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<rfc category="info" ipr="full3978" docName="draft-ietf-proto-wgchair-doc-shepherding-09">
<front>
  <title abbrev="Document Shepherding to IESG Approval">
Document Shepherding from Working Group Last Call to Publication
  </title>

  <author initials="H." surname="Levkowetz"
          fullname="Henrik Levkowetz">
    <organization abbrev="Ericsson">
    </organization>
    <address>
      <postal>
        <street>Torsgatan 71</street>
        <code>S-113 37</code>
        <city>Stockholm</city>
        <country>Sweden</country>
      </postal>
      <phone>+46 708 32 16 08</phone>
      <email>henrik@levkowetz.com</email>
    </address>
  </author>

  <author initials="D." surname="Meyer"
          fullname="David Meyer">
    <organization abbrev="Cisco/University of Oregon">
    </organization>
    <address>
      <postal>
        <street>1225 Kincaid St</street>
        <city>Eugene</city>
	<region>OR</region>
	<code>97403</code>
        <country>USA</country>
      </postal>
      <phone>+1 541 346 1747</phone>
      <email>dmm@1-4-5.net</email>
    </address>

  </author>
	<author initials="L." surname="Eggert" fullname="Lars Eggert">
		<organization abbrev="Nokia">Nokia Research Center</organization>
		<address>
			<postal>
				<street>P.O. Box 407</street>
				<code>00045</code> <city>Nokia Group</city>
				<country>Finland</country>
			</postal>
			<phone>+49 50 48 24461</phone>
			<email>lars.eggert@nokia.com</email>
			<uri>http://research.nokia.com/people/lars_eggert</uri>
		</address>
	</author>

  <author initials="A." surname="Mankin"
          fullname="Allison Mankin">
    <organization/>
    <address>
			<phone>+1-301-728-7199</phone>
			<email>mankin@psg.com</email>
			<uri>http://www.psg.com/~mankin</uri>
    </address>
  </author>


  <date year="2007"/>
  <area>General Area</area>
  <workgroup>PROTO Team</workgroup>
  <keyword>Document Shepherding</keyword>
  <keyword>IETF Documents</keyword>

  <abstract>
    <t>
 	This document describes methodologies that have been
	designed to improve and facilitate IETF document flow
	processing.  It specifies a set of procedures under which a working group
	chair or secretary serves as the primary Document Shepherd for a
	document that has been submitted to the IESG for
	publication. Before this, the Area Director responsible for the working group has traditionally filled the shepherding role.
    </t>
    <t>
	A Document Shepherd's responsibilities include: 

        <list style='symbols'>
          <t> Providing the Document Shepherd Write-Up accompanying a document that
	      is forwarded to the IESG when publication is requested. 
          </t>

	  <t> During AD Evaluation by the Responsible Area Director, managing the discussion
	      between the editors, the working group, and the Responsible Area Director.
          </t> 

	  <t> During an IETF Last Call, if performed for the shepherded document, following up on community feedback and review comments.
          </t>  

	  <t> During IESG evaluation, following up on all IESG feedback ("DISCUSS" and "COMMENT" items)
	     related to the shepherded document.
          </t>  
          
          <t> Following up on IANA and RFC Editor requests 
              in the post-approval shepherding of the document.
          </t>
        </list>

        In summary, a Document Shepherd continues to care for a shepherded document during
              its post-WG lifetime just as he or she has cared for it while responsible
              for the document in the working group.
    </t>
  </abstract>

