ONTAP 9.14

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How export policies are used with SMB access

If export policies for SMB access are enabled on the SMB server, export policies are used when controlling access to SVM volumes by SMB clients. To access data, you can create an export policy that allows SMB access and then associate the policy with the volumes containing SMB shares.

An export policy has one or more rules applied to it that specifies which clients are allowed access to the data and what authentication protocols are supported for read-only and read-write access. You can configure export policies to allow access over SMB to all clients, a subnet of clients, or a specific client and to allow authentication using Kerberos authentication, NTLM authentication, or both Kerberos and NTLM authentication when determining read-only and read-write access to data.

After processing all export rules applied to the export policy, ONTAP can determine whether the client is granted access and what level of access is granted. Export rules apply to client machines, not to Windows users and groups. Export rules do not replace Windows user and group-based authentication and authorization. Export rules provide another layer of access security in addition to share and file-access permissions.

You associate exactly one export policy to each volume to configure client access to the volume. Each SVM can contain multiple export policies. This enables you to do the following for SVMs with multiple volumes:

  • Assign different export policies to each volume of the SVM for individual client access control to each volume in the SVM.

  • Assign the same export policy to multiple volumes of the SVM for identical client access control without having to create a new export policy for each volume.

Each SVM has at least one export policy called “default”, which contains no rules. You cannot delete this export policy, but you can rename or modify it. Each volume on the SVM by default is associated with the default export policy. If export policies for SMB access is disabled on the SVM, the “default” export policy has no effect on SMB access.

You can configure rules that provide access to both NFS and SMB hosts and associate that rule with an export policy, which can then be associated with the volume that contains data to which both NFS and SMB hosts need access. Alternatively, if there are some volumes where only SMB clients require access, you can configure an export policy with rules that only allow access using the SMB protocol and that uses only Kerberos or NTLM (or both) for authentication for read-only and write access. The export policy is then associated to the volumes where only SMB access is desired.

If export policies for SMB is enabled and a client makes an access request that is not permitted by the applicable export policy, the request fails with a permission-denied message. If a client does not match any rule in the volume’s export policy, then access is denied. If an export policy is empty, then all accesses are implicitly denied. This is true even if the share and file permissions would otherwise permit access. This means that you must configure your export policy to minimally allow the following on volumes containing SMB shares:

  • Allow access to all clients or the appropriate subset of clients

  • Allow access over SMB

  • Allow appropriate read-only and write access by using Kerberos or NTLM authentication (or both)

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