Network Working Group R. Austein, Ed. Internet-Draft ISC Expires: July 15, 2005 B. Wijnen, Ed. Lucent Technologies January 14, 2005 Structure of the IETF Administrative Support Activity (IASA) draft-ietf-iasa-bcp-04 Status of this Memo This document is an Internet-Draft and is subject to all provisions of section 3 of RFC 3667. By submitting this Internet-Draft, each author represents that any applicable patent or other IPR claims of which he or she is aware have been or will be disclosed, and any of which he or she become aware will be disclosed, in accordance with RFC 3668. Internet-Drafts are working documents of the Internet Engineering Task Force (IETF), its areas, and its working groups. Note that other groups may also distribute working documents as Internet-Drafts. Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress." The list of current Internet-Drafts can be accessed at http://www.ietf.org/ietf/1id-abstracts.txt. The list of Internet-Draft Shadow Directories can be accessed at http://www.ietf.org/shadow.html. This Internet-Draft will expire on July 15, 2005. Copyright Notice Copyright (C) The Internet Society (2005). Abstract This document describes the structure of the IETF Administrative Support Activity (IASA) as an IETF-controlled activity housed within the Internet Society (ISOC) legal umbrella. It defines the roles and responsibilities of the IETF Administrative Oversight Committee (IAOC), the IETF Administrative Director (IAD), and ISOC in the fiscal and administrative support of the IETF standards process. It Austein & Wijnen Expires July 15, 2005 [Page 1] Internet-Draft Structure of IASA January 2005 also defines the membership and selection rules for the IAOC. Table of Contents 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 3 1.1 Open Issues . . . . . . . . . . . . . . . . . . . . . . . 4 2. Definitions and Principles . . . . . . . . . . . . . . . . . . 5 2.1 Alphabet Soup . . . . . . . . . . . . . . . . . . . . . . 5 2.2 Principles of the IASA, IETF and ISOC relationship . . . . 5 2.3 Community Consensus and Grant of Authority . . . . . . . . 6 2.4 Termination and Change . . . . . . . . . . . . . . . . . . 6 2.5 Effective Date for Commencement of IASA . . . . . . . . . 7 3. Structure of the IASA . . . . . . . . . . . . . . . . . . . . 7 3.1 IAD Responsibilities . . . . . . . . . . . . . . . . . . . 8 3.2 IAOC Responsibilities . . . . . . . . . . . . . . . . . . 9 3.3 Relationship of the IAOC to Existing IETF Leadership . . . 10 3.4 IAOC Decision Making . . . . . . . . . . . . . . . . . . . 10 4. IAOC Membership, Selection and Accountability . . . . . . . . 11 4.1 Initial IAOC Selection . . . . . . . . . . . . . . . . . . 13 5. IASA Funding . . . . . . . . . . . . . . . . . . . . . . . . . 13 5.1 Divisional Accounting . . . . . . . . . . . . . . . . . . 14 5.2 IETF Meeting Revenues . . . . . . . . . . . . . . . . . . 14 5.3 Designated Donations, Monetary and In-Kind . . . . . . . . 14 5.4 Other ISOC Support . . . . . . . . . . . . . . . . . . . . 14 5.5 IASA Expenses . . . . . . . . . . . . . . . . . . . . . . 15 5.6 Operating Reserve . . . . . . . . . . . . . . . . . . . . 15 6. IASA Budget Process . . . . . . . . . . . . . . . . . . . . . 15 7. ISOC Responsibilities for IASA . . . . . . . . . . . . . . . . 16 8. Security Considerations . . . . . . . . . . . . . . . . . . . 17 9. IANA Considerations . . . . . . . . . . . . . . . . . . . . . 17 10. Acknowledgements . . . . . . . . . . . . . . . . . . . . . . 17 11. References . . . . . . . . . . . . . . . . . . . . . . . . . 18 11.1 Normative References . . . . . . . . . . . . . . . . . . . . 18 11.2 Informative References . . . . . . . . . . . . . . . . . . . 18 Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . 19 A. Change Log . . . . . . . . . . . . . . . . . . . . . . . . . . 19 A.1 Changes in draft-ietf-iasa-bcp-04.txt . . . . . . . . . . 19 A.2 Changes in draft-ietf-iasa-bcp-03.txt . . . . . . . . . . 20 A.3 Changes in draft-ietf-iasa-bcp-02.txt . . . . . . . . . . 21 A.4 Changes in draft-ietf-iasa-bcp-01.txt . . . . . . . . . . 22 A.5 Changes in draft-ietf-iasa-bcp-00.txt . . . . . . . . . . 23 A.6 Changes in draft-wasserman-iasa-bcp-01.txt . . . . . . . . 23 A.7 Origin of draft-wasserman-iasa-bcp-00.txt . . . . . . . . 23 Intellectual Property and Copyright Statements . . . . . . . . 25 Austein & Wijnen Expires July 15, 2005 [Page 2] Internet-Draft Structure of IASA January 2005 1. Introduction This document describes the structure of the IETF Administrative Support Activity (IASA) as an IETF-controlled activity housed within the Internet Society (ISOC) legal umbrella. It defines the roles and responsibilities of the IETF Administrative Oversight Committee (IAOC), the IETF Administrative Director (IAD), and ISOC in the fiscal and administrative support of the IETF standards process. It also defines the membership and selection rules for the IAOC. The IETF undertakes its technical activities as an ongoing, open, consensus-based process. This document defines an administrative support structure intended to be responsive to the administrative needs of the IETF technical community, and describes how that support structure fits under ISOC's organizational umbrella. This document does not affect the ISOC-IETF working relationship as it relates to standards development or the communication of technical advice relevant to the policy and educational goals of ISOC. The IETF Administrative Support Activity (IASA) provides the administrative structure required to support the IETF standards process and to support the IETF's technical activities. As of the time at which this document was written, this included the work of IETF working groups, the IESG, the IAB, and the IRTF. Should the IETF standards process at some future date come to include other technical