</front>
<middle>
  <section title="Introduction">
    <t>

	Early in 2004, the IESG undertook several experiments
	aimed at evaluating whether any of the proposed changes
	to the IETF document flow process would yield
	qualitative improvements in document throughput and
	quality.  One such experiment, referred to as the "PROTO process" or "PROTO"
	(because it was created by the "PROcess and TOols" or
	<xref target="PROTO">PROTO</xref> team), is a set of methodologies
	designed to involve working group chairs or secretaries more
	directly in their documents' approval life cycle.  In
	particular, the PROTO team focused on improvements to the part of a
	document's life cycle that occurs after the working
	group and document editor have forwarded it to the IESG for publication.
     </t>
    <t>
	By the end of 2004, the IESG had evaluated the utility of
	the PROTO methodologies based on data obtained through
	several pilot projects that had run throughout the year,
	and subsequently decided to adopt the PROTO process for all documents and working groups. This document describes this process.
    </t>
    <t>
	The methodologies developed and piloted by the PROTO team
	focus on the working group chair or secretary as the primary
	Document Shepherd. The primary objective of this document shepherding process is to improve
	document-processing throughput and document quality by enabling a partnership
	between the Responsible Area Director and the Document Shepherd.
	In particular, this partnership has the explicit goal of enfranchising the
	Document Shepherd while at the same time offloading a
	specific part of the follow-up work that has
	traditionally been responsibility of the Responsible Area Director.
	The Responsible Area Director has tens or many tens of documents to	 		
   follow, while the Document Shepherd has only a few at a time.	 		
   Flowing the responsibility to the working group level can ensure more	 		
   attention and more timely response.
	
    </t>
    <t>
	Consequently, the document shepherding process includes follow-up work during all document-processing stages
	after Working Group Last Call, i.e., during AD Evaluation of a document, during
	IESG evaluation, and during post-approval processing by IANA and the RFC Editor.
	In these stages, it is the responsibility of the Document Shepherd to track and follow
	up on feedback received on a document from all relevant parties.
     </t>
    <t>
	The Document Shepherd is usually a chair of the working group
	that has produced the document. 
	In consultation with the Responsible Area Director, the chairs may instead decide to appoint the working group
	secretary as the responsible Document Shepherd.
     </t>
    <t>
	The remainder of this document is organised as follows:
	<xref target="proto.process"/> outlines the overall document shepherding
	process.  <xref target="proto.process.writeup"/>
	describes the Document Shepherd Write-Up that accompanies the publication
	request of a document. <xref target="proto.process.ad-review"/>
	describes the AD Evaluation shepherding process and <xref
	target="proto.process.discuss"/> describes IESG
	DISCUSS shepherding.  Finally, <xref
	target="proto.when-not-to"/> describes those cases in
	which the document shepherding process should not be used.
    </t>
   
  </section>

  <section title="Terminology" anchor="intro.terminology">
    <t>
	The key words "MUST", "MUST NOT", "REQUIRED", "SHALL",
	"SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED",
	"MAY", and "OPTIONAL" in this document are to be
	interpreted as described in BCP 14, RFC 2119 <xref
	target="RFC2119"/>.
    </t>
  </section>

  <section title="Process Description" anchor="proto.process">

      <t>
        The document shepherding process consists of the following tasks:
    </t>
    <t>

        <list style='symbols'>
          <t> Providing the Document Shepherd Write-Up accompanying a document that
	      is forwarded to the IESG when publication is requested, as described in
	      <xref target="proto.process.writeup"/>.
          </t>

	  <t> During AD Evaluation of the document by the Responsible Area Director, managing the discussion
	      between the editors, the working group and the Responsible Area Director, as described in 
	      <xref target="proto.process.ad-review"/>.
          </t> 

	  <t> During an IETF Last Call, if performed for the shepherded document, following up on community feedback and review comments.
          </t>  

	  <t> During IESG evaluation, following up on all IESG feedback ("DISCUSS" and "COMMENT" items)
	     related to the shepherded document, as described in 
	     <xref target="proto.process.discuss"/>.
          </t>  
          
          <t> Following up on IANA and RFC Editor requests 
              as described in <xref target="proto.process.iana"/> and <xref target="proto.process.after.approval"/>.
          </t>
        </list>

   The shepherd must keep the document moving forward, communicating
   about it with parties who review and comment it.  The shepherd must
   obtain the working group's consensus for any substantive proposed
   changes.  The shepherd is the leader for the document and for the
   working group, and maintains a critical and technical perspective.
   In summary, the Document Shepherd continues to care for a shepherded
   document during its post-WG lifetime just as he or she has done while
   responsible for the document in the working group.
    </t>
    
