it is necessary

to assume some of the event notification content. The examples below
assume that the event notification schema definition has an <event>
element at the top level consisting of the event class (e.g., fault,
state, config), reporting entity, and either severity or operational
state.

Examples in this section are generated from the following fictional

Schema.

<?xml version="1.0" encoding="UTF-8"?>

<xs:schema targetNamespace="http://example.com/event/1.0"
xmlns="http://example.com/event/1.0"
elementFormDefault="qualified"
xmlns:xs="http://www.w3.org/2001/XMLSchema"
xmlns:ncEvent="urn:ietf:params:xml:ns:netconf:notification:1.0">

<xs:import namespace=
"urn:ietf:params:xml:ns:netconf:notification:1.0"
schemaLocation="notification.xsd"/>

<xs:complexType name="eventType">
<xs:complexContent>
<xs:extension base="ncEvent:NotificationContentType">
<xs:sequence>
<xs:element name="eventClass" />
<xs:element name="reportingEntity">
<xs:complexType>
<xs:sequence>
<xs:any namespace="##any"
processContents="lax"/>
</xs:sequence>
</xs:complexType>
</xs:element>
<xs:choice>
<xs:element name="severity"/>
<xs:element name="operState"/>
</xs:choice>
</xs:sequence>
</xs:extension>
</xs:complexContent>
</xs:complexType>

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RFC 5277 NETCONF Event Notifications July 2008

<xs:element name="event"
type="eventType"
substitutionGroup="ncEvent:notificationContent"/>

</xs:schema>

The above fictional notification definition could result in the

following sample notification list, which is used in the examples in
this section.

<notification
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<eventTime>2007-07-08T00:01:00Z</eventTime>
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<reportingEntity>
<card>Ethernet0</card>
</reportingEntity>
<severity>major</severity>
</event>
</notification>

<notification
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<eventTime>2007-07-08T00:02:00Z</eventTime>
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<reportingEntity>
<card>Ethernet2</card>
</reportingEntity>
<severity>critical</severity>
</event>
</notification>

<notification
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<eventTime>2007-07-08T00:04:00Z</eventTime>
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<reportingEntity>
<card>ATM1</card>
</reportingEntity>
<severity>minor</severity>
</event>
</notification>

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RFC 5277 NETCONF Event Notifications July 2008

<notification
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<eventTime>2007-07-08T00:10:00Z</eventTime>
<event xmlns="http://example.com/event/1.0">
<eventClass>state</eventClass>
<reportingEntity>
<card>Ethernet0</card>
</reportingEntity>
<operState>enabled</operState>
</event>
</notification>

5.1. Subtree Filtering

XML subtree filtering is not well-suited for creating elaborate

filter definitions given that it only supports equality comparisons
and application of the logical OR operators (e.g., in an event
subtree, give me all event notifications that have severity=critical,
severity=major, or severity=minor). Nevertheless, it may be used for
defining simple event notification forwarding filters as shown below.

The following example illustrates how to select fault events which

have severities of critical, major, or minor. The filtering criteria
evaluation is as follows:

((fault & severity=critical) | (fault & severity=major) | (fault &

severity=minor))

<netconf:rpc netconf:message-id="101"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0">
<create-subscription
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<filter netconf:type="subtree">
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<severity>critical</severity>
</event>
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<severity>major</severity>
</event>
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<severity>minor</severity>
</event>
</filter>
</create-subscription>
</netconf:rpc>

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RFC 5277 NETCONF Event Notifications July 2008

The following example illustrates how to select state or config

EventClasses or fault events that are related to card Ethernet0. The
filtering criteria evaluation is as follows:

( state | config | ( fault & ( card=Ethernet0)))

<netconf:rpc netconf:message-id="101"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0">
<create-subscription
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<filter netconf:type="subtree">
<event xmlns="http://example.com/event/1.0">
<eventClass>state</eventClass>
</event>
<event xmlns="http://example.com/event/1.0">
<eventClass>config</eventClass>
</event>
<event xmlns="http://example.com/event/1.0">
<eventClass>fault</eventClass>
<reportingEntity>
<card>Ethernet0</card>
</reportingEntity>
</event>
</filter>
</create-subscription>
</netconf:rpc>

5.2. XPATH Filters

The following [XPATH] example illustrates how to select fault

EventClass notifications that have severities of critical, major, or
minor. The filtering criteria evaluation is as follows:

((fault) & ((severity=critical) | (severity=major) | (severity =

minor)))

<netconf:rpc netconf:message-id="101"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0">
<create-subscription
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<filter netconf:type="xpath"
xmlns:ex="http://example.com/event/1.0"
select="/ex:event[ex:eventClass=’fault’ and
(ex:severity=’minor’ or ex:severity=’major’
or ex:severity=’critical’)]"/>
</create-subscription>
</netconf:rpc>

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RFC 5277 NETCONF Event Notifications July 2008

The following example illustrates how to select state and config

EventClasses or fault events of any severity that come from card
Ethernet0. The filtering criteria evaluation is as follows:

( state | config | (fault & card=Ethernet0))

<netconf:rpc message-id="101"
xmlns:netconf="urn:ietf:params:xml:ns:netconf:base:1.0">
<create-subscription
xmlns="urn:ietf:params:xml:ns:netconf:notification:1.0">
<filter netconf:type="xpath"
xmlns:ex="http://example.com/event/1.0"
select="/ex:event[
(ex:eventClass=’state’ or ex:eventClass=’config’) or
((ex:eventClass=’fault’ and ex:card=’Ethernet0’))]"/>
</create-subscription>
</netconf:rpc>

6. Interleave Capability

6.1. Description

The :interleave capability indicates that the NETCONF peer supports

the ability to interleave other NETCONF operations within a
notification subscription. This means the NETCONF server MUST
receive, process, and respond to NETCONF requests on a session with
an active notification subscription. This capability helps
scalability by reducing the total number of NETCONF sessions required
by a given operator or management application.

6.2. Dependencies

This capability is dependent on the notification capability being

supported.

6.3. Capability Identifier

The :interleave capability is identified by the following capability

string:

urn:ietf:params:netconf:capability:interleave:1.0

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6.4. New Operations

None.

6.5. Modifications to Existing Operations

When a <create-subscription> is sent while another subscription is

active on that session, the following error will be returned:

Tag: operation-failed

Error-type: protocol

Severity: error

Error-info: none

Description: Request could not be completed because the requested

operation failed for some reason not covered by any other error
condition.

7. Security Considerations

The security considerations from the base [NETCONF] document also

apply to the Notification capability.

The access control framework and the choice of transport will have a
major impact on the security of the solution.

The <notification> elements are never sent before the transport layer
and the NETCONF layer, including capabilities exchange, have been
established and the manager has been identified and authenticated.

It is recommended that care be taken to secure execution:

o <create-subscription> invocation

o <get> on read-only data models

o <notification> content

Secure execution means ensuring that a secure transport is used as

well as ensuring that the user has sufficient authorization to
perform the function they are requesting against the specific subset
of NETCONF content involved. When a <get> is received that refers to
the content defined in this memo, clients should only be able to view
the content for which they have sufficient privileges. A create
<create-subscription> operation can be considered like a deferred

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RFC 5277 NETCONF Event Notifications July 2008

<get>, and the content that different users can access may vary.
This different access is reflected in the <notification> that
different users are able to subscribe to.

One potential security issue is the transport of data from non-

NETCONF streams, such as syslog and SNMP. This data may be more
vulnerable (or less vulnerable) when being transported over NETCONF
than when being transported using the protocol normally used for
transporting it, depending on the security credentials of the two
subsystems. The NETCONF server is responsible for applying access
control to stream content.

The contents of notifications, as well as the names of event streams,

may contain sensitive information and care should be taken to ensure
that they are viewed only by authorized users. The NETCONF server
MUST NOT include any content in a notification that the user is not
authorized to view.

If a subscription is created with a <stopTime>, the NETCONF session

will return to being a normal command-response NETCONF session when
the replay is completed. It is the responsibility of the NETCONF
client to close this session when it is no longer of use.

If a malicious or buggy NETCONF client sends a number of <create-

subscription> requests, then these subscriptions accumulate and may
use up system resources. In such a situation, subscriptions can be
terminated by terminating the suspect underlying NETCONF sessions
using the <kill-session> operation.

8. IANA Considerations

This document registers three URIs for the NETCONF XML namespace in
the IETF XML registry [RFC3688].

Following the format in RFC 3688, IANA has made the following
registration. Note that the capability URNs are also compliant to
section 10.3 of [NETCONF].