activities, the IASA shall provide administrative support for those activities as well. Such support includes, as appropriate, undertaking or contracting for the work described in [RFC3716],including IETF document and data management, IETF meetings, and any operational agreements or contracts with the RFC Editor and IANA. The IASA is also ultimately responsible for the financial activities associated with IETF administrative support such as collecting IETF meeting fees, paying invoices, managing budgets and financial accounts, and so forth. The IASA is responsible for ensuring that the IETF's administrative needs are met, and met well. The IETF does not expect the IASA to undertake the bulk of this work directly; rather, the IETF expects the IASA to contract this work from others, and manage these contractual relationships to achieve efficiency, transparency and cost effectiveness. The IASA is distinct from IETF-related technical functions, such as the RFC Editor, the Internet Assigned Numbers Authority (IANA), and the IETF standards process itself. The IASA has no influence on the technical decisions of the IETF or on the technical contents of IETF work. Note, however, that this in no way prevents people who form part of the IASA from participating as individuals in IETF technical Austein & Wijnen Expires July 15, 2005 [Page 3] Internet-Draft Structure of IASA January 2005 activities. 1.1 Open Issues Note to RFC Editor: Please remove this section prior to publication. Discussion of open issues has progressed quickly enough in recent weeks that a summary of the current state of each open issue in this document would be obsolete by the time anybody but the editors had a chance to see it. A kind volunteer is now keeping reasonably up-to-date status of each known open issue is available in an online tracking system: URL: https://rt.psg.com Username: ietf Password: ietf Queue: iasa-bcp The "status" of each tracked issue is stored in a "custom field" named "Discussion". That status is also mapped onto the system's priority field, so you can see it in the list of tickets and so you can sort on it. The mapping is as follows: 1. No discussion 2. No consensus 3. Text Needed 4. Text Proposed 5. Text Accepted 6. No change proposed 7. No change needed 8. Document Updated Please be sure to check the issue tracker for the latest status of all tracked issues. Austein & Wijnen Expires July 15, 2005 [Page 4] Internet-Draft Structure of IASA January 2005 2. Definitions and Principles This section describes terminology and underlying principles used in the rest of this document. 2.1 Alphabet Soup Although most of the terms, abbreviations, and acronyms used in this document are reasonably well-known, first-time readers may find this alphabet soup confusing. This section therefore attempts to provide a quick summary. IAB: Internet Architecture Board (see [RFC2026], [RFC2850]). IAD: Internet Administrative Director, defined by this document. IAOC: Internet Administrative Oversight Committee, defined by this document. IASA: IETF Administrative Support Activity, defined by this document. IESG: Internet Engineering Steering Group (see [RFC2026], [RFC3710]). IETF: Internet Engineering Task Force (see [RFC3233]). ISOC: Internet Society (see [RFC2031] and [ISOC]). 2.2 Principles of the IASA, IETF and ISOC relationship This section attempts to describe principles underlying the mechanisms described in this document. 1. The IETF intends to establish a structure (the IASA) in order to get IETF administrative functions managed appropriately, according to good administrative, fiscal, and management principles. The IASA includes the IAD and the IAOC, and shall be housed within ISOC. 2. The IAD and IAOC shall not have any authority over the IETF standards development activities. This document does not modify ISOC's other roles related to the IETF standard process. 3. The IAD and IAOC, in cooperation with the ISOC President/CEO and staff, shall develop an annual budget for the IASA. The budget must clearly identify all expected direct and indirect expenditures related to the IASA. ISOC, through its normal procedures, shall evaluate and adopt the IASA budget as part of Austein & Wijnen Expires July 15, 2005 [Page 5] Internet-Draft Structure of IASA January 2005 ISOC's own budget process and commit to ensuring funds to support the approved budget. 4. Responsibility for the evaluation, review and negotiation of contracts and other IETF administrative and support agreements and other expenditures of funds under the IASA shall rest with the IAD, operating in accordance with policies and procedures set by the IAOC and consistent with ISOC operating policies. 5. Once funds or in-kind donations have been credited to the IETF accounts, they shall be irrevocably allocated to the support of the IETF. 6. There shall be a detailed public accounting to separately identify all funds available to and all expenditures relating to the IETF and to the IASA, including any donations, of funds or in-kind, received by ISOC for IETF-related activities. In-kind donations shall only be accepted at the direction of the IAD and IAOC. 7. The IETF, through the IASA, shall have a perpetual right to use, display, distribute, reproduce, modify and create derivatives of all data created in support of IETF activities. 8. The IASA, in cooperation with ISOC, shall ensure that sufficient reserves exist to keep the IETF operational in the case of unexpected events such as income shortfalls. The remainder of this document contains details based on the above principles. 2.3 Community Consensus and Grant of Authority The IETF is a consensus-based group, and authority to act on behalf of the community requires a high degree of consensus and the continued consent of the community. After a careful process of deliberation, a broad-based community consensus emerged to house the IETF Administrative Support Activity (IASA) within the Internet Society. This document reflects that consensus. 