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Keywords: ietf, process, problem, analysis
Network Working Group E. Davies, Ed.
Request for Comments: 3774 Nortel Networks
Category: Informational May 2004
IETF Problem Statement
Status of this Memo
This memo provides information for the Internet community. It does
not specify an Internet standard of any kind. Distribution of this
memo is unlimited.
Copyright Notice
Copyright (C) The Internet Society (2004). All Rights Reserved.
Abstract
This memo summarizes perceived problems in the structure, function,
and processes of the Internet Engineering Task Force (IETF). We are
attempting to identify these problems, so that they can be addressed
and corrected by the IETF community.
The problems have been digested and categorized from an extensive
discussion which took place on the 'problem-statement' mailing list
from November 2002 to September 2003. The problem list has been
further analyzed in an attempt to determine the root causes at the
heart of the perceived problems: The result will be used to guide the
next stage of the process in the Problem Statement working group
which is to recommend the structures and processes that will carry
out the corrections.
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RFC 3774 IETF Problem Statement May 2004
Table of Contents
1. Introduction: Issues/Problems in the IETF Process . . . . . . 2
1.1. Consequences of Past Growth . . . . . . . . . . . . . . 3
1.2. The Aim is Improvement, not Finger-pointing . . . . . . 4
1.3. Perceived Problems - Consensus on Solutions . . . . . . 4
2. Root Cause Problems . . . . . . . . . . . . . . . . . . . . . 5
2.1. Participants in the IETF do not have a Common
Understanding of its Mission . . . . . . . . . . . . . . 5
2.2. The IETF does not Consistently use Effective
Engineering Practices . . . . . . . . . . . . . . . . . 7
2.3. The IETF has Difficulty Handling Large and/or Complex
Problems . . . . . . . . . . . . . . . . . . . . . . . . 9
2.4. Three Stage Standards Hierarchy not properly Utilized . 11
2.5. The IETF's Workload Exceeds the Number of Fully
Engaged Participants . . . . . . . . . . . . . . . . . . 12
2.5.1. Lack of Formal Recognition . . . . . . . . . . . 13
2.6. The IETF Management Structure is not Matched to the
Current Size and Complexity of the IETF . . . . . . . . 13
2.6.1. Span of Authority . . . . . . . . . . . . . . . 13
2.6.2. Workload of the IESG . . . . . . . . . . . . . . 13
2.6.3. Procedural Blockages . . . . . . . . . . . . . . 15
2.6.4. Consequences of Low Throughput in IESG . . . . . 15
2.6.5. Avoidance of Procedural Ossification . . . . . . 15
2.6.6. Concentration of Influence in Too Few Hands . . 16
2.6.7. Excessive Reliance on Personal Relationships . . 17
2.6.8. Difficulty making Technical and Process Appeals. 18
2.7. Working Group Dynamics can make Issue Closure Difficult. 18
2.8. IETF Participants and Leaders are Inadequately Prepared
for their Roles . . . . . . . . . . . . . . . . . . . . 19
3. Security Considerations . . . . . . . . . . . . . . . . . . . 20
4. Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . 20
5. References . . . . . . . . . . . . . . . . . . . . . . . . . . 21
5.1. Normative References . . . . . . . . . . . . . . . . . . 21
5.2. Informative References . . . . . . . . . . . . . . . . . 21
6. Editor's Address . . . . . . . . . . . . . . . . . . . . . . . 21
7. Full Copyright Statement . . . . . . . . . . . . . . . . . . . 22
1. Introduction: Issues/Problems in the IETF Process
Discussion started in the second half of 2002 has shown that a
significant number of problems are believed to exist in the way the
Internet Engineering Taskforce (IETF) operates. Before attempting to
change the IETF procedures and rules to deal with these problems, the
IETF should have a clear, agreed-upon description of what problems we
are trying to solve.
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RFC 3774 IETF Problem Statement May 2004
The Problem Statement working group was chartered to create this
document, which contains a description of the problems, and to use
this analysis to suggest processes to address the identified
problems.
Taken in isolation, this document may appear to be exceedingly
negative. The IETF needs to refresh its management and processes to
address today's challenges, but it should not be forgotten that the
IETF has produced a large body of high quality work which has lead to
an extremely successful and pervasive network infrastructure.
Against this background, we should see the current document as a
necessary piece of self-criticism leading to renewal and continued
success. The discussion of the positive aspects has been
deliberately confined to the IETF Problem Resolution Processes
document [5] which considers the core values that the IETF needs to
maintain whilst correcting the problems that participants perceive as
affecting the IETF at present.
The raw material for this document was derived by summarizing the
extensive discussions which initially took place on the 'wgchairs'
mailing list and subsequently on the 'problem-statement' mailing list
from November 2002 through to September 2003, incorporating
additional input from relevant drafts published during this period
(see [2], [3] and [4]), and the minutes of recent plenary
discussions. This produced a list of perceived problems which were
classified into a number of related groups using a classification
suggested by the processes which go on in the IETF.