+--------------------+----------------------------------------------+
| Index | Capability Identifier |
+--------------------+----------------------------------------------+
| :notification | urn:ietf:params:netconf:capability: |
| | notification:1.0 |
| | |
| :interleave | urn:ietf:params:netconf:capability: |
| | interleave:1.0 |
+--------------------+----------------------------------------------+

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RFC 5277 NETCONF Event Notifications July 2008

URI: urn:ietf:params:xml:ns:netmod:notification

URI: urn:ietf:params:xml:ns:netconf:notification:1.0

Registrant Contact: The IESG.

XML: N/A, the requested URI is an XML namespace.

In addition, IANA registered the XML Schema defined in Section 4.

9. Acknowledgements

Thanks to Gilbert Gagnon, Greg Wilbur, and Kim Curran for providing
their input into the early work on this document. In addition, the
editors would like to acknowledge input at the Vancouver editing
session from the following people: Orly Nicklass, James Balestriere,
Yoshifumi Atarashi, Glenn Waters, Alexander Clemm, Dave Harrington,
Dave Partain, Ray Atarashi, David Perkins, and the following
additional people from the Montreal editing session: Balazs Lengyel,
Phil Shafer, Rob Enns, Andy Bierman, Dan Romascanu, Bert Wijnen,
Simon Leinen, Juergen Schoenwaelder, Hideki Okita, Vincent Cridlig,
Martin Bjorklund, Olivier Festor, Radu State, Brian Trammell, and
William Chow. We would also like to thank Li Yan for his numerous
reviews, as well as Suresh Krishnan for his gen-art review of the
document.

10. Normative References

[NETCONF] Enns, R., Ed., "NETCONF Configuration Protocol",

RFC 4741, December 2006.

[RFC2119] Bradner, S., "Key words for use in RFCs to Indicate

Requirement Levels", BCP 14, RFC 2119, March 1997.

[RFC3339] Klyne, G., Ed. and C. Newman, "Date and Time on the
Internet: Timestamps", RFC 3339, July 2002.

[RFC3688] Mealling, M., "The IETF XML Registry", BCP 81, RFC 3688,
January 2004.

[XML] World Wide Web Consortium, "Extensible Markup Language

(XML) 1.0", W3C XML, February 1998,
<http://www.w3.org/TR/1998/REC-xml-19980210>.

[XMLSchema] Thompson, H., Beech, D., Maloney, M., and N. Mendelsohn,

"XML Schema Part 1: Structures Second Edition", W3C http
://www.w3.org/TR/2004/REC-xmlschema-1-20041028/
structures.html, October 2004.

Chisholm & Trevino Standards Track [Page 33]

RFC 5277 NETCONF Event Notifications July 2008

[XPATH] Clark, J. and S. DeRose, "XML Path Language (XPath)

Version 1.0",
W3C http://www.w3.org/TR/1999/REC-xpath-19991116,
November 1999.

Authors’ Addresses

Sharon Chisholm
Nortel
3500 Carling Ave
Nepean, Ontario K2H 8E9
Canada

EMail: schishol@nortel.com

Hector Trevino
Cisco
Suite 400
9155 E. Nichols Ave
Englewood, CO 80112
USA

EMail: htrevino@cisco.com

Chisholm & Trevino Standards Track [Page 34]

RFC 5277 NETCONF Event Notifications July 2008

Full Copyright Statement

Copyright (C) The IETF Trust (2008).

This document is subject to the rights, licenses and restrictions

contained in BCP 78, and except as set forth therein, the authors
retain all their rights.

This document and the information contained herein are provided on an

"AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS
OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY, THE IETF TRUST AND
THE INTERNET ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS
OR IMPLIED, INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF
THE INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED
WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.

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The IETF takes no position regarding the validity or scope of any

Intellectual Property Rights or other rights that might be claimed to
pertain to the implementation or use of the technology described in
this document or the extent to which any license under such rights
might or might not be available; nor does it represent that it has
made any independent effort to identify any such rights. Information
on the procedures with respect to rights in RFC documents can be
found in BCP 78 and BCP 79.

Copies of IPR disclosures made to the IETF Secretariat and any

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specification can be obtained from the IETF on-line IPR repository at
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The IETF invites any interested party to bring to its attention any
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rights that may cover technology that may be required to implement
this standard. Please address the information to the IETF at
ietf-ipr@ietf.org.

Chisholm & Trevino Standards Track [Page 35]