3. Policy Definition
This section preserves the RFC text for the RFC Editor Model, including RSWG, RSAB, RPC, RSCE, IETF LLC, Editorial Stream, appeals, policy implementation, and historical RFC Series properties.
Original RFC Text
3. Policy Definition
Policies governing the RFC Series as a whole are defined through the
following high-level process:
1. Proposals must be submitted to, adopted by, and discussed within
the RFC Series Working Group (RSWG).
2. Proposals must pass a Last Call for comments in the working group
and a community call for comments (see Section 3.2.3).
3. Proposals must be approved by the RFC Series Approval Board
(RSAB).
Policies under the purview of the RSWG and RSAB might include, but
are not limited to, document formats, processes for publication and
dissemination of RFCs, and overall management of the RFC Series.
(The text in the next paragraph is added by Section 1.4.)
Such policies will not include detailed technical specifications, for
example, specific details of text or graphical formats or XML
grammar. Such matters will be decided and documented by the RPC
along with its other working practices, as discussed in Section 4.2,
with community consultation as for other tools and services supported
by the IETF LLC [RFC8711].
3.1. Structure and Roles
3.1.1. RFC Series Working Group (RSWG)
3.1.1.1. Purpose
The RFC Series Working Group (RSWG) is the primary venue in which
members of the community collaborate regarding the policies that
govern the RFC Series.
3.1.1.2. Participation
All interested individuals are welcome to participate in the RSWG;
participants are subject to anti-harassment policies as described in
Section 3.2.5. This includes but is not limited to participants in
the IETF and IRTF, members of the IAB and IESG, developers of
software or hardware systems that implement RFCs, authors of RFCs and
Internet-Drafts, developers of tools used to author or edit RFCs and
Internet-Drafts, individuals who use RFCs in procurement decisions,
scholarly researchers, and representatives of standards development
organizations other than the IETF and IRTF. The IETF LLC Board
members, staff and contractors (especially representatives of the RFC
Production Center), and the IETF Executive Director are invited to
participate as community members in the RSWG to the extent permitted
by any relevant IETF LLC policies. Members of the RSAB are also
expected to participate actively.
3.1.1.3. Chairs
The RSWG has two chairs, one appointed by the IESG and the other
appointed by the IAB. The IESG and IAB determine their own processes
for making these appointments, making sure to take account of any
potential conflicts of interest. Community members who have concerns
about the performance of an RSWG Chair should direct their feedback
to the appropriate appointing body. The IESG and IAB may remove
their appointed chairs at their discretion at any time and name a
replacement who shall serve the remainder of the original chair's
term.
It is the responsibility of the chairs to encourage rough consensus
within the RSWG and to follow that consensus in their decision
making, for instance, regarding acceptance of new proposals and
advancement of proposals to the RSAB.
3.1.1.4. Mode of Operation
The intent is that the RSWG shall operate in a way similar to that of
working groups in the IETF. Therefore, all RSWG meetings and
discussion venues shall be open to all interested individuals, and
all RSWG contributions shall be subject to intellectual property
policies, which must be consistent with those of the IETF as
specified in [BCP78] and [BCP79].
All discussions in the RSWG shall take place on an open email
discussion list, which shall be publicly archived.
The RSWG is empowered to hold in-person, online-only, or hybrid
meetings, which should be announced with sufficient notice to enable
broad participation; the IESG Guidance on In-Person and Online
Interim Meetings (https://datatracker.ietf.org/doc/statement-iesg-
guidance-on-in-person-and-online-interim-meetings-20230814/) provides
a reasonable baseline. In-person meetings should include provision
for effective online participation for those unable to attend in
person.
The RSWG shall operate by rough consensus, a mode of operation
informally described in [RFC2418].
The RSWG may decide by rough consensus to use additional tooling
(e.g., GitHub as specified in [RFC8874]), forms of communication, and
working methods (e.g., design teams) as long as they are consistent
with this document and with [RFC2418] or its successors.