This document has digested these perceived problems into a small set
of root cause issues, and a short list of subsidiary issues which
appear to be the most pressing items engendered by the root cause.
This list is set out in Section 2.
Section 1.1 gives a short explanation of the thinking that has taken
place in coming to the current view of the root causes.
The original summary of perceived problems has been posted to the
Problem Statement Working Group mailing list so that it can be
referred to in future. Note that it remains classified according the
original scheme so that the raw data is available if alternative root
cause analysis is needed.
1.1. Consequences of Past Growth
As the problems of the IETF were examined, it became clear that they
are neither new nor are they symptoms of a problem which is novel in
the science of organizations.
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RFC 3774 IETF Problem Statement May 2004
The IETF started off as a small, focused organization with a clearly
defined mission and participants who had been working in this area
for a significant period of time. Over the period 1989-1999, the
IETF grew by a factor of ten or more in terms of number of
participants, and volume of work in progress. The effects of this
growth have been compounded by the extension of the scope of the IETF
which makes the work much more varied. Also during this period, the
Internet has become more complex and the requirements placed on it by
a far larger user community have changed as the network has come to
have a pivotal role in many areas of life.
Many of the problems and symptoms appear to be fundamentally caused
by the organization failing to fully adapt its management structure
and processes to its new larger size and the increased complexity of
the work. The IETF has also failed to clearly define its future
mission now that the initial mission has been completed or outgrown.
These failures are just those that afflict many small organizations
trying to make the transition from a small organization, which can be
run informally and where essentially all participants fully share the
aims, values, and motivations of the leadership, to a medium sized
organization, where there are too many participants for informal
leadership and later arrivals either do not fully understand or have
a different perception of the ethos of the organization.
Some IETF participants have been aware of these issues for a long
time. Records dating back to at least 1992 drew similar conclusions.
1.2. The Aim is Improvement, not Finger-pointing
Many of the problems identified in this memo have been remarkably
persistent over a 15-year period, surviving a number of changes in
personnel. We see them as structural problems, not personnel
problems. Blame for any of the perceived problems should not be
directed to any individual. The sole aim of this review process is
to identify how the IETF can improve itself so that it knows what it
is about and becomes fit for that purpose in the shortest possible
time frame.
1.3. Perceived Problems - Consensus on Solutions
The working group participants emphasize that both the long list of
problems and the root cause issues that were derived from them are
problems that are believed to exist by a significant constituency,
either on the mailing list and/or in private discussions. We also
note that many of these problems appear to be of long standing, as a
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RFC 3774 IETF Problem Statement May 2004
very similar list has survived from the discussions in the first
POISED working group that took place prior to the IETF organizational
changes approved in 1992.
We, in line with many contributors to the mailing list, believe that
it is important to try and identify what appear to be the root causes
of the perceived problems, but trying to prioritize or assign a
relative importance to the problems would not be useful: rough
consensus on an unordered list of real and important root causes will
be sufficient. The root causes identified will provide a guide in
setting up the processes needed to resolve the problems: the
perceived problems can be viewed as multiple symptoms of the root
causes which should provide input to those trying to resolve the
problems in achieving consensus on solutions.
2. Root Cause Problems
This section forms the heart of this analysis, and lists the issues
which we believe lie at the core of the problems. Apart from the
first issue which is fundamental, the problems are not necessarily in
priority order, but they will be seen to be interlinked in various
ways.
2.1. Participants in the IETF do not have a Common Understanding of
its Mission
The IETF lacks a clearly defined and commonly understood Mission: as
a result, the goals and priorities for the IETF as a whole and any
Working Groups (WGs) that are chartered are also unclear.
The IETF needs to understand its mission in the context of the
greatly increased scope and complexity of the Internet, and the
changing requirements of the much larger user community that the
success of its previous work has engendered.
The lack of a common mission has many consequences, of which the
principal ones appear to be:
o The IETF is unsure what it is trying to achieve and hence cannot
know what its optimum internal organization should be to achieve
its aims.
o The IETF cannot determine what its 'scope' should be, and hence
cannot decide whether a piece of proposed work is either in-scope
or out-of-scope.
o The IETF is unsure who its stakeholders are. Consequently,
certain groups of stakeholder, who could otherwise provide
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RFC 3774 IETF Problem Statement May 2004
important input to the process, have been more or less sidelined
because it has seemed to these stakeholders that the organization
does not give due weight to their input.
o Working Groups can potentially be hijacked by sectional interests
to the detriment of the IETF's mission.