                <t>
   Before any document shepherding takes place, a single Document
   Shepherd MUST be identified for a document (he or she will be named
   in the Document Shepherd Write-Up) .  Frequently, the chairs and the
   Responsible Area Director will decide that the working group will
   adopt the PROTO process for all their future documents.  After that
   decision, the chairs, in consultation with the Responsible Area
   Director, decide on who should act as Document Shepherd for any given
   document.  This is typically and by default one of the chairs of the
   working group.  In consultation with the Responsible Area Director,
   the chairs MAY also decide to appoint the working group secretary as
   Document Shepherd for a given document.  The Document Shepherd SHOULD
   NOT be an editor of the shepherded document.
            </t>
	<t>
   It is intended that the Document Shepherd role is filled by one
   person during the entire shepherding process.  However, situations
   may occur when the Document Shepherd role may be reassigned to
   different persons during the lifetime of a document.  It is up to the
   chairs and Responsible Area Director to identify situations when this
   may become necessary, and then consult to appoint a new Document
   Shepherd.
	</t>
	<t>    
	 It is important to note that the document shepherding process only applies to documents that are the product of
	 a working group. It does not apply to documents that originate elsewhere. Additionally,
	 <xref target="proto.when-not-to"/> discusses other instances in which the document shepherding process does not apply.
    </t>


      <section title="Document Shepherd Write-Up"
      anchor="proto.process.writeup">

        <t>
          When a working group decides that a document is ready for submission to the IESG for publication,
	  it is the task of the Document Shepherd to complete a
	  "Document Shepherd Write-Up" for the document.
        </t>

        <t>
          There are two parts to this task.  First, the
	  Document Shepherd answers questions (1.a) to (1.j) below
	  to give the Responsible Area Director insight into the
	  working group process that applied to this document.  Note
	  that while these questions may appear redundant in some
	  cases, they are written to elicit information that the
	  Responsible Area Director must be aware of (to this end, pointers to relevant
	  entries in the WG archive are helpful).  The goal
	  here is to inform the Responsible Area Director about any issues that may have
	  come up in IETF meetings, on the mailing list, or in
	  private communication that they should be aware of
	  prior to IESG evaluation of the shepherded document.  Any
	  significant issues mentioned in the questionnaire will
	  probably lead to a follow-up discussion with the Responsible Area Director.
	</t>

        <t>
   The second part of the task is to prepare the "Document Announcement
   Write-Up" that is input to both the ballot for the IESG telechat and
   to the eventual IETF-wide announcement message.  Item number (1.k)
   describes the elements of the Document Announcement Write-Up.
</t>
<t>
   Some examples of 
   Document Announcement Write-Ups are included in <xref target="examples"/>,
   and there
   are many more examples with subject lines such as "Protocol Action" and
   "Document Action" in the IETF-announce mailing list archive.
</t>
<t>
   The initial template for the Document Shepherd Write-Up is included below, 
     but changes are expected over time. The latest version of this template is available 
    from the IESG section of the IETF web site.

          <list style="format (1.%c)">
         
            <t>
              Who is the Document Shepherd for
              this document? Has the Document Shepherd personally reviewed this version of
	      the document and, in particular, does he or she 
	      believe this version is ready for forwarding to the IESG for
	      publication?  
            </t>
         
         
            <t>
              Has the document had adequate review both from key
	      WG members and from key non-WG members?  Does the Document Shepherd have any
	      concerns about the depth or breadth of the reviews
	      that have been performed?
            </t>
         
         
            <t>
              Does the Document Shepherd have concerns that the document needs more
	      review from a particular or broader perspective,
	      e.g., security, operational complexity, someone
	      familiar with AAA, internationalization or XML?
            </t>
         
         
            <t>
              Does the Document Shepherd have any specific concerns or issues with this
	      document that the Responsible Area Director and/or the IESG
	      should be aware of?  For example, perhaps he or she is
	      uncomfortable with certain parts of the document,
	      or has concerns whether there really is a need for
	      it.  In any event, if the WG has discussed those issues
	      and has indicated
	      that it still wishes to advance the document,
	      detail those concerns here. Has an IPR disclosure related to this document been filed?
	      If so, please include a reference to the disclosure and summarize the WG discussion and conclusion on this issue.
            </t>
         
            <t>
              How solid is the WG consensus behind this document?
	      Does it represent the strong concurrence of a few
	      individuals, with others being silent, or does the
	      WG as a whole understand and agree with it?
            </t>

            <t>
	      Has anyone threatened an appeal or otherwise
	      indicated extreme discontent?  If so, please
	      summarise the areas of conflict in separate email messages
	      to the Responsible Area Director.  (It should be in a 
              separate email because this questionnaire is entered
              into the ID Tracker.)