Absent specific guidance in this document regarding the operation of
the RSWG, the general guidance provided in Section 6 of [RFC2418]
should be considered appropriate.
The IETF LLC is requested to provide necessary tooling to support
RSWG communication, decision processes, and policies.
3.1.2. RFC Series Approval Board (RSAB)
3.1.2.1. Purpose
The RFC Series Approval Board (RSAB), which includes representatives
of all of the streams, shall act as the approving body for proposals
generated within the RSWG, thus providing an appropriate set of
checks and balances on the output of the RSWG. The only policy-
making role of the RSAB is to review policy proposals generated by
the RSWG; it shall have no independent authority to formulate policy
on its own. It is expected that the RSAB will respect the rough
consensus of the RSWG wherever possible, without ceding its
responsibility to review RSWG proposals, as further described in
Section 3.2.2.
3.1.2.2. Members
The RSAB consists primarily of the following voting members:
* A stream representative for the IETF Stream: either an IESG member
or someone appointed by the IESG
* A stream representative for the IAB Stream: either an IAB member
or someone appointed by the IAB
* A stream representative for the IRTF Stream: either the IRTF Chair
or someone appointed by the IRTF Chair
* A stream representative for the Independent Stream: either the
Independent Submissions Editor (ISE) [RFC8730] or someone
appointed by the ISE
* The RFC Series Consulting Editor (RSCE)
If and when a new stream is created, the document that creates the
stream shall specify if a voting member representing that stream
shall also be added to the RSAB, along with any rules and processes
related to that representative (e.g., whether the representative is a
member of the body responsible for the stream or an appointed
delegate thereof).
The RFC Series Consulting Editor (RSCE) is a voting member of the
RSAB but does not act as a representative of the Editorial Stream.
To ensure the smooth operation of the RFC Series, the RSAB shall
include the following non-voting, ex officio members:
* The IETF Executive Director or their delegate (the rationale is
that the IETF LLC is accountable for implementation of policies
governing the RFC Series)
* A representative of the RPC, named by the RPC (the rationale is
that the RPC is responsible for implementation of policies
governing the RFC Series)
In addition, the RSAB may include other non-voting members at its
discretion; these non-voting members may be ex officio members or
liaisons from groups or organizations with which the RSAB deems it
necessary to formally collaborate or coordinate.
3.1.2.3. Appointment and Removal of Voting Members
The appointing bodies (i.e., IESG, IAB, IRTF Chair, and ISE) shall
determine their own processes for appointing RSAB members (note that
processes related to the RSCE are described in Section 5). Each
appointing body shall have the power to remove its appointed RSAB
member at its discretion at any time. Appointing bodies should
ensure that voting members are seated at all times and should fill
any vacancies with all due speed, if necessary on a temporary basis.
In the case that the IRTF Chair or ISE is incapacitated or otherwise
unable to appoint another person to serve as a delegate, the IAB (as
the appointing body for the IRTF Chair and ISE) shall act as the
temporary appointing body for those streams and shall appoint a
temporary member of the RSAB until the IAB has appointed an IRTF
Chair or ISE, who can then act as an RSAB member or appoint a
delegate through normal processes.
3.1.2.4. Vacancies
In the case of vacancies by voting members, the RSAB shall operate as
follows:
* Activities related to implementation of policies already in force
shall continue as normal.
* Voting on approval of policy documents produced by the RSWG shall
be delayed until the vacancy or vacancies have been filled, up to
a maximum of three (3) months. If a further vacancy arises during
this three-month period, the delay should be extended by up to
another three months. After the delay period expires, the RSAB
should continue to process documents as described below. Note
that this method of handling vacancies does not apply to a vacancy
of the RSCE role; it only applies to vacancies of the stream
representatives enumerated in Section 3.1.2.2.
3.1.2.5. Chair
The RSAB shall annually choose a chair from among its members using a
method of its choosing. If the chair position is vacated during the
chair's term, the RSAB chooses a new chair from among its members.