o The misty vision has inhibited the development of roadmaps that
would inform the IETF's stakeholders of our longer term
intentions, as well as restricting the associated architectural
views to an outline top level view which does not fully reflect
the developing nature of the Internet. It would be desirable to
have roadmaps and architectural views for portions of work which
extend beyond a single working group: it may also be the case
that it is no longer possible to fit the whole Internet within a
single architecture.
o The IETF is unable to determine explicitly what effect it desires
to have in the marketplace, and is therefore unable to determine
what requirements of timeliness are appropriate when planning work
and setting expectations for stakeholders which will further the
IETF's mission.
o The lack of precision regarding our goals leads to WG charters and
requirements that are poorly thought out and/or not aligned with
the overall architecture. The resulting poorly defined charters
are a major factor in poor quality and/or late deliveries from
some WGs and the total failure of other WGs.
o The IETF needs to avoid focusing on a too-narrow scope of
technology because this would be likely to blinker the IETF's view
of 'the good of the Internet', and will harm the long-term goal of
making the Internet useful to the greatest number stakeholders;
this argues for allowing a relatively wide range of topics to be
worked on in the IETF - cross-fertilization has always been one of
the IETF's strengths.
An additional barrier to achieving a common understanding is that the
IETF does not have a recognized forum in which all stakeholders
participate and in which organization wide consensus might be
reached. Plenary meetings during regular IETF meetings allow a large
cross-section of the community to offer views, but there is not
generally sufficient time to achieve consensus and there is no single
mailing list which all stakeholders can be guaranteed to monitor.
The IETF creates standards and is therefore necessarily a Standards
Development Organization (SDO), but many participants would like to
differentiate the IETF and its way of working from the 'conventional'
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RFC 3774 IETF Problem Statement May 2004
SDOs which emphasize corporate involvement and mandated delegates.
Externally, the IETF is often classified with these conventional
SDOs, especially by detractors, because the differentiation in the
IETF's mission and processes and the rationale for those differences
are not clear. This can lead to the IETF being misunderstood by
other SDOs which can make communications between SDOs less effective,
harming the IETF's ability to achieve its mission.
2.2. The IETF does not Consistently use Effective Engineering Practices
For an organization with 'engineering' in its title and participants
who are likely to trot out the statement "Trust me, I'm an engineer!"
when confronted with the need to find a solution to a particularly
knotty problem, the IETF has, at least in some cases, extremely
ineffective engineering practices. Effective engineering practices,
as used here, covers both the techniques used to derive and verify
the technical solutions needed, and the management and organizational
strategies that are commonly accepted to help with the engineering
process.
A major symptom of this lack is that WGs do not consistently produce
timely, high-quality, and predictable output. As discussed in
Section 2.1, this problem is exacerbated because the IETF currently
finds it difficult to determine what is timely, and hence what are
appropriate deadlines for the delivery of WG output. Some of the
contributing problems which interfere with effective engineering in
WGs include:
o Failure to ensure that there is a uniform view in the WG of the
scope of the WG activity, especially the intended purpose of the
solution.
o Failure to identify the issues that need to be resolved at an
early stage (before the design is frozen), and/or then to ensure
that there is a uniform view in the WG of the issues that need to
be resolved to bring the work to a satisfactory conclusion.
o Failure to identify and articulate engineering trade-offs that may
be needed to meet the deadlines that the WG has set without
inappropriately reducing the 'fitness for purpose' for the
intended customers.
o Continued refinement of the solution beyond the point at which it
is adequate to meet the requirements placed on it by the intended
purpose.
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RFC 3774 IETF Problem Statement May 2004
The IETF standards engineering process is not set up to deliver
iterative process improvement. Particular areas that need
improvement include:
o The charter may not be sufficiently detailed to document the
process and timeline to be followed by the WG. Additional
documents may be needed, such as a roadmap or detailed plans.
o Poorly defined success criteria for WGs and individual documents.
o Lack of written guidelines or templates for the content of
documents (as opposed to the overall layout) and matching lists of
review criteria designed to achieve appropriate quality in output.
o Lack of auditing against explicit criteria throughout the
standards development process.
o Lack of review, especially early review, by reviewers who are not
directly interested members of the WG, and by subject matter
experts for topics related to, but not necessarily the immediate
focus of the document.
o Lack of documentation about likely problem areas that might arise
due to interactions with other popular IETF protocols.
o Lack of metrics to measure the achievement of the desired quality
and the performance of both WGs and the whole IETF.
o Lack of metrics and 'post mortem' procedures to drive the
improvement of the standards development and other IETF processes.
o Lack of criteria for determining when a piece of work is
overrunning and/or is unlikely to be concluded successfully,
either at all or within an acceptable time frame. Lack of process
for extending the time frame, adjusting the scope, or terminating
the work item or the whole Working Group.
o Automated tools to support the engineering process are minimal.
o Despite its commitment to 'running code', the IETF is not
proactive in providing ways for developers to verify their
implementations of IETF standards.