            </t>
         
            <t>
              Has the Document Shepherd personally verified that the document satisfies all ID nits? (See
	      http://www.ietf.org/ID-Checklist.html and http://tools.ietf.org/tools/idnits/).  Boilerplate
              checks are not enough; this check needs to be thorough.   Has the document
          met all formal review criteria it needs to, such as the MIB
          Doctor, media type and URI type reviews?
            </t>
         
         
            <t>
              Has the document split its references into normative and
	      informative?  Are there normative
	      references to documents that are not ready
	      for advancement or are otherwise in an unclear
	      state?  If such normative references
              exist, what is the strategy for their
              completion?  Are there
              normative references that are downward references,
              as described in <xref target='RFC3967' />?
              If so, list these downward references to support
              the Area Director in the Last Call procedure for them <xref target='RFC3967' />.
              
            </t>

	<t>
         Has the Document Shepherd verified that the document IANA
         consideration section exists and is consistent with the body of
         the document? If the document specifies protocol extensions, are
         reservations requested in appropriate IANA registries? Are the IANA
         registries clearly identified?
         If the document creates a new registry, does it
         define the proposed initial contents of the registry and an allocation
         procedure for future registrations? Does it suggest 
         a reasonable name for the new registry? See <xref target="RFC2434"/>.
         If the document
          describes an Expert Review process has Shepherd conferred with
          the Responsible Area Director so that the IESG can appoint the
          needed Expert during the IESG Evaluation?
	</t>

<t>
Has the Document Shepherd verified that sections of the document
that are written in a formal language, such as XML code, BNF rules,
MIB definitions, etc., validate correctly in an automated checker?
</t>

            <t>
              The IESG
	      approval announcement includes a Document Announcement
   Write-Up.
	      Please provide such a Document Announcement
   Write-Up?  Recent examples can be found in the "Action" announcements
	      for approved documents. The approval announcement contains the following sections:
              <list style="hanging">
                <t hangText="Technical Summary">
            <vspace blankLines="0" />
                  Relevant content can frequently be found in the abstract
		  and/or introduction of the document.  If not,
		  this may be an indication that there are
		  deficiencies in the abstract or introduction.
                </t>
                <t hangText="Working Group Summary">
            <vspace blankLines="0" />
                  Was there
		  anything in WG process that is worth noting?
		  For example, was there controversy about
		  particular points or were there decisions where the consensus
		  was particularly rough?

                </t>

                <t hangText="Document Quality">
            <vspace blankLines="0" />
                  Are there existing implementations of the
		      protocol? 
                      Have a significant number of vendors
		      indicated their plan to implement the
		      specification?
                      Are there any reviewers that merit special
		      mention as having done a thorough review,
		      e.g., one that resulted in important changes
		      or a conclusion that the document had no
		      substantive issues?
		      If there was a MIB
 Doctor, Media Type or other expert review, what was
 its course (briefly)?  In the case of a Media Type review, on what
 date was the request posted?
                </t>

                <t hangText="Personnel">
            <vspace blankLines="0" />
		      Who is the Document Shepherd for this document? Who
		      is the Responsible Area Director?
                </t>
              </list>
            </t>

          </list>
        </t>

        <t>
   The Document Shepherd MUST send the Document Shepherd Write-Up to the
   Responsible Area Director and iesg-secretary@ietf.org together with
   the request to publish the document.  The Document Shepherd SHOULD
   also send the entire Document Shepherd Write-Up to the working
   group mailing list.  If the Document Shepherd feels that information which may prove to
   be sensitive, lead to possible appeals or is personal information needs to be written up, it SHOULD be sent in direct email to the Responsible Area Director, because the Document
   Shepherd Write-Up is published openly in the ID Tracker.
   Question (1.f) of the
   Write-Up covers any material of this nature and specifies this more
   confidential handling.