2.4 Termination and Change Any change to this agreement shall require a similar level of community consensus and deliberation and shall be reflected by a subsequent Best Current Practice (BCP) document. Austein & Wijnen Expires July 15, 2005 [Page 6] Internet-Draft Structure of IASA January 2005 2.5 Effective Date for Commencement of IASA The procedures in this document shall become operational immediately after this document has been approved by the process defined in BCP 9 [RFC2026] and has been affirmed by a resolution of the ISOC Board of Trustees. 3. Structure of the IASA The IASA structure is designed to ensure accountability and transparency of the IETF administrative and fiscal activities to the IETF community. The IETF Administrative Oversight Committee (IAOC) directs and oversees the IASA. The IAOC consists of volunteers, all chosen directly or indirectly by the IETF community, as well as appropriate ex officio members from ISOC and IETF leadership. The IAOC shall be accountable to the IETF community for the effectiveness, efficiency and transparency of the IASA. The IASA consists initially of a single full-time ISOC employee, the IETF Administrative Director (IAD), who is entitled to act on behalf of the IASA at the direction of the IAOC. The IAD is likely to draw on financial, legal and administrative support furnished by ISOC support staff or consultants. Costs for ISOC support staff and consultants are allocated based on actual expenses or on some other allocation model determined by consultation between the IAOC and ISOC. Although the IAD is an ISOC employee, he or she works under the direction of the IAOC. The IAD is selected and hired by a committee of the IAOC. The members of this committee are appointed by the IAOC, and consist at minimum of the ISOC President and the IETF Chair. This same committee is responsible for setting the IAD's initial compensation, reviewing the performance of the IAD periodically, and determining any changes to the IAD's employment and compensation. In principle, IETF administrative functions should be outsourced. Decisions to perform specific functions "in-house" should be explicitly justified by the IAOC, with these decisions and staffing reviewed by the IAOC on a regular basis and against a "zero base" assumption. The IAD is responsible for negotiating and maintaining outsourcing contracts, as well as providing any coordination necessary to make sure the IETF administrative support functions are covered properly. The IAOC is accountable for the structure of the IASA and thus decides which functions are to be outsourced. All outsourcing must be via well-defined contracts or equivalent instruments. Both Austein & Wijnen Expires July 15, 2005 [Page 7] Internet-Draft Structure of IASA January 2005 outsourced and in-house functions must be clearly specified and documented with well-defined deliverables, service level agreements, and transparent accounting for the cost of such functions. If the IASA cannot comply with the procedures described in this document for legal, accounting or practical reasons, the IAOC shall report that fact to the community, along with the variant procedure the IAOC intends to follow. If the problem is a long-term one, the IAOC shall ask the IETF to update this document to reflect the changed procedure. 3.1 IAD Responsibilities The IAD is responsible for working with the IAOC and others to understand the administrative requirements of the IETF, and for managing the IASA to meet those needs. This includes determining the structure of the IASA effort, establishing an operating budget, negotiating contracts with service providers, managing the business relationship with those providers, and establishing mechanisms to track their performance. The IAD may also manage other contractors or ISOC employees (such as support staff) as necessary, when such contractors or employees are engaged in IASA-related work. The IAD is responsible for running IASA in an open and transparent manner, and for producing regular monthly, quarterly, and annual financial and operational updates for IAOC and IETF community review. The IAD is responsible for administering the IETF finances, managing separate financial accounts for the IASA, and establishing and administering the IASA budget. While ISOC will need to put some financial controls in place to protect ISOC's fiscal stability, the IAD (with IAOC approval, as appropriate) should have signing authority consistent with carrying out IASA work effectively, efficiently and independently. If there are any problems regarding the level of financial approval granted to the IAD, the IAOC and ISOC shall work out a policy that is mutually agreeable, and shall do so within a reasonable timeframe. The IAD negotiates service contracts, with input, as appropriate, from other bodies, and with review, as appropriate, by the IAOC. The IAOC should establish guidelines for what level of review is expected based on contract type, size, cost, or duration. ISOC executes contracts on behalf of the IASA, after whatever review ISOC requires to ensure that the contracts meet ISOC's legal and financial requirements. The IAD is responsible for ensuring that all contracts give IASA and the IETF the perpetual right to use, display, distribute, reproduce, Austein & Wijnen Expires July 15, 2005 [Page 8] Internet-Draft Structure of IASA January 2005 modify and create derivatives of all data created in support of IETF activities. This is necessary to make sure the IETF has access to the data it needs at all times, and to ensure that the IASA can change contractors as needed without disrupting IETF work. Whenever reasonable, if software is developed under an IASA contract it should should remain usable by the IETF beyond the terms of the contract. Some ways of achieving this are by IASA ownership or an open source license; an open source license is preferable. The IAD shall decide how best to serve the IETF's interests when making such contracts. The IAD and IAOC are responsible for making all business decisions regarding the IASA. In particular, the ISOC Board of Trustees shall not have direct influence over the choice of IASA contractors or IETF meeting sponsors. This restriction is meant to enforce the separation between fund raising and the actual operation of the standards process. The IAD prepares an annual budget, which is subject to review and approval by the IAOC. The IAD is responsible for presenting this budget to the ISOC Board of Trustees, as part of ISOC's annual financial planning process. The IAOC is responsible for ensuring the budget's suitability for meeting the IETF community's administrative needs, but the IAOC does not bear fiduciary responsibility for ISOC. The ISOC Board of Trustees therefore needs to review and understand the budget and planned activity in enough detail to carry out their fiduciary responsibility properly. The IASA publishes its complete budget to the IETF community each year. 3.2 IAOC Responsibilities The IAOC's role is to provide appropriate direction to the IAD, to review the IAD's regular reports, and to oversee the IASA functions to ensure that the administrative needs of the IETF community are being properly met. The IAOC's mission is not to be be engaged in the day-to-day administrative work of IASA, but rather to provide appropriate direction, oversight and approval. Therefore, the IAOC's responsibilities are: o To select the IAD and provide high-level review and direction for his or her work. This task should be handled by a sub-committee, as described in Section 3. o To review the IAD's plans and contracts to ensure that they will meet the administrative needs of the IETF. Austein & Wijnen Expires July 15, 2005 [Page 9] Internet-Draft Structure of IASA January 2005 o To track whether the IASA functions are meeting the IETF community's administrative needs, and to work with the IAD to determine a plan for corrective action if they are not. o To review the IAD's budget proposals to ensure that they will meet the IETF's needs, and review the IAD's regular financial reports. o To ensure that the IASA is run in a transparent and accountable manner. While the day-to-day work should be delegated to the IAD and others, the IAOC is responsible for ensuring that IASA finances and operational status are tracked appropriately, and that monthly, quarterly, and annual financial and operational reports are published to the IETF community. o To designate, in consultation with the IAB and the IESG, the person or people who carry out the tasks which other IETF process documents say are carried out by the IETF Executive Director. The IAOC's role is to direct and review, not perform, the work of the IAD and IASA. The IAOC holds periodic teleconferences and face-to-face meetings as needed to carry out the IAOC's duties efficiently and effectively. If there is no IAD or the IAD is unavailable, the IAOC may temporarily assign the IAD's duties to individual members of the IAOC. 3.3 Relationship of the IAOC to Existing IETF Leadership The IAOC is directly accountable to the IETF community for the performance of the IASA. However, the nature of the IAOC's work involves treating the IESG and IAB as major internal customers of the administrative support services. The IAOC and the IAD should not consider their work successful unless the IESG and IAB are also satisfied with the administrative support that the IETF is receiving. 3.4 IAOC Decision Making The IAOC attempts to reach all decisions unanimously. If the IAOC cannot achieve a unanimous decision, the IAOC decides by voting. The IAOC decides the details about its decision-making rules, including its rules for quorum, conflict of interest and breaking of ties. These rules shall be made public. All IAOC decisions shall be recorded in IAOC minutes, and IAOC minutes shall be published regularly. Austein & Wijnen Expires July 15, 2005 [Page 10] Internet-Draft Structure of IASA January 2005 If someone believes that the IAOC has violated the IAOC rules and procedures, he or she can ask the IETF leadership to investigate the matter, using the same procedure as is used for appeals of procedural issues in the IETF, starting with the IESG. If the IESG, IAB or the ISOC Board of Trustees find that procedures have been violated, they may advise the IAOC, but do not have authority to overturn or change a decision of the IAOC. The IAOC plays no role in appeals of WG Chair, IESG, or IAB decisions. 4. IAOC Membership, Selection and Accountability The IAOC shall consist of eight voting members who shall be selected as follows: o 2 members appointed by the IETF Nominations Committee (NomCom); o 1 member appointed by the IESG; o 1 member appointed by the IAB; o 1 member appointed by the ISOC Board of Trustees; o The IETF Chair (ex officio); o The IAB Chair (ex officio); o The ISOC President/CEO (ex officio). The IETF Administrative Director also serves, ex officio, as a non-voting member of the IAOC. The IAOC may also choose to invite liaisons from other groups, but is not required to do so; the IAOC decides whether or not to have a liaison to any particular group. Any such liaisons are non-voting. Responsibility for selecting the individual filling a particular liaison role lies with the body from which the IAOC has requested the liaison. Appointed members of the IAOC serve two year terms. IAOC terms normally end at the first IETF meeting of a year, just as as IAB and IESG terms do. The members of the IAOC shall select one of its appointed voting members to serve as the chair of the IAOC. The term of the IAOC chair shall be one year from the time of selection or the remaining Austein & Wijnen Expires July 15, 2005 [Page 11] Internet-Draft Structure of IASA January 2005 time of his or her tenure on the IAOC, whichever is less. An individual may serve any number of terms as chair, if selected by the IAOC. The Chair serves at the pleasure of the IAOC, and may be removed from that position at any time by a two thirds vote of the voting membership of the IAOC. The chair of the IAOC shall have the authority to manage the activities and meetings of the IAOC. The two NomCom-appointed IAOC members are chosen using the procedures described in RFC 3777 [RFC3777]. For the initial IAOC selection, the IESG will provide the list of desired qualifications for these positions; in later years, the IAOC will provide this qualification list. The IESG will serve as the confirming body for IAOC appointments by the NomCom. While there are no hard rules regarding how the IAB and the IESG should select members of the IAOC, such appointees need not be current IAB or IESG members (and probably should not be, if only to avoid overloading the existing leadership). The IAB and IESG should choose people with some knowledge of contracts and financial procedures, who are familiar with the administrative support needs of the IAB, the IESG, or the IETF standards process. The IAB and IESG should follow a fairly open process for these selections, perhaps with an open call for nominations or a period of public comment on the candidates. The procedure for IAB selection of ISOC Board of Trustees [RFC3677] might be a good model for how this could work. After the IETF gains some experience with IAOC selection, these selection mechanisms should be documented more formally. Although the IAB, the IESG and the ISOC Board of Trustees choose some members of the IAOC, those members do not directly represent the bodies that chose them. All members of the IAOC are accountable directly to the IETF community. To receive direct feedback from the community, the IAOC holds an open meeting at least once per year at an IETF meeting. This may take the form of an open IAOC plenary or a working meeting held during an IETF meeting slot. The form and contents of this meeting are left to the discretion of the IAOC Chair. The IAOC should also consider open mailing lists or other means to establish open communication with the community. IAOC members are subject to recall in the event that an IAOC member abrogates his or her duties or acts against the best interests of the IETF community. Any appointed IAOC member, including those appointed by the IAB, IESG or ISOC Board of Trustees, may be recalled using the recall procedure defined in RFC 3777 [RFC3777]. IAOC members are Austein & Wijnen Expires July 15, 2005 [Page 12] Internet-Draft Structure of IASA January 2005 not, however, subject to recall by the bodies that appointed them. If a vacancy occurs among the appointed members, this is filled by the appointing body for that position according to its procedures. The IAOC members shall not receive any compensation for their services as members of the IAOC. The IAOC shall set and publish rules covering reimbursement of expenses, and such reimbursement shall generally be for exceptional cases only. 4.1 Initial IAOC Selection The initial IAOC selection will start after this document is approved as a BCP by the IESG and accepted by the ISOC Board of Trustees. The IESG, IAB, and ISOC Board of Trustees should make their selections within 45-days of BCP approval, and the NomCom should make their selections as quickly as possible while complying with the documented NomCom procedures. The IAOC will become active as soon as a majority (three or more) of the appointed members have been selected. Initially, the IESG and the ISOC Board of Trustees will make one-year appointments, the IAB will make a two-year appointment, and the NomCom will make one one-year appointment and one two-year appointment. This will establish a pattern in which approximately half of the IAOC is selected each year. 5. IASA Funding The IASA manages money from three sources: 1. IETF meeting revenues; 2. Designated donations to ISOC (both monetary and in-kind); 3. Other ISOC support. Note that the goal is to achieve and maintain a viable IETF support function based on available funding sources. The IETF community expects the IAOC and ISOC to work together to attain that goal, and recognizes that doing so will require striking some sort of balance. For example, dropping the meeting fees to $0 and expecting ISOC to pick up the slack would not be viable in the long term, and neither would be raising the meeting fees to prohibitive levels in order to fund all non-meeting-related activities. Austein & Wijnen Expires July 15, 2005 [Page 13] Internet-Draft Structure of IASA January 2005 5.1 Divisional Accounting Funds managed by IASA shall be accounted for in a separate set of accounts. Separate financial reports, including a balance sheet and a profit and loss statement for IASA alone, shall be produced as directed by IAOC. IAOC and ISOC shall agree upon and publish procedures for reporting and auditing of these accounts. 5.2 IETF Meeting Revenues Meeting revenues are an important source of funds for IETF functions. The IAD, in consultation with the IAOC, sets the meeting fees as part of the budgeting process. All meeting revenues shall be credited to the appropriate IASA accounts. 