In addition, IETF processes, and Working Group processes in
particular, suffer because commonly accepted Project Management
techniques are not regularly applied to the progress of work in the
organization.
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RFC 3774 IETF Problem Statement May 2004
o Project entry, goal setting, dependency identification,
coordination, and tracking processes are all either missing or
implemented less effectively than the norm for commercial
organizations in related activities. Dependencies and
coordination should cover both other WGs within the IETF and any
outside SDO with which the IETF is collaborating.
o Charters regularly fail to set enough milestones with sufficiently
small granularity at which progress of WGs, individuals, and
documents can be evaluated. Also, WGs often do not make more
detailed work plans to refine the charter plans.
o The acceptable deadlines for finishing a piece of work, and the
criteria used to determine them, are rarely, if ever, documented.
Also, the estimated time required to complete the work often
differs widely from the time actually taken. The combination of
these factors makes determining the feasibility of delivering
within the required time frame, and then adjusting the scope of
the work to fit the time frame requirements, extremely difficult.
One problem which the IETF does not appear to suffer from is
excessive bureaucracy, in the sense that transfer of information is
generally kept to the minimum necessary to accomplish the task. It
is important that any changes introduced do not significantly
increase the bureaucratic load whilst still recording sufficient
information to allow process improvement.
Finally, even where the IETF does have Engineering Practices defined,
there are frequently cases where they are ignored or distorted. One
area of particular concern is the tendency for protocols to be
assessed and issues resolved primarily through static analysis of the
written specification rather than by practical experiment with
'running code'.
2.3. The IETF has Difficulty Handling Large and/or Complex Problems
The IETF has historically been most successful when dealing with
tightly focused problems that have few interactions with other parts
of the total problem solution. Given that the Internet has become
more complex, such tightly focused problems are becoming the
exception. The IETF does not always seem to be aware of the
interactions between protocols that are bound to be thrown up by
deployment in more complex situations and so fails to minimize the
chances of unwelcome consequences arising unforeseen when a new
protocol is deployed. This may be exacerbated by inadequate review
from outside the WG as suggested in Section 2.2.
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RFC 3774 IETF Problem Statement May 2004
IETF standardization procedures are optimized for tightly constrained
working groups and are generally less effective if 'engineering in
the large' is needed to reach a satisfactory solution. Engineering
in the large can encompass many aspects of system design including:
Architecture
Frameworks
Security
Internationalization
The IETF has historically standardized protocol components rather
than complete systems, but as we have learned more about the ways in
which systems on the Internet interact, design of components needs to
take into account more and more external constraints, and the
understanding of these constraints tends to require more engineering
in the large.
Part of the cause of this difficulty may be that the formal reporting
structure of the IETF emphasizes communication between the Internet
Engineering Steering Group (IESG) through the ADs and the WGs, and
does not place much reliance on inter-WG communications:
o The IETF is not consistently effective at resolving issues that
cross WG or area boundaries.
o The IETF does not possess effective formal mechanisms for inter-WG
cooperation, coordination, or communication, including the
handling of dependencies between deliverables and processes
specified in WG charters.
o The IETF does not have an effective means for defining
architectures and frameworks that will shape the work of multiple
WGs.
The IETF also has to work with other SDOs, and the liaison mechanisms
for coordination and cooperation do not always work efficiently.
This needs to be remedied because some of the interactions which IETF
work has to take into account will involve protocols and systems
standardized by these other SDOs.
A possible consequence of the need for more engineering in the large
is that protocol specifications have become larger: as a result they
now take longer to develop. Some people perceive that this is
because the IESG has tended to require protocol specifications to
specify an entire system, instead of simple component protocols,
leading to feature bloat and applicability only to a narrow range of
applications (see also Section 2.4). On the other hand, others
believe that the IESG has approved simple component protocols without
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RFC 3774 IETF Problem Statement May 2004
an adequate understanding of the systems and contexts in which the
protocols might be used. These problems appear to be two additional
aspects of the general problem that the IETF has with handling large
and/or complex systems.
2.4. Three Stage Standards Hierarchy not properly Utilized
The current hierarchy of Proposed, Draft, and Full Standard maturity
levels for specifications is no longer being used in the way that was
envisioned when the stratification was originally proposed. In
practice, the IETF currently has a one-step standards process that
subverts the IETF's preference for demonstrating effectiveness
through running code in multiple interoperable implementations. This
compresses the process that previously allowed specifications to
mature as experience was gained with actual implementations:
o Relatively few specifications are now progressed beyond Proposed
Standard (PS) to Draft Standard (DS) level, and even fewer to Full
Standard (FS).
o It is widely perceived that the IESG has 'raised the (quality)
bar' that standards have to pass to be accorded a PS status.