3.1.2.6. Mode of Operation
The RSAB is expected to operate via an email discussion list, in-
person meetings, teleconferencing systems, and any additional tooling
it deems necessary.
The RSAB shall keep a public record of its proceedings, including
minutes of all meetings and a record of all decisions. The primary
email discussion list used by the RSAB shall be publicly archived,
although topics that require confidentiality (e.g., personnel
matters) may be omitted from such archives or discussed in private.
Similarly, meeting minutes may exclude detailed information about
topics discussed under executive session but should note that such
topics were discussed.
The RSAB shall announce plans and agendas for their meetings on the
RFC Editor website and by email to the RSWG at least a week before
such meetings. The meetings shall be open for public attendance, and
the RSAB may consider allowing open participation. If the RSAB needs
to discuss a confidential matter in executive session, that part of
the meeting shall be private to the RSAB, but it must be noted on the
agenda and documented in the minutes with as much detail as
confidentiality requirements permit.
The IETF LLC is requested to provide necessary tooling and staff to
support RSAB communication, decision processes, and policies.
The IAB convened the RSAB in 2022 in order to formalize the IAB's
transfer of authority over the RFC Editor Model.
3.2. Process
This section specifies the RFC Series Policy Definition Process,
which shall be followed in producing all Editorial Stream RFCs.
3.2.1. Intent
The intent is to provide an open forum by which policies related to
the RFC Series are defined and evolved. The general expectation is
that all interested parties will participate in the RSWG and that
only under extreme circumstances should RSAB members need to hold
CONCERN positions (as described in Section 3.2.2).
Because policy issues can be difficult and contentious, RSWG
participants and RSAB members are strongly encouraged to work
together in a spirit of good faith and mutual understanding to
achieve rough consensus (see [RFC2418]). In particular, RSWG members
are encouraged to take RSAB concerns seriously, and RSAB members are
encouraged to clearly express their concerns early in the process and
to be responsive to the community. All parties are encouraged to
respect the value of each stream and the long-term health and
viability of the RFC Series.
This process is intended to be one of continuous consultation. RSAB
members should consult with their constituent stakeholders (e.g.,
authors, editors, tool developers, and consumers of RFCs) on an
ongoing basis, so that when the time comes to consider the approval
of a proposal, there should be no surprises. Appointing bodies are
expected to establish whatever processes they deem appropriate to
facilitate this goal.
3.2.2. Workflow
The following process shall be used to formulate or modify policies
related to the RFC Series:
1. An individual or set of individuals generates a proposal in the
form of an Internet-Draft (which must be submitted in full
conformance with the provisions of [BCP78] and [BCP79]) and asks
the RSWG to adopt the proposal as a working group item.
2. The RSWG may adopt the proposal as a working group item if the
chairs determine (by following working group procedures for
rough consensus) that there is sufficient interest in the
proposal; this is similar to the way a working group of the IETF
would operate (see [RFC2418]).
3. The RSWG shall then further discuss and develop the proposal.
All participants, but especially RSAB members, should pay
special attention to any aspects of the proposal that have the
potential to significantly modify long-standing policies or
historical characteristics of the RFC Series as described in
Section 7. Members of the RSAB are expected to participate as
individuals in all discussions relating to RSWG proposals. This
should help to ensure that they are fully aware of proposals
early in the RFC Series Policy Definition Process. It should
also help to ensure that RSAB members will raise any issues or
concerns during the development of the proposal and not wait
until the RSAB review period. The RSWG Chairs are also expected
to participate as individuals.
4. At some point, if the RSWG Chairs believe there may be rough
consensus for the proposal to advance, they will issue a Last
Call for comments within the working group.
5. After a comment period of suitable length, the RSWG Chairs will
determine whether rough consensus for the proposal exists
(taking their own feedback as individuals into account along
with feedback from other participants). If comments have been
received and substantial changes have been made, additional Last
Calls may be necessary. Once the chairs determine that
consensus has been reached, they shall announce their
determination on the RSWG email discussion list and forward the
document to the RSAB.