5.3 Designated Donations, Monetary and In-Kind Donations are an essential component of funding. The IASA undertakes no direct fund-raising activities. This establishes a practice of separating IETF administrative and standards activities from fund-raising activities, and helps ensure that no undue influence may be ascribed to those from whom funds are raised. ISOC shall create and maintain appropriate structures and programs to coordinate donations intended to support the work of the IETF, and these shall include mechanisms for both in-kind and direct contributions to the work supported by IASA. Since ISOC will be the sole entity through whom donations may be made to the work of the IETF, ISOC shall ensure that those programs are not unduly restrictive. ISOC shall maintain programs that allow for designated donations to the IETF. In-kind resources are owned by the ISOC on behalf of the IETF and shall be reported and accounted for in a manner that identifies them as such. Designated monetary donations shall be credited to the appropriate IASA accounts. 5.4 Other ISOC Support Other ISOC support shall be based on the budget process as specified in Section 6, which includes deciding when ISOC monetary support is to be credited to the IASA accounts. All ISOC support, no matter how it is delivered, shall be reported in the IASA financial reports. Austein & Wijnen Expires July 15, 2005 [Page 14] Internet-Draft Structure of IASA January 2005 5.5 IASA Expenses The IASA exists to support the IETF. Therefore, only expenses related to supporting the IETF may be debited from the IASA accounts. 5.6 Operating Reserve As an initial guideline and in normal operating circumstances, the IASA should have an operating reserve for its activities sufficient to cover 6-months of non-meeting operational expenses, plus twice the recent average for meeting contract guarantees. However, the IASA shall establish a target for a reserve fund to cover normal operating expenses and meeting expenses in accordance with prudent planning. The IASA expects ISOC to build and provide that operational reserve, through whatever mechanisms ISOC deems appropriate: line of credit, financial reserves, meeting cancellation insurance, and so forth. In the long term, financial reserves are preferable; it should be a goal for ISOC to reach this level of reserves within 3 years after the creation of the IASA. If the IASA accounts accumulate a surplus, ISOC may count that as part of the reserve. 6. IASA Budget Process While the IASA sets a budget for the IETF's administrative needs, its budget process clearly needs to be closely coordinated with ISOC's. The specific timeline shall be established each year by IASA and ISOC. As an example, a general annual timeline for budgeting is: July 1: The IAD presents a budget proposal (prepared in consultation with ISOC staff) for the following fiscal year, with 3 year projections, to the IAOC. August 1: The IAOC approves the budget proposal for IETF purposes, after any appropriate revisions. As the ISOC President is part of the IAOC, the IAOC should have a preliminary indication of how the budget will fit with ISOC's own budgetary expectations. The budget proposal is passed to the ISOC Board of Trustees for review in accordance with their fiduciary duty. September 1: The ISOC Board of Trustees approves the budget proposal provisionally. During the next 2 months, the budget may be revised to be integrated in ISOC's overall budgeting process. Austein & Wijnen Expires July 15, 2005 [Page 15] Internet-Draft Structure of IASA January 2005 November 1: Final budget to the ISOC Board for approval. The dates described above are examples, and are subject to change. They will most likely be modified each year based on the dates of the second and third IETF meetings of that year. They also need to be synchronized with the ISOC budgeting process. The IAD shall provide monthly accountings of expenses, and shall update expenditures forecasts every quarter. This may require adjustment of the IASA budget: if so, the revised budget will need to be approved by the IAOC, the ISOC President/CEO and, if necessary, the ISOC Board of Trustees. 7. ISOC Responsibilities for IASA Within ISOC, support for the IASA shall meet the following goals: Transparency: The IETF community shall have complete visibility into the financial and legal structure of the ISOC standards activity. In particular, a detailed budget for the entire standards activity, quarterly financial reports, and audited annual financial reports shall all be available to the IETF community. In addition, key contract material and MOUs shall also be publicly available. The IAD and IAOC are responsible for providing regular overviews of the state of the IASA to the IETF community. Unification: As part of this arrangement, ISOC's sponsorship of the RFC Editor, IAB and IESG shall be managed as part of the IASA under the IAOC. Independence: The IASA shall be distinct from other ISOC activities. ISOC shall support the IASA through the mechanisms specified in this document and its successors. Support: ISOC shall work with the IAD and IAOC to ensure appropriate financial support for the IASA, following the mechanisms described in this document and its successors. Removability: While there is no current plan to transfer the legal and financial home of the IASA to another corporation, the IASA shall be structured to enable a clean transition in the event that the IETF community decides that such a transition is required and documents its consensus in a formal document (currently called a BCP). In such a case, the IAOC shall give ISOC a minimum of six months notice before the transition formally occurs. During that period, the IETF and ISOC shall work together to create a smooth transition that does not result in any significant service outages or missed IETF meetings. All contracts executed by ISOC on behalf Austein & Wijnen Expires July 15, 2005 [Page 16] Internet-Draft Structure of IASA January 2005 of IASA shall either include a clause allowing termination by ISOC with six months notice, or shall be transferable to another corporation in the event that the IASA transitions away from ISOC. Any balance in the IASA accounts, any IETF-specific intellectual property rights, and any IETF-specific data and tools shall also transition to the new entity. Other terms shall be negotiated between the IETF and ISOC. Within the constraints outlined above, all other details of how to structure this activity within ISOC (whether as a cost center, a department, or a formal subsidiary) shall be determined by ISOC in consultation with the IAOC. 8. Security Considerations This document describes the structure of the IETF's administrative support activity. It introduces no security considerations for the Internet. 