Protocol developers may be required to specify a complete system
rather than an interface in order for their specification to be
approved as a PS (see also Section 2.3).
o In spite of the apparently higher quality hurdle, implementation
or deployment experience is still not required, so the IETF's
guiding principle of 'rough consensus and running code' has less
of a chance to be effective.
o There appears to be a vicious circle in operation where vendors
tend to deploy protocols that have reached PS as if they were
ready for full production, rather than accepting that standards at
the PS level are still under development and could be expected to
be altered after feature, performance, and interoperability tests
in limited pilot installations, as was originally intended. The
enthusiasm of vendors to achieve a rapid time to market seems to
have encouraged the IETF in general and the IESG in particular to
attempt to ensure that specifications at PS are ready for prime
time, and that subsequent modifications will be minimal as it
progresses to DS and FS, assuming effort can be found to create
the necessary applicability and interoperability reports that are
needed.
o The three stage hierarchy is, accordingly, seen to be excessive.
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RFC 3774 IETF Problem Statement May 2004
o There is no formal bug reporting or tracking system in place for
IETF specifications.
o The periodic review of protocols at PS and DS levels specified in
[1] are not being carried out, allowing protocols to persist in
these lower maturity levels for extended periods of time, whereas
the process would normally expect them to progress or be relegated
to Historic status.
o No individual or body is given the task of 'maintaining' a
specification after the original WG has closed down.
Specifications are generally only updated when a need for a new
version is perceived. No attempt is normally made to correct bugs
in the specification (whether they affect operation or not) and
the specification is not updated to reflect parts of the
specification that have fallen into disuse or were, in fact, never
implemented. This is, in part, because the current procedures
would require a standard to revert to the PS maturity level, even
when specification maintenance is carried out. This occurs even
if the changes can be demonstrated to have no or minimal effect on
an existing protocol at the DS or FS level.
2.5. The IETF's Workload Exceeds the Number of Fully Engaged
Participants
There are a number of respects in which IETF participants and
contributors appear to have become less fully engaged with the IETF
processes, for example:
o Although there may be large attendance at many WG meetings, in
many cases, 5% or less of the participants have read the drafts
under discussion or that have a bearing on the decisions to be
made.
o Commitments to write, edit, or review a document are not carried
out in a timely fashion.
o Little or no response is seen when a request for 'last-call'
review is issued, either at WG or IETF level.
This might be because contributors have less time available in their
work schedule during the downturn of the Internet business climate
between 2001 and 2003. Yet, this is not the whole story, as there
were signs of this effect back at the height of the Internet's boom
in 2000.
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This problem exacerbates the problems the IETF has had with timely
delivery and may weaken the authority of IETF specifications if
decisions are seen to be taken by badly informed participants and
without widespread review.
2.5.1. Lack of Formal Recognition
Beyond RFC Authorship, WG Chair positions, Directorate positions, or
IESG and Internet Architecture Board (IAB) membership, the IETF does
not offer formal recognition of contributions to the IETF. This
potentially acts as a disincentive to continued engagement and can
lead to useful and effective participants leaving because they cannot
obtain any recognition (the only currency the IETF has to pay
participants), which they use to fuel their own enthusiasm and help
justify their continued attendance at IETF meetings to cost
constrained employers. Note: Using Leadership positions as rewards
for good work would probably be damaging to the IETF. This paragraph
is meant to indicate the need for other types of rewards.
2.6. The IETF Management Structure is not Matched to the Current Size
and Complexity of the IETF
The management and technical review processes currently in place were
adequate for the older, smaller IETF, but are apparently not scalable
to the current size of the organization. The form of the
organization has not been significantly modified since 1992, since
when the organization has undergone considerable further growth. The
scope of IETF activities has also been extended as the Internet has
become more complex.
2.6.1. Span of Authority
Overt authority in the IETF is concentrated in the small number of
people sitting on the IESG at that time. Existing IETF processes
work to funnel tasks on to this small number of people (primarily the
Area Directors (ADs) in the IESG). This concentration slows process
and puts a very large load of responsibility on the shoulders of
these people who are required to act as the senior management for
Working Group (WG) chairs, as well as acting as quality backstops for
the large number of documents issued by the IETF. The situation has
not been helped by the widening of the scope of the IETF, which has
resulted in somewhat more WGs and a need for a very broad spectrum of
knowledge within the set of ADs.
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2.6.2. Workload of the IESG
With the current structure of the IETF and IESG, the workload imposed
on each of the ADs is almost certainly well beyond the capabilities
of a single person.
The current job description for an AD encompasses at least the
following tasks:
o Interacting with WGs
o Understanding network and computer technology in general, and
their own area in detail
o Cross-pollinating between groups
o Coordinating with other areas
o Potentially, managing their Area Directorate team
o Effectively providing technical management, people-management, and
project supervision for their WGs
o Reading (or at least skimming) every formal document which the
IETF produces, and having an opinion on all of them, as well as
all the Internet Drafts produced by the WGs in the area, and
understanding the interactions between all these specifications.
Given the number of WGs which are now active, the increasing
complexity of both the work being undertaken and the technology in
general, together with the volume of documents being produced, makes
it clear that only superhumans can be expected to do this job well.
To make matters worse, these tasks are, in theory, a 'part time'
occupation. ADs will normally have a conventional job, with the IETF
activities as just one part of their job specification. This view
has been reinforced by recent resignations from the IESG, citing the
size of the workload as a primary factor. The IETF also has no
mechanisms to nominate a temporary replacement or an assistant should
an AD be incapacitated wholly or partially for a period.
The malign effects of this overload include:
o Wear on the IESG: The IESG members are overworked which is bad
for their health, humor, and home life, and may also result in
conflicts with their employers if the IETF work impacts the IESG
member's performance of their 'day job'.
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o Unhappiness in the IETF: IETF stakeholders perceive that IESG
members are responding slowly, are not fully up-to-date with their
technology, fail to pro-actively manage problems in their WGs, and
are unable to keep communication channels with other groups open.
o Recruiting shrinkage: The number of people who can imagine taking
on an IESG post is steadily decreasing. It is largely limited to
people who work for large companies who can afford to send IESG
members to the IETF for the duration of their appointments. In
the current business climate, fewer companies are able to justify
the preemption of an important engineering and business resource
for a significant period of time, and are more likely to put
forward 'standards professionals' than their best engineers.
2.6.3. Procedural Blockages
The current procedural rules combined with the management and quality
roles of the ADs can lead to situations where WGs or document authors
believe that one or two ADs are deliberately blocking the progress of
a WG document without good reason or public justification. Appeal
processes in these circumstances are limited and the only sanction
that could be applied to the relevant ADs is recall, which has almost
always been seen to be out of scale with the apparent offense and
hence almost never invoked. This perception of invulnerability has
led to a view that the IESG in general and the ADs in particular are
insufficiently accountable for their actions to their WGs and the
IETF at large, although the recent introduction of the Internet Draft
Tracker tool makes it easier to determine if and how a document has
become blocked, and hence to take appropriate steps to release it.
2.6.4. Consequences of Low Throughput in IESG
If documents are inappropriately (or even accidentally) delayed or
blocked as a result of IESG (in)action, this can cause much
frustration inside the organization, a perception of disunity seen
from outside the organization, and delay of standards, possibly to
the point where they are too late to match market requirements: work
which has been properly authorized as being within the scope of the
IETF and properly quality checked during development, should almost
never come up against such a blockage.
Delay in authorizing a BOF or chartering a new WG can delay the start
of the process with similar effects.
It also appears that IESG delays are sometimes used to excuse what is
actually slow work in WGs.
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2.6.5. Avoidance of Procedural Ossification
The systems and processes used by the IETF are generally designed
around having firm general principles and considerable IESG
discretion within those principles. It appears that the IETF is
showing a disturbing tendency to turn IESG 'rules of convenience'
into rigid strictures that cannot be violated or deviated from.
Up to now, IETF discussions of procedures have been driven by a model
in which the procedural BCPs construct a framework for doing work,
but the details of the framework are left for the IESG to fill in.
When issues or crises have arisen, the IETF has generally avoided
making specific procedural changes to compensate, instead realizing
that we could not anticipate all cases and that 'fighting the last
war' is not a good way to proceed.
This can only continue to work if the participants continue to trust
the IESG to act fairly in filling in the details and making
appropriate exceptions, without a great deal of debate, when it is
clearly desirable. At present, the IETF appears to have lost sight
of this flexibility, and is entangling itself in procedures that
evolve from organizational conveniences into encumbrances.
2.6.6. Concentration of Influence in Too Few Hands
Until the last couple of years, successive IETF Nominating Committees
have chosen to give heavy weighting to continuity of IESG and IAB
membership. Thus, the IETF appeared to have created an affinity
group system which tended to re-select the same leaders from a
limited pool of people who had proved competent and committed in the
past.
Members of this affinity group tend to talk more freely to each other
and former members of the affinity group - this may be because the
affinity group has also come to share a cultural outlook which
matches the dominant cultural ethos of the IETF (North American,
English speaking). Newcomers to the organization and others outside
the affinity group are reluctant to challenge the apparent authority
of the extended affinity group during debates and consequently
influence remains concentrated in a relatively small group of people.
