Adding an Uncacheable Directory-Entry Metadata Attribute to NFSv4.2
draft-ietf-nfsv4-uncacheable-directories-09

Network File System Version 4                                  T. Haynes
Internet-Draft                                               Hammerspace
Intended status: Standards Track                            24 July 2026
Expires: 25 January 2027

  Adding an Uncacheable Directory-Entry Metadata Attribute to NFSv4.2
              draft-ietf-nfsv4-uncacheable-directories-09

Abstract

   Network File System version 4.2 (NFSv4.2) clients may cache the file
   attributes returned by READDIR alongside each directory entry.  This
   caching is inherently best-effort: those attributes belong to the
   underlying files and change when the files are written, which the
   directory's change attribute does not track.  In some deployments the
   rate of file writes by other clients makes such caching produce
   incorrect size and timestamp values often enough to be a deployment
   problem.  This document introduces an uncacheable dirent metadata
   attribute for NFSv4.2 that allows a server to identify a directory
   for which an honoring client is required to retrieve directory-entry
   metadata from the server on each READDIR rather than serving the
   response from a local cache.

Note to Readers

   Note to RFC Editor: please remove this section prior to publication.

   Discussion of this draft takes place on the NFSv4 working group
   mailing list (nfsv4@ietf.org), which is archived at
   https://mailarchive.ietf.org/arch/search/?email_list=nfsv4.  Source
   code and issues list for this draft can be found at
   https://github.com/ietf-wg-nfsv4/uncacheable-directories.

   Working Group information can be found at https://github.com/ietf-wg-
   nfsv4.

Status of This Memo

   This Internet-Draft is submitted in full conformance with the
   provisions of BCP 78 and BCP 79.

   Internet-Drafts are working documents of the Internet Engineering
   Task Force (IETF).  Note that other groups may also distribute
   working documents as Internet-Drafts.  The list of current Internet-
   Drafts is at https://datatracker.ietf.org/drafts/current/.

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Table of Contents

   1.  Introduction  . . . . . . . . . . . . . . . . . . . . . . . .   3
   2.  Deployment Motivation . . . . . . . . . . . . . . . . . . . .   3
   3.  Definitions . . . . . . . . . . . . . . . . . . . . . . . . .   4
   4.  Requirements Language . . . . . . . . . . . . . . . . . . . .   5
   5.  Caching of Directory-Entry Metadata . . . . . . . . . . . . .   5
     5.1.  Uncacheable Directory-Entry Metadata  . . . . . . . . . .   7
   6.  Example: Directory Enumeration With and Without Dirent Metadata
           Caching . . . . . . . . . . . . . . . . . . . . . . . . .   8
     6.1.  Classic Directory Enumeration (Directory-Entry Metadata
           Cached) . . . . . . . . . . . . . . . . . . . . . . . . .   8
     6.2.  Directory Enumeration With Uncacheable Dirent Metadata  .   9
     6.3.  Discussion  . . . . . . . . . . . . . . . . . . . . . . .  10
   7.  Implementation Status . . . . . . . . . . . . . . . . . . . .  11
   8.  XDR for Uncacheable Dirents Attribute . . . . . . . . . . . .  11
   9.  Extraction of XDR . . . . . . . . . . . . . . . . . . . . . .  12
   10. Security Considerations . . . . . . . . . . . . . . . . . . .  12
   11. IANA Considerations . . . . . . . . . . . . . . . . . . . . .  13
   12. References  . . . . . . . . . . . . . . . . . . . . . . . . .  13
     12.1.  Normative References . . . . . . . . . . . . . . . . . .  13
     12.2.  Informative References . . . . . . . . . . . . . . . . .  14
   Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . .  14
   Author's Address  . . . . . . . . . . . . . . . . . . . . . . . .  14

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1.  Introduction

   Clients of remote filesystems may cache the file attributes returned
   by READDIR alongside each directory entry, to reduce the volume of
   follow-on GETATTR traffic for entries the client has already seen.
   This caching is inherently best-effort -- writes to the underlying
   files can change those attributes at any time, and the directory's
   change attribute does not track such writes.  In some deployments the
   cost of that staleness is high enough to be a deployment problem; the
   conditions are described in Section 2.

   In this document, the term directory is used to describe the context
   in which directory entries are retrieved.  The uncacheable dirent
   metadata attribute applies to the caching of directory-entry
   metadata, including names and associated file object metadata such as
   size and timestamps.  It does not prohibit caching of the directory
   object itself, nor does it affect caching of file data.

   When this best-effort caching returns stale size and timestamp
   information for concurrently modified files, it also undermines the
   effectiveness of uncacheable file data semantics
   ([I-D.ietf-nfsv4-uncacheable-files]) in the same deployment:
   applications can observe inconsistent metadata and data views even
   when file data caching is disabled.

   This document introduces the uncacheable dirent metadata attribute to
   NFSv4.2 to allow servers to advise clients that caching of directory-
   entry metadata is unsuitable.  Using the process detailed in
   [RFC8178], the revisions in this document become an extension of
   NFSv4.2 [RFC7862].  They are built on top of the external data
   representation (XDR) [RFC4506] generated from [RFC7863].

2.  Deployment Motivation

   A class of deployment uses NFSv4.2 to serve a shared directory to
   many concurrent NFSv4.2 client writers, each writing files within the
   directory.  Workloads of this kind are typical of High-Performance
   Computing (HPC) environments, where a single output directory may
   receive results from hundreds or thousands of compute nodes
   simultaneously, and of large-scale data-ingest pipelines where many
   producers append to a common landing directory.  The files within
   such a directory have their attributes -- size and timestamps in
   particular -- modified at a high rate by clients other than the one
   performing READDIR.

   NFSv4.2 client implementations typically cache READDIR responses for
   a period bounded by either the directory's change attribute or a
   heuristic timeout.  The cached file attributes returned by READDIR

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   are NOT invalidated by the directory's change attribute -- they are
   only invalidated by writes to the underlying files, which the
   directory's change attribute does not track.  In deployments of the
   kind described above, the rate at which the underlying files are
   written by other clients can exceed what such caches can track, so
   that an NFSv4.2 client serving READDIR responses from its local cache
   will, with some regularity, return file attribute values that no
   longer reflect the current state of those files at the server.

   The fattr4_uncacheable_dirent_metadata attribute is the server's
   mechanism to identify a directory for which this risk is high enough
   that client-side caching is not safe.  When the server sets the
   attribute on a directory, an honoring client retrieves directory-
   entry metadata from the server on each READDIR rather than from a
   local cache.

3.  Definitions

   dirent  A directory entry returned by READDIR -- the (name, file
      handle) pair that names a file or subdirectory within a directory.
      A dirent itself does not include the file attributes returned
      alongside it.

   dirent metadata  The file attributes (size, mtime, ctime, atime,
      mode, owner, etc.) returned in a READDIR response alongside each
      dirent.  These attributes belong to the underlying file object,
      not to the directory; they change when the underlying file is
      written, which is independent of the directory's change attribute.
      The term "dirent metadata" in this document is a naming
      convenience for "the file attributes that arrive in a READDIR
      response"; it does not assert that those attributes inherit the
      directory's cache-coherence semantics.

   dirent caching  A client-side cache of READDIR results -- the (name,
      file handle, file attributes) tuples -- used to avoid repeated
      READDIR and GETATTR traffic.  Because the file attributes in a
      cached READDIR response are not invalidated by the directory's
      change attribute (only by writes to the underlying files), this
      caching is inherently best-effort and subject to staleness
      whenever the underlying files are modified.

   uncacheable dirent metadata attribute  An NFSv4.2 file attribute that
      advises clients not to cache directory-entry metadata associated
      with file objects, including names, size, and timestamps.

   This document assumes familiarity with NFSv4.2 operations,
   attributes, and error handling as defined in [RFC8881] and [RFC7862].

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4.  Requirements Language

   The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
   "SHOULD", "SHOULD NOT", "RECOMMENDED", "NOT RECOMMENDED", "MAY", and
   "OPTIONAL" in this document are to be interpreted as described in
   BCP 14 [RFC2119] [RFC8174] when, and only when, they appear in all
   capitals, as shown here.

5.  Caching of Directory-Entry Metadata

   The uncacheable dirent metadata attribute enables servers to identify
   directories where the staleness of cached READDIR attributes is
   particularly likely and particularly damaging.  It is an OPTIONAL
   attribute to implement for NFSv4.2.  If both the client and the
   server support this attribute, and the attribute is set on a
   directory, the client MUST retrieve directory-entry metadata from the
   server on each READDIR rather than serving the response from a local
   cache.

   This document specifies the required observable behavior rather than
   mandating a particular internal implementation strategy.  Clients MAY
   employ more sophisticated mechanisms, such as time-limited caches
   that revalidate against the server on each READDIR, provided that the
   externally visible behavior is equivalent to retrieving directory-
   entry metadata from the server on each READDIR.

   Allowing clients to set this attribute provides a portable mechanism
   to request that directory-entry metadata not be cached, without
   requiring changes to application behavior or out-of-band
   administrative configuration.

   A client can determine whether the uncacheable dirent metadata
   attribute is supported for a given directory by examining the
   supported_attrs attribute for that directory's filesystem or by
   probing support using the procedures described in [RFC8178].

   The only way that the server can determine that the client supports
   the attribute is if the client sends either a GETATTR or a SETATTR
   with the uncacheable dirent metadata attribute.

   The uncacheable dirent metadata attribute governs the client's
   caching of READDIR responses for the directory.  It does NOT govern:

   *  The client's per-file attribute cache for individual children of
      the directory, populated by direct GETATTR (for example, following
      a LOOKUP).  Such caches are governed by the attribute-cache
      mechanisms already defined by NFSv4.2 and are subject to the same
      staleness from concurrent writes; clients in deployments using

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      this attribute may wish to apply correspondingly short cache
      lifetimes to per-file attributes for children of the directory,
      but the present attribute does not require this.

   *  The directory's own attribute cache.  The directory object's own
      attributes (mode, owner, etc.) can be cached normally and
      revalidated via the directory's change attribute as usual.

   *  Operations that do not return file attributes in their response
      (for example, LOOKUP without a following GETATTR, ACCESS).  These
      are unaffected.

   The uncacheable dirent metadata attribute addresses a different
   aspect of client-side caching than fattr4_uncacheable_file_data
   ([I-D.ietf-nfsv4-uncacheable-files]).  The file data attribute
   governs caching of file contents, while the dirent metadata attribute
   governs caching of file attributes returned by READDIR.  The
   attributes are independent and may be used separately.

   This attribute follows the same pattern as
   fattr4_uncacheable_file_data ([I-D.ietf-nfsv4-uncacheable-files])
   applied at the file-data layer.  In both cases:

   *  The underlying NFSv4.2 protocol permits client-side caching that
      can become stale.

   *  Client caching of the relevant data is widely implemented in
      practice and reduces network traffic for stable objects.

   *  For specific objects where the deployment knows the caching will
      produce incorrect results, the server requires a mechanism to
      instruct an honoring client to suppress the caching for those
      specific objects.

   *  The attribute does not redefine the legality of caching in the
      general case.  It is a per-object server-side signal that the
      caching is known to be unsuitable for that object.

   The attribute does NOT make READDIR-attr caching reliable for
   directories where it is not set.  Clients MUST NOT interpret the
   absence of fattr4_uncacheable_dirent_metadata, or its value being
   false, as a guarantee that cached READDIR attributes are
   authoritative.  As stated in [RFC8881] Section 10.3.2, all client-
   cached attributes are subject to staleness; the attribute defined in
   this document only identifies directories for which staleness is
   particularly likely and particularly damaging.

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   This attribute does not define behavior for positive or negative name
   caching or for caching of LOOKUP results outside the scope of file
   attributes returned by READDIR.

   Directory delegations grant a client exclusive caching rights subject
   to server recall.  In deployments where directory contents change at
   a rate that makes per-change recall impractical, a directory
   delegation does not provide the always-refetch semantics defined by
   the uncacheable dirent metadata attribute.  These mechanisms are
   independent.

   Clients MUST NOT assume that directory-entry metadata is valid beyond
   the READDIR that produced it.

5.1.  Uncacheable Directory-Entry Metadata

   The fattr4_uncacheable_dirent_metadata attribute is a read-write
   boolean attribute that applies to directory objects.  Authorization
   to query or modify this attribute is governed by existing NFSv4.2
   authorization mechanisms.

   Because the attribute applies only to directory objects, a server
   MUST return NFS4ERR_INVAL in response to a GETATTR or SETATTR that
   requests fattr4_uncacheable_dirent_metadata on an object that is not
   a directory.

   This attribute is set per directory.  This document does not define
   propagation of the attribute to subdirectories created within a
   directory on which it is set; any such inheritance is a matter of
   local server policy.

   If a directory object has the uncacheable dirent metadata attribute
   set, the client MUST retrieve directory-entry metadata from the
   server on each READDIR rather than serving the response from a local
   cache.  This ensures that the returned metadata reflects the current
   state of the directory as determined by the server.

   The uncacheable dirent metadata attribute does not modify the
   semantics of the NFSv4.2 change attribute.  Clients MUST continue to
   use the change attribute to detect directory modifications and to
   determine when directory contents may have changed, even when
   directory-entry metadata caching is suppressed.  Suppressing caching
   of directory-entry metadata does not remove the need for change-based
   validation.

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   Servers SHOULD assume that clients which do not query or set this
   attribute may cache directory-entry metadata, and therefore SHOULD
   NOT rely on this attribute for correctness unless client support is
   confirmed.

   A directory delegation grants a client the right to cache directory-
   entry metadata until the server recalls the delegation.  The always-
   refetch rule of this attribute is incompatible with that grant.  If a
   directory has both the uncacheable dirent metadata attribute set and
   an outstanding directory delegation, the server MUST recall the
   delegation, after which the client follows the always-refetch rule on
   each subsequent READDIR.  A server MUST NOT grant a new directory
   delegation on a directory while the uncacheable dirent metadata
   attribute is set on that directory.

6.  Example: Directory Enumeration With and Without Dirent Metadata
    Caching

   This example illustrates the difference in client-visible behavior
   when directory-entry metadata caching is enabled versus when the
   uncacheable dirent metadata attribute is set on a directory.  In both
   scenarios, the set of entries in the directory does not change
   between the two calls; an attribute value of one entry is updated at
   the server between calls.  The difference is whether the second call
   observes the updated attribute value.

6.1.  Classic Directory Enumeration (Directory-Entry Metadata Cached)

   In this scenario, the client caches directory-entry metadata obtained
   from the server and reuses it for the second readdir.

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  Application             NFSv4.2 Client        NFSv4.2 Server
  -----------             --------------        --------------
  readdir("/dir")
     |
     |                     READDIR
     |-------------------->------------------------>
     |                     entries:
     |                       a (size=100)
     |                       b (size=200)
     |                       c (size=300)
     |<--------------------<------------------------
     |
  (entries cached in client)

                                              (concurrent writer extends
                                               a from size=100 to
                                               size=500)

  readdir("/dir")
     |
     |                     (no network traffic)
     |                     entries returned from
     |                     client cache:
     |                       a (size=100)
     |                       b (size=200)
     |                       c (size=300)

                Figure 1: Directory-Entry Metadata Cached

   In this case, Figure 1 shows that directory-entry metadata retrieved
   by the first READDIR is reused to satisfy the second.  The cached
   response reflects entry a's size as it was at the time of the first
   call; it does not reflect the update that occurred at the server
   between calls.  This behavior is typical of legacy NFSv4.2 clients
   and maximizes performance, but it can result in applications
   observing dirent attribute values that do not reflect the current
   state of the server.

6.2.  Directory Enumeration With Uncacheable Dirent Metadata

   In this scenario, the directory has the uncacheable dirent metadata
   attribute set.  The client retrieves directory-entry metadata from
   the server on each READDIR.