9. IANA Considerations This document has no IANA considerations in the traditional sense. However, some of the information in this document may affect how the IETF standards process interfaces with IANA, so IANA may be interested in the contents. 10. Acknowledgements The editors would like to thank everyone who provided feedback on this document or any of its predecessors back to the original "Scenario O" e-mail message. In particular, the editors would like to thank: Bernard Aboba, Jari Arkko, Fred Baker, Scott Bradner, Scott Brim, Brian Carpenter, Dave Crocker, Spencer Dawkins, Avri Doria, Tony Hain, Joel Halpern, Ted Hardie, Sam Hartman, Geoff Huston, John Klensin, Valdis Kletnieks, Eliot Lear, Henrik Levkowetz, Kurt Erik Lindqvist, John Loughney. Carl Malamud, Allison Mankin, Eric Rescorla, Pete Resnick, Glenn Ricart, Jonne Soininen, Lynn St Amour, and Michael StJohns. Special thanks are due to Leslie Daigle and Margaret Wasserman, who wrote the original "Scenario O" message and edited the earliest versions of this document. Special thanks are also due to Henrik Levkowetz for kindly volunteering to maintain the issue tracking system associated with this document. Last, special thanks are due to Harald Alvestrand, for leading the Austein & Wijnen Expires July 15, 2005 [Page 17] Internet-Draft Structure of IASA January 2005 search for consensus on the IETF mailing list. No doubt the above list is incomplete. We apologize to anyone whom we left out. This document was written using the xml2rfc tool described in RFC 2629 [RFC2629]. 11. References 11.1 Normative References [RFC2026] Bradner, S., "The Internet Standards Process -- Revision 3", BCP 9, RFC 2026, October 1996. [RFC3716] Advisory, IAB., "The IETF in the Large: Administration and Execution", RFC 3716, March 2004. [RFC3777] Galvin, J., "IAB and IESG Selection, Confirmation, and Recall Process: Operation of the Nominating and Recall Committees", BCP 10, RFC 3777, June 2004. 11.2 Informative References [ISOC] Internet Society, "Internet Society By-Laws", February 2001, . [RFC2031] Huizer, E., "IETF-ISOC relationship", RFC 2031, October 1996. [RFC2629] Rose, M., "Writing I-Ds and RFCs using XML", RFC 2629, June 1999. [RFC2850] Internet Architecture Board and B. Carpenter, "Charter of the Internet Architecture Board (IAB)", BCP 39, RFC 2850, May 2000. [RFC3233] Hoffman, P. and S. Bradner, "Defining the IETF", BCP 58, RFC 3233, February 2002. [RFC3677] Daigle, L. and Internet Architecture Board, "IETF ISOC Board of Trustee Appointment Procedures", BCP 77, RFC 3677, December 2003. [RFC3710] Alvestrand, H., "An IESG charter", RFC 3710, February 2004. Austein & Wijnen Expires July 15, 2005 [Page 18] Internet-Draft Structure of IASA January 2005 Authors' Addresses Rob Austein (editor) Internet Systems Consortium 950 Charter Street Redwood City, CA 94063 USA EMail: sra@isc.org Bert Wijnen (editor) Lucent Technologies Schagen 33 3461 GL Linschoten NL EMail: bwijnen@lucent.com Appendix A. Change Log Note to RFC Editor: Please remove this appendix (including all of its subsections) prior to publication. This document was produced as part of the overall IETF Administrative Restructuring (AdminRest) effort. Information about the effort and related documents can be found at: http://www.alvestrand.no/ietf/adminrest We are using an issue tracker to track the editorial and substantive feedback on this document. It can be found at: https://rt.psg.com (user: ietf, password: ietf, queue: iasa-bcp). This text corresponds to $Revision: 1.46 $ of the XML source for this document. A.1 Changes in draft-ietf-iasa-bcp-04.txt o Removed Editors' Note in section on "Designated Donations", since the text seems to have settled. o Reworded principle 8, per "IASA Finances" posting. o Reworded Section 5.6 per "IASA Finances" posting. The text changes address issues 740, 748, 769 and 772. Austein & Wijnen Expires July 15, 2005 [Page 19] Internet-Draft Structure of IASA January 2005 o Added text regarding compensation and reimbursement of expenses for IAOC members, to address issue 770. o Reworded Removability text in Section 7 per "IASA removability - rephrase IAOC role" discussion on the IETF list, to address issue 779. o Reworded text about IAOC minutes (Section 3.4), issue 718. o Reworded Section 5.1 ("Divisional Accounting") per issue 721. o Reworded Section 5.4 ("Other ISOC Support") per issue 722. o A little rewording of text on donations in support for IETF, per issue 737. o Reworded text on outsourcing and in-house work, per issue 733. o Reduced the text on IAOC decision making (Section 3.4) quite a bit, per issue 746. o Modified text on IAOC chair selection and authority (Section 4), per issue 771. A.2 Changes in draft-ietf-iasa-bcp-03.txt o Removed "Closed Issues" section, replaced "Open Issues" section with another pointer to the RT ticket queue, since that is now more likely to be up-to-date than any list in this document. o Added text that IAOC specifies and publishes rules for conflict resolution. See issue #754. o Changed text on quarterly credits to IASA accounts as per discussion in issue #748. Issue seems not closed yet. o Clarifications in budget process, see issue #749. o Editorial change on wording "rights in data" as per issue #735. o Editorial changes as per issue #727. o Clarified text about requirements for in-house and outsourced activities. Issue #723. o Added text about how an IAOC vacancy is dealt with. Issue #741. Austein & Wijnen Expires July 15, 2005 [Page 20] Internet-Draft Structure of IASA January 2005 o Removed a redundant sentence on donation coordination. Issue #738. o Added text to state that IAOC decisions are minuted and minutes are published. Issues #714 and #718. o Refined text on removability (BCP doc) as per issue #751. o Removed word "officer" from text, as per issue #731. o Added a 2nd paragraph on IAOC decision making rules. Issue #746. o Added text at the end of Section 3.2 to make IAOC responsible for filling in if there is no IAD or when IAD is not available. Issue #744. o Clarified text in 2nd principle. Issue #730. o Added IETF to Section 2.1. Issue #743. o Changed wording of 3rd principle in Section 2.2 to make it clearer that budget development is an iterative process that happens in cooperation with ISOC. o Added a principle about the fact that IETF money stays IETF money once credited to IETF accounts. o Changed the word "account" into "accounts" at a few places to be more in line with the concept of divisional accounting. A.3 Changes in draft-ietf-iasa-bcp-02.txt o Split issues list into separate lists of open issues and closed issues (as seen by the editors). Removed some inline Editors' comments when we believed that an issue has been resolved. o Added Section 2.5 on when the procedures in this document become effective. o Changed text in Section 5 to state that the goal is a viable IASA based on all funding as opposed to just meeting fees and designated donations. o Added text to Section 2.2 stating that funds and donations shall be irrevocably assigned to IETF. o Removed section on IAD Committees. Austein & Wijnen Expires July 15, 2005 [Page 21] Internet-Draft Structure of IASA January 2005 o Changed the text in Section 4 on IAOC Chair selection and responsibilities. It is now very similar to IAB chair selection as in RFC2850. o Various textual clarifications. This also includes several changes of "will" and "should" into "shall". o Moved disclaimer of variance procedure to Section 3 and generalized it. o Improved wording on IPR in Section 2.2 and added specific text for IAD to ensure we have proper rights to any IPR. Section 5.1 o Cleanup Section 7. A.4 Changes in draft-ietf-iasa-bcp-01.txt o Added a list of open issues (Section 1.1). o Added that small committee determines initial compensation for IAD. o Added a set of Principles (Section 2.2) on which any details are (should be) based. o Added "Community Consensus and Grant of Authority" (Section 2.3). o Added more acknowledgments (no doubt still incomplete). o Clarified Section 5 and subsections. Added Editors' note. o Clarified what happens if IAOC voting results in a tie. o Changed the selection of person(s) to act as IETF Executive Director. o Added a disclaimer in Section 5, stating that IAOC can deal with changes because of legal, accounting or practical reasons. o Removed "insurance" example in Section 5.4. o Added a reference to ISOC bylaws. o Stop using term "liaison" to mean "non-voting IAOC member"; instead, spell out which members are voting and which are not. Add text allowing IAOC to request non-voting liaisons from other bodies. Austein & Wijnen Expires July 15, 2005 [Page 22] Internet-Draft Structure of IASA January 2005 o Various editorial cleanups. A.5 Changes in draft-ietf-iasa-bcp-00.txt o Modified the text of Section 5. o Added text on Reserve funds. o Made IAB chair a voting member of IAOC; added tie-breaker rule that if voting results in equal split, then IAOC chair decides. o Changed 2nd paragraph in "Structure of IASA" section to replace the fuzzy term "executive-level" and to be clear about cost aspects. o Made it explicit that the IESG's role as a confirming body only applies to IAOC appointments made by the NomCom. o Editorial changes at various places in the document. A.6 Changes in draft-wasserman-iasa-bcp-01.txt o Adjusted the description of the IAD role and reporting structure to make it clear that the IAD is expected to serve as executive-level management for IASA, with only high-level direction (not day-to-day management) from the IAOC. o Removed some troublesome wording regarding termination of the IAD by the ISOC President/CEO. o Moved the initial IAOC selection into a separate section and added some text describing how and when the initial IAOC will be seated. o Added the concept of IAD committees, largely taken from Leslie Daigle's original AdminRest proposal. o Performed some general text editing and clean-up. A.7 Origin of draft-wasserman-iasa-bcp-00.txt draft-wasserman-iasa-bcp-00.txt was derived from an e-mail message written by Leslie Daigle and Margaret Wasserman and posted to the IETF by Leslie Daigle. The original message can be found at: http://www1.ietf.org/mail-archive/web/ietf/current/msg31326.html Austein & Wijnen Expires July 15, 2005 [Page 23] Internet-Draft Structure of IASA January 2005 This document was derived from the "Draft BCP" portion of that message and has been updated based on comments received. Austein & Wijnen Expires July 15, 2005 [Page 24] Internet-Draft Structure of IASA January 2005 Intellectual Property Statement 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. Disclaimer of Validity 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. Copyright Statement Copyright (C) The Internet Society (2005). 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. Acknowledgment Funding for the RFC Editor function is currently provided by the Internet Society. Austein & Wijnen Expires July 15, 2005 [Page 25]