This reluctance may also be exacerbated if participants come from a
different cultural background than the dominant one. Such
participants also tend to find it more difficult to follow the rapid
and colloquial speaking style of native English speakers, and may
consequently be effectively excluded from the discussion, even if
maximum assistance is available by such means as real time Jabber
logs and extensive text on presentation slides. Even on mailing
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lists, people from other cultures may be reluctant to be as
forthright as is often the case in discussions between North
Americans; also, a person whose first language is not English may be
daunted by the volume of mail that can occur on some mailing lists
and the use of colloquialisms or euphemisms may cause
misunderstandings if correspondents are not aware of the problem.
A further instance of the problems of concentration of influence
potentially occurs when, from time to time, ADs have acted as WG
chairs: conflict of interest might well arise in discussions between
the IESG and any WG with an AD as its chair. Whilst care is usually
taken to have a newly selected AD vacate any WG chair positions which
might be held in his or her own area, the conflict can arise on the
occasions when an AD has been used as the chair of a WG because it is
clearly the right (or only possible) solution for the WG from an
engineering and know-how position. Furthermore, given the known
problem of workload for IESG members, there must be doubts as to
whether an AD can or ought to be taking on this extra load.
2.6.7. Excessive Reliance on Personal Relationships
The IETF is an intensely personal and individualistic organization.
Its fundamental structure is based on individuals as actors, rather
than countries, organizations, or companies as in most other SDOs.
This is also reflected in how the IETF gets its work done: the NOMCOM
process, the WG Chair selection processes, and the activities of WGs
are all reliant on personal knowledge of the capabilities of other
individuals and an understanding built on experience of what they can
be expected to deliver, given that there are almost no sanctions that
can be applied beyond not asking them to do a similar task again.
The relationship works best when it is two way - the person being
asked to perform a task needs to be able to rely on the behavior of
the person doing the asking.
In essence, the IETF is built on a particular kind of one-to-one
personal trust relationship. This is a very powerful model but it
does not scale well because this trust is not transitive. Just
because you trust one person, it does not mean that you trust (i.e.,
know the capabilities of and can rely on) all the people that person
trusts in turn.
The disruption caused when one set of relationships has to be
replaced by another is clearest when an AD is replaced. The IETF
does not keep personnel records or written plans, and formal process
documentation is very sparse, so that incoming ADs have little
information on which to base new relationships with WG chairs or
Directorate members not already known to them.
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A new AD has to build or bring along his or her set of trusted
individuals. The AD will tend to prefer individuals from this set as
WG chairs, unless there is a suitable outsider who was part of the
team that brought the WG idea to the IETF. This tends to limit the
AD's field of choice, particularly when asking for a 'stabilizing',
'advising', or 'process' chair to work with an enthusiastic newcomer
in a difficult area. A breakdown of an established relationship
(such as between an AD and a WG chair) can be very damaging to the
work of the IETF, and it may not be immediately obvious to outsiders.
Another consequence of the reliance on personal relationships is that
the IETF has very little institutional 'memory' outside the memories
of the people in the process at a given time. This makes it more
likely that failures will be repeated and makes process improvement
more difficult (see Section 2.2).
2.6.8. Difficulty making Technical and Process Appeals
When an individual thinks that the process has produced a result that
is harmful to the Internet or thinks that IETF processes have not
been adhered to, there is no mechanism to aid that individual in
seeking to change that result.
2.7. Working Group Dynamics can make Issue Closure Difficult
The IETF appears to be poor at making timely and reasonable decisions
that can be guaranteed to be adhered to during the remainder of a
process or until shown to be incorrect.
The problems documented in this section are probably consequences of
the non-hierarchical organization of the IETF and the volunteer
status of most participants. The enforcement measures available in a
more conventional hierarchical corporate environment are mostly not
available here, and it is unlikely that application of some well-
known procedure or practice will fix these problems.
Participants are frequently allowed to re-open previously closed
issues just to replay parts of the previous discussion without
introducing new material. This may be either because the decision
has not been clearly documented, or it may be a maneuver to try to
get a decision changed because the participant did not concur with
the consensus originally. In either case, revisiting decisions stops
the process from moving forward, and in the worst cases, can
completely derail a working group. On the other hand, the decision
making process must allow discussions to be re-opened if significant
new information comes to light or additional experience is gained
which appears to justify alternative conclusions for a closed issue.
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One cause that can lead to legitimate attempts to re-open an
apparently closed issue is the occurrence of 'consensus by
exhaustion'. The consensus process can be subverted by off-topic or
overly dogmatic mail storms which can lead to the exclusion of
knowledgeable participants who are unable to devote the time needed
to counter the mail storm. The consequence may be an
unrepresentative and unsatisfactory consensus which will tend to be
re-opened, often leading to repeat discussions. Mailing lists, which
are at the heart of the IETF WG process, are becoming increasingly
ineffective at resolving issues and achieving consensus because of
this phenomenon.