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  Application             NFSv4.2 Client        NFSv4.2 Server
  -----------             --------------        --------------
  readdir("/dir")
     |
     |                     READDIR
     |-------------------->------------------------>
     |                     entries:
     |                       a (size=100)
     |                       b (size=200)
     |                       c (size=300)
     |<--------------------<------------------------
     |
  (no directory-entry metadata retained)

                                              (concurrent writer extends
                                               a from size=100 to
                                               size=500)

  readdir("/dir")
     |
     |                     READDIR
     |-------------------->------------------------>
     |                     entries:
     |                       a (size=500)
     |                       b (size=200)
     |                       c (size=300)
     |<--------------------<------------------------

              Figure 2: Directory-Entry Metadata Not Cached

   In this case, Figure 2 shows that each readdir request results in a
   READDIR operation sent to the server, so the second call observes the
   updated size of entry a.  The set of entries returned is unchanged
   between calls; only the attribute value differs.  The client may
   still cache other information, provided the externally observable
   behavior is equivalent to retrieving directory-entry metadata from
   the server on each READDIR.

6.3.  Discussion

   This example demonstrates that the uncacheable dirent metadata
   attribute does not mandate a particular client implementation, but it
   does require the always-refetch behavior specified in Section 5.1.
   The attribute ensures that NFSv4.2 clients observe file attribute
   values reflecting the current state of the server in deployments
   where staleness of READDIR-returned attributes is known to be a
   recurring problem.

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7.  Implementation Status

   Note to RFC Editor: please remove this section prior to publication.

   There is a prototype Hammerspace server which implements the
   uncacheable dirent metadata attribute and a prototype Linux client
   which treats the attribute as an indication to retrieve directory-
   entry metadata from the server on each READDIR rather than from a
   local cache.

   In the prototype, directories whose contents change at the server at
   a rate exceeding typical client cache lifetimes are marked with the
   fattr4_uncacheable_dirent_metadata attribute.

   The Linux client decodes the attribute in fs/nfs/nfs4xdr.c into a
   per-inode flag (nfsi->uncacheable).  The readdir path in fs/nfs/dir.c
   consults this flag to skip the readdir cache and refetch from the
   server on each readdir call.  Clients may employ more sophisticated
   mechanisms, such as time-limited caches that revalidate against the
   server on each READDIR, provided that the externally observable
   behavior matches the always-refetch semantics described in this
   document.

   At the time of writing, the prototype encodes the attribute on the
   wire alongside the companion file-data attribute defined in
   [I-D.ietf-nfsv4-uncacheable-files] as a single shared flag.  A
   follow-on prototype branch separates the two attributes as the two
   documents specify.

   Experience with the prototype indicates that the attribute enables
   servers to identify directories whose contents change faster than
   typical NFSv4.2 client cache lifetimes can track, while remaining
   compatible with existing NFSv4.2 semantics.

8.  XDR for Uncacheable Dirents Attribute

   ///
   /// typedef bool            fattr4_uncacheable_dirent_metadata;
   ///
   /// const FATTR4_UNCACHEABLE_DIRENT_METADATA   = 88;
   ///

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9.  Extraction of XDR

   This document contains the external data representation (XDR)
   [RFC4506] description of the uncacheable dirent metadata attribute.
   The XDR description is presented in a manner that facilitates easy
   extraction into a ready-to-compile format.  To extract the machine-
   readable XDR description, use the following shell script:

   #!/bin/sh
   grep '^ *///' $* | sed 's?^ */// ??' | sed 's?^ *///$??'

   For example, if the script is named 'extract.sh' and this document is
   named 'spec.txt', execute the following command:

   sh extract.sh < spec.txt > uncacheable_prot.x

   This script removes leading blank spaces and the sentinel sequence
   '///' from each line.  XDR descriptions with the sentinel sequence
   are embedded throughout the document.

   Note that the XDR code contained in this document depends on types
   from the NFSv4.2 nfs4_prot.x file (generated from [RFC7863]).  This
   includes both nfs types that end with a 4, such as offset4, length4,
   etc., as well as more generic types such as uint32_t and uint64_t.

   While the XDR can be appended to that from [RFC7863], the code
   snippets should be placed in their appropriate sections within the
   existing XDR.

10.  Security Considerations

   This attribute is not a security mechanism.  It addresses correctness
   of client-side caching when client-cached directory-entry metadata
   can become stale relative to the current state of the directory at
   the server.  It does not change NFSv4.2 authentication or
   authorization semantics, and it does not impose access controls on
   the entries it describes.

   Authorization to set or modify the fattr4_uncacheable_dirent_metadata
   attribute is governed by existing NFSv4.2 authorization mechanisms.
   Servers MAY restrict modification of this attribute based on local
   policy, file ownership, or access control rules.  This document does
   not define a new authorization model.

   Because the attribute is visible to and affects the caching behavior
   of all honoring clients, servers should consider the implications of
   allowing unprivileged users to set or clear it.  Setting the
   attribute on a directory forces honoring clients to abandon READDIR

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   caching and refetch directory-entry metadata on every enumeration,
   which can increase load on the server and on other clients.  A server
   MAY restrict modification of the attribute based on administrative
   configuration, export policy, or ownership.

   If the client supports Labeled NFS (see [RFC7204] for background),
   the client MUST locally enforce the MAC security policies defined by
   NFSv4.2 ([RFC7862], Section 9).  This obligation is independent of
   whether directory-entry metadata is cached or refetched.

   The uncacheable dirent metadata attribute allows servers to indicate
   that directory-entry metadata should not be assumed to remain valid
   beyond the READDIR that produced it.

11.  IANA Considerations

   This document has no IANA actions.

12.  References

12.1.  Normative References

   [RFC2119]  Bradner, S., "Key words for use in RFCs to Indicate
              Requirement Levels", BCP 14, RFC 2119,
              DOI 10.17487/RFC2119, March 1997,
              <https://www.rfc-editor.org/rfc/rfc2119>.

   [RFC4506]  Eisler, M., Ed., "XDR: External Data Representation
              Standard", STD 67, RFC 4506, DOI 10.17487/RFC4506, May
              2006, <https://www.rfc-editor.org/rfc/rfc4506>.

   [RFC7862]  Haynes, T., "Network File System (NFS) Version 4 Minor
              Version 2 Protocol", RFC 7862, DOI 10.17487/RFC7862,
              November 2016, <https://www.rfc-editor.org/rfc/rfc7862>.

   [RFC7863]  Haynes, T., "Network File System (NFS) Version 4 Minor
              Version 2 External Data Representation Standard (XDR)
              Description", RFC 7863, DOI 10.17487/RFC7863, November
              2016, <https://www.rfc-editor.org/rfc/rfc7863>.

   [RFC8174]  Leiba, B., "Ambiguity of Uppercase vs Lowercase in RFC
              2119 Key Words", BCP 14, RFC 8174, DOI 10.17487/RFC8174,
              May 2017, <https://www.rfc-editor.org/rfc/rfc8174>.

   [RFC8178]  Noveck, D., "Rules for NFSv4 Extensions and Minor
              Versions", RFC 8178, DOI 10.17487/RFC8178, July 2017,
              <https://www.rfc-editor.org/rfc/rfc8178>.

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   [RFC8881]  Noveck, D., Ed. and C. Lever, "Network File System (NFS)
              Version 4 Minor Version 1 Protocol", RFC 8881,
              DOI 10.17487/RFC8881, August 2020,
              <https://www.rfc-editor.org/rfc/rfc8881>.

12.2.  Informative References

   [I-D.ietf-nfsv4-uncacheable-files]
              Haynes, T., "Adding an Uncacheable File Data Attribute to
              NFSv4.2", Work in Progress, Internet-Draft, draft-ietf-
              nfsv4-uncacheable-files-10, 27 June 2026,
              <https://datatracker.ietf.org/doc/html/draft-ietf-nfsv4-
              uncacheable-files-10>.

   [RFC7204]  Haynes, T., "Requirements for Labeled NFS", RFC 7204,
              DOI 10.17487/RFC7204, April 2014,
              <https://www.rfc-editor.org/rfc/rfc7204>.

Acknowledgments

   Trond Myklebust, Mike Snitzer, Jon Flynn, Keith Mannthey, and Thomas
   Haynes all worked on the prototype at Hammerspace.

   Rick Macklem, Chuck Lever, Dave Noveck, and Sorin Faibish reviewed
   the document.

   Chris Inacio, Brian Pawlowski, Chuck Lever, Zahed Sarker, and Gorry
   Fairhurst helped guide this process.

Author's Address

   Thomas Haynes
   Hammerspace
   Email: loghyr@gmail.com

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