6. Once consensus is established in the RSWG, the RSAB shall issue
a community call for comments as further described in
Section 3.2.3. If substantial comments are received in response
to the community call for comments, the RSAB may return the
proposal to the RSWG to consider those comments and make
revisions to address the feedback received. In parallel with
the community call for comments, the RSAB itself shall also
consider the proposal.
7. If the scope of the revisions made in the previous step is
substantial, an additional community call for comments should be
issued by the RSAB, and the feedback received should be
considered by the RSWG.
8. Once the RSWG Chairs confirm that concerns received during the
community call(s) for comments have been addressed, they shall
inform the RSAB that the document is ready for balloting by the
RSAB.
9. Within a reasonable period of time, the RSAB will poll its
members for their positions on the proposal. Positions may be
as follows:
* YES: the proposal should be approved
* CONCERN: the proposal raises substantial concerns that must
be addressed
* RECUSE: the person holding the position has a conflict of
interest
Any RSAB member holding a CONCERN position must explain their
concern to the community in detail. Nevertheless, the RSWG
might not be able to come to consensus on modifications that
will address the RSAB member's concern.
There are three reasons why an RSAB member may file a position
of CONCERN:
* The RSAB member believes that the proposal represents a
serious problem for one or more of the individual streams.
* The RSAB member believes that the proposal would cause
serious harm to the overall RFC Series, including harm to the
long-term health and viability of the Series.
* The RSAB member believes, based on the results of the
community call(s) for comments (Section 3.2.3), that rough
consensus to advance the proposal is lacking.
Because RSAB members are expected to participate in the
discussions within the RSWG and to raise any concerns and issues
during those discussions, most CONCERN positions should not come
as a surprise to the RSWG. Notwithstanding, late CONCERN
positions are always possible if issues are identified during
RSAB review or the community call(s) for comments.
10. If a CONCERN exists, discussion will take place within the RSWG.
Again, all RSAB members are expected to participate. If
substantial changes are made in order to address CONCERN
positions, an additional community call for comments might be
needed.
11. A proposal without any CONCERN positions is approved.
12. If, after a suitable period of time, any CONCERN positions
remain, a vote of the RSAB is taken. If at least three voting
members vote YES, the proposal is approved.
13. If the proposal is not approved, it is returned to the RSWG.
The RSWG can then consider making further changes.
14. If the proposal is approved, a notification is sent to the
community, and the document enters the queue for publication as
an RFC within the Editorial Stream.
15. Policies may take effect immediately upon approval by the RSAB
and before publication of the relevant RFC, unless they are
delayed while the IETF LLC resolves pending resource or contract
issues.
3.2.3. Community Calls for Comment
The RSAB is responsible for initiating and managing community calls
for comments on proposals that have gained consensus within the RSWG.
The RSAB should actively seek a wide range of input. The RSAB seeks
such input by, at a minimum, sending a notice to the rfc-
[email protected] (mailto:[email protected]) email
discussion list or to its successor or future equivalent. RSAB
members should also send a notice to the communities they directly
represent (e.g., the IETF and IRTF). Notices are also to be made
available and archived on the RFC Editor website. In addition, other
communication channels can be established for notices (e.g., via an
RSS feed or by posting to social media venues).
In cases where a proposal has the potential to significantly modify
long-standing policies or historical characteristics of the RFC
Series as described in Section 7, the RSAB should take extra care to
reach out to a very wide range of communities that make use of RFCs
(as described in Section 3.1.1.2) since such communities might not be
actively engaged in the RSWG directly. The RSAB should work with the
stream approving bodies and the IETF LLC to identify and establish
contacts in such communities, assisted by the RSCE in particular.
The RSAB should maintain a public list of communities that are
contacted during calls for comments.
A notice of a community call for comments contains the following:
* A subject line beginning with 'Call for Comments:'
* A clear, concise summary of the proposal
* A URL pointing to the Internet-Draft that defines the proposal
* Any explanations or questions for the community that the RSAB
deems necessary (using their usual decision-making procedures)
* Clear instructions on how to provide public comments
* A deadline for comments
A comment period will last not less than two weeks and should be
longer if wide outreach is required. Comments will be publicly
archived on the RFC Editor website.
The RSAB is responsible for considering comments received during a
community call for comments. If RSAB members conclude that such
comments raise important issues that need to be addressed, they
should do so by discussing those issues within the RSWG or (if the
issues meet the criteria specified in Step 9 of Section 3.2.2)
lodging a position of CONCERN during RSAB balloting.
3.2.4. Appeals
Appeals of RSWG Chair decisions shall be made to the RSAB. Decisions
of the RSWG Chairs can be appealed only on grounds of failure to
follow the correct process. Appeals should be made within thirty
(30) days of any action or, in the case of failure to act, of notice
having been given to the RSWG Chairs. The RSAB will then decide if
the process was followed and will direct the RSWG Chairs as to what
procedural actions are required.
Decisions of the RSAB can be appealed on grounds of failure to follow
the correct process. In addition, if the RSAB makes a decision in
order to resolve a disagreement between authors and the RPC (as
described in Section 4.4), appeals can be filed on the basis that the
RSAB misinterpreted an approved policy. Aside from these two cases,
disagreements about the conduct of the RSAB are not subject to
appeal. Appeals of RSAB decisions shall be made to the IAB and
should be made within thirty (30) days of public notice of the
relevant RSAB decision (typically, when minutes are posted). The IAB
shall decide whether a process failure occurred and what (if any)
corrective action should take place.
3.2.5. Anti-Harassment Policy
The IETF anti-harassment policy
(https://www.ietf.org/about/groups/iesg/statements/anti-harassment-
policy/) also applies to the RSWG and RSAB, which strive to create
and maintain an environment in which people of many different
backgrounds are treated with dignity, decency, and respect.
Participants are expected to behave according to professional
standards and to demonstrate appropriate workplace behavior. For
further information about these policies, see [RFC7154], [RFC7776],
and [RFC8716].
3.2.6. RFC Boilerplates
RFC boilerplates (see [RFC7841]) are part of the RFC Style Guide, as
defined in Section 4.2. New or modified boilerplates considered
under version 3 of the RFC Editor Model must be approved by the
following parties, each of which has a separate area of
responsibility with respect to boilerplates:
* The applicable stream, which approves that the boilerplate meets
its needs
* The RSAB, which approves that the boilerplate is not in conflict
with the boilerplate used in the other streams
* The RPC, which approves that the language of the boilerplate is
consistent with the RFC Style Guide
* The IETF Trust, which approves that the boilerplate correctly
states the Trust's position regarding rights and ownership
3.3. RFC Consumers
(The text in this section is added by Section 1.2.3.)
The IETF mission statement [RFC3935] is clear that the documents it
produces are intended to be consumed by anyone who wishes to
implement an IETF protocol or operational recommendation:
| to produce high quality, relevant technical and engineering
| documents that influence the way people design, use, and manage
| the Internet in such a way as to make the Internet work better.
Section 3.2.1 introduces the term "consumers of RFCs", referring to
them as "constituent stakeholders" who should be considered by the
RSAB when approving Editorial Stream policy documents.
"Consumers of RFCs" is now defined to mean those people who read RFCs
to understand, implement, critique, and research the protocols,
operational practices, and other content as found in RFCs.
The policy to be followed by the RFC publication streams and RFC
Editor in respect to consumers of RFCs is as follows:
* Consumers of RFCs MUST be considered as separate constituent
stakeholders from IETF/IRTF participants. While IETF/IRTF
participants and others involved in the development and production
of RFCs may be consumers of RFCs, the two are distinct,
overlapping sets.
* The RFC Editor website (https://www.rfc-editor.org) MUST be
primarily focused on consumers of RFCs.
* Consumers of RFCs MUST NOT be required or expected to become IETF/
IRTF participants unless they wish to extend, update, or modify an
RFC.