A single vocal individual or small group can be a particular
challenge to WG progress and the authority of the chair. The IETF
does not have a strategy for dealing effectively with an individual
who is inhibiting progress, whilst ensuring that an individual who
has a genuine reason for revisiting a decision is allowed to get his
or her point across.
2.8. IETF Participants and Leaders are Inadequately Prepared for
their Roles
Participants and leaders at all levels in the IETF need to be taught
the principles of the organization (Mission and Architecture(s)) and
trained in carrying out the processes, which they have to use in
developing specifications, etc.
Part of the reason for the lack of training in the principles of the
organization is that there is not currently an explicit formulation
of these principles that is generally agreed upon by all
stakeholders. Section 2.1 identifies that this shortage is a major
problem.
The IETF currently has voluntary and inconsistent processes for
educating its participants, which may be why significant numbers of
participants seem to fail to conform to the proper principles when
working in the IETF context.
The people in authority have generally been steeped in the principles
of the IETF (as they see them) and first-time non-compliance by newer
participants is sometimes treated as an opportunity for abuse rather
than recognition of a training failure.
The IETF culture of openness also tends to tolerate participants who,
whilst understanding the principles of the IETF, disagree with them
and actively ignore them. This can be confusing for newer
participants, but they need to be made aware that the IETF does not
exclude such people. The IETF does not currently have a strategy for
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dealing with the conflicts that can result from participants who
disagree with the principles of the organization.
Lack of training, compounded with the perceived concentration of
influence in the affinity group documented in Section 2.6.6, can lead
to newcomers being ignored during discussions, consequently being
ineffective, either in their own eyes or their employers. This may
result in their departure from the IETF.
In addition, some participants are not aware of the problems that
participants, who do not have English as their first language, may
have with rapid speaking and the use of colloquialisms in both spoken
and written communication. They are also not always aware of the
possible cultural nuances that may make full participation more
difficult for those who do not share the same outlook.
3. Security Considerations
This document does not, of itself, have security implications, but it
may have identified problems which raise security considerations for
other work. Any such implications should be considered in the
companion document which will be produced setting out how the IETF
should set about solving the identified problems.
4. Acknowledgements
Apart from the contributions of all those who provided input on the
problem statement mailing list, the final reduction of the problems
was especially assisted by the following people:
Rob Austein <sra@hactrn.net>
Marc Blanchet <Marc.Blanchet@hexago.com>
Dave Crocker <dcrocker@brandenburg.com>
Spencer Dawkins <spencer@mcsr-labs.org>
Avri Doria <avri@psg.com> (WG co-chair)
Jeanette Hoffmann <jeanette@wz-berlin.de>
Melinda Shore <mshore@cisco.com> (WG co-chair)
Margaret Wasserman <margaret@thingmagic.com>
Special thanks are due to Margaret Wasserman for extensive reviewing
of and contributions to the wording of Section 2.
The early part of the reduction of the problem statement mailing list
input was done by Harald Alvestrand and the latter part by Elwyn
Davies and the team acknowledged above. In total, there were
approximately 750 extensive and thoughtful contributions (some making
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several points). The thread was started by a call for volunteers in
helping draft a problem statement, but quickly turned into a
discussion of what the problems were.
In addition to the editorial team, the following people have provided
additional input and useful feedback on earlier versions of this
document: Harald Alvestrand, Randy Bush, Brian Carpenter, James
Kempf, John Klensin, John Loughney, Keith Moore.
5. References
5.1. Normative References
[1] Bradner, S., "The Internet Standards Process -- Revision 3", BCP
9, RFC 2026, October 1996.
5.2. Informative References
[2] Huston, G. and M. Rose, "A Proposal to Improve IETF
Productivity", Work in Progress.
[3] Blanchet, M., "Suggestions to Streamline the IETF Process", Work
in Progress.
[4] Hardie, T., "Working Groups and their Stuckees", Work in
Progress.
[5] Davies, E. and J. Hofmann, Eds., "IETF Problem Resolution
Processes", Work in Progress.
6. Editor's Address
Elwyn B. Davies
Nortel Networks
Harlow Laboratories
London Road
Harlow, Essex CM17 9NA
UK
Phone: +44 1279 405 498
EMail: elwynd@nortelnetworks.com
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7. Full Copyright Statement
Copyright (C) The Internet Society (2004). 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 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.
Intellectual Property
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
assurances of licenses to be made available, or the result of an
attempt made to obtain a general license or permission for the use
of such proprietary rights by implementers or users of this
specification can be obtained from the IETF on-line IPR repository
at http://www.ietf.org/ipr.
The IETF invites any interested party to bring to its attention
any copyrights, patents or patent applications, or other
proprietary 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.
Acknowledgement
Funding for the RFC Editor function is currently provided by the
Internet Society.
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