          </t>
          <t>
          The Document Shepherd Write-Up is entered into the <xref target="IDTRACKER">ID Tracker</xref> as a "Comment."
           The name and email address of the Document
          Shepherd are entered into the ID Tracker, currently as a "Brief Note" (this may change in the future). The email address of the Document Shepherd MUST also be added to the "State or Version Change Notice To" field (typically the email addresses of all working
   group chairs, authors and the secretary will be added).
          </t>
          <t>
   Entering the name and email of the Document Shepherd into the ID
   Tracker is REQUIRED to ensure that he or she will be copied on the
   email exchange between the editors, chairs, the IESG, the IESG
   secretariat, IANA and the RFC Editor during the review and approval
   process.  There are still manual steps required for these parties to
   ensure they include the Document Shepherd, but it is hoped that in
   future, automated tools will ensure that Document Shepherds (and
   others) receive necessary communications.
          </t>
          <t>

   The contact information for the Document Shepherd is also important
   for the <xref target="GEN-ART">Gen-ART team</xref>, area directorates and other review teams, so they
   can know to whom to address reviews, in addition to the Responsible
   Area Director.
</t>

      </section>

      <section title="Document Shepherding during AD Evaluation" anchor="proto.process.ad-review">
        <t>
          The steps for document shepherding during AD Evaluation are as follows:

          <list style="format (2.%c)">
            <t>
		The Responsible Area Director reads, evaluates and comments on the document,
		as is the case when not using the document shepherding process. If the Responsible Area Director determines that the
		document is ready for IESG Evaluation, he or she indicates this to the Document Shepherd
		and the document shepherding process continues as described in <xref target="proto.process.discuss"/>.
            </t>
            <t>
		If the Responsible Area Director has identified issues with a document that must be addressed before IESG Evaluation can commence, he or she sends a full evaluation to the Document Shepherd and SHOULD
		also enter the review into the ID Tracker.

            </t>
            <t>

		The Document Shepherd reads the AD
		Evaluation comments, making very certain that all
		comments are understood, so that it is possible
		to follow up on them with the editors and working
		group.  If there is some uncertainty as to what is
		requested, this SHOULD be resolved with the Responsible Area
		Director.

            </t>
            <t>

		The Document Shepherd sends the AD Evaluation comments to
		the editors and to the working group mailing
		list, in order to have a permanent record of the
		comments.  It is RECOMMENDED that the Document Shepherd
		solicit from the editors an estimate on when
		the required changes will be complete and a revised
		document can be expected.
		Working groups that use issue tracking SHOULD
		also record the issues (and eventually their
		resolution) in their issue tracker.
            </t>
            <t>
		During the production of a revised document that addresses the AD Evaluation comments, it is  RECOMMENDED
		that the editors keep a list showing how each
		comment was addressed and what the revised
		text is. It is RECOMMENDED that this list
		be forwarded to the Responsible Area Director
		together with the revised document.   
            </t>
            <t>
		In the event that the editors or working group disagrees
		with a comment raised by the Responsible Area Director or has previously
		considered and dismissed the issue, the
		Document Shepherd MUST resolve the issue with
		the Responsible Area Director before a revised document can be submitted.
            </t>
            <t>
		The Document Shepherd iterates with the
		editors (and working group, if required) until all
		outstanding issues have been resolved and a
		revised document is available.  At this point,
		the Document Shepherd notifies the Responsible Area Director and provides him or her with the revised document, the summary of issues and the resulting text changes.

            </t>
            <t>
		The Responsible Area Director verifies that the issues he or she
		found during AD Evaluation are resolved in the
		revised version of the document by starting the process described in this section at step (2.a). 
            </t>
            
            <t>
            If the document underwent an IETF Last Call and the AD
           concludes that significant issues were raised during
           the Last Call, then steps (2.b) through (2.h) need to be applied 
  addressing the Last Call issues.  This requires the Responsible
  Area Director to present to the Document Shepherd those Last Call
  Issues raised only to the IESG.
            </t>
            
          </list>

        </t>
      </section>
      <section title="Document Shepherding during IESG Evaluation" anchor="proto.process.discuss">
        <t>
		During IESG Evaluation of a document, ADs can bring forward two kinds of remarks about a document: DISCUSS item and COMMENT items. A DISCUSS blocks a document's approval process until it has been resolved; a COMMENT does not. 
		This section details the steps that a
		Document Shepherd takes to resolve any DISCUSS and COMMENT items brought forward against a shepherded document during IESG Evaluation.
</t>
<t>		Note that DISCUSS and COMMENT items are occasionally written in a
		manner that makes their intent unclear.
		In these cases, the Document Shepherd SHOULD start a discussion with the ADs who brought the items up
		to clarify their intent, keeping the
		Responsible Area Director informed.
		If this fails to clarify the intent, the Responsible Area Director 
		may need to work towards a clarification inside the IESG.
          <list style="format (3.%c)">
            <t>
                Leading up to the IESG conference
                call, the Document Shepherd may see emails
                about the document from directorate reviewers
                on behalf of one or more ADs and also emailed
                copies of DISCUSS and COMMENT items entered into the ID Tracker.
                The Document Shepherd SHOULD immediately begin
                to work on resolving DISCUSS and COMMENT items with the
                ADs who have raised them, keeping the Responsible Area Director
                copied on the email exchange, so that he or she is able to support the
                the activity during the conference call.  When
                dealing with directorate reviews, the Document
                Shepherd MUST involve the ADs to whom
                these directorates report to ensure that these ADs
                consider the review comments that need resolving.

            </t><t>
		Immediately following the conference call,
		when the document changes state from the
		"IESG Evaluation" state to one of the states
		requiring Document Shepherd action, e.g., "IESG
		Evaluation: Revised ID Needed" or "IESG Evaluation:
		AD Followup", the Document Shepherd will receive email.  
		A state of "AD Followup"
                typically signifies the Responsible Area Director's hope
                that a resolution may be possible through a continued discussion
                or (more usually) through a small set of changes as "Notes to the RFC Editor."

            <vspace blankLines="1" />


		Note that there may be very exceptional cases when
		DISCUSS items are registered after an IESG
		conference call.  In these cases, the AD who has raised the DISCUSS MUST notify the Document Shepherd about it. (The 
                notification facility in the ID Tracker is very convenient for
                this purpose and also for the cases where the
                DISCUSS and COMMENT items are updated after they are partially
                resolved.)
            </t><t>

		The Document Shepherd then queries the ID Tracker to collect the
		remaining DISCUSS and COMMENT items raised against the document.  
		The Document Shepherd analyses these items and initialises contact with the
		ADs who have placed them.  The Responsible Area
		Director MUST be copied on all correspondence related to active DISCUSS or COMMENT items.
		This does
                not place the Responsible Area Director in the critical path towards a resolution, but
                should keep him or her informed about the state of the discussion.

<figure> <artwork> <![CDATA[
       +-------+              +-------+               +-------+
       | (3.b) | -----------> | (3.c) | ------------> | (3.d) |
       +-------+  Comments    +-------+   Comments    +-------+
                  collected    /|\  |    understood
                                |   | 
                                |   | Comments not fully understood
                                |   | (Further AD/Document Shepherd
                                |   |  discussion required)
                                +---+
]]> </artwork> </figure>
	
            </t>

	<t>
            The Document Shepherd then coordinates the resolution of DISCUSS and COMMENT
	    items and builds a consistent interpretation of
	    the comments.  This step is similar to much of the process described in
	    <xref target="proto.process.ad-review"/>.  

<figure> <artwork> <![CDATA[
       +-------+                  +-------+
       | (3.c) | ---------------> | (3.d) |
       +-------+    Consistent    +-------+
          /|\     interpretation      |
           |                          | Further AD/Document Shepherd
           |                          | discussion required
           +--------------------------+
]]> </artwork> </figure>

            </t>

	    <t>

		The Document Shepherd then communicates the DISCUSS and COMMENT items
		to the document editors and the working group, alerting them of any
		changes to the document that have accumulated during IESG processing,
		such as "Notes to the RFC Editor."
If any changes will be substantive, the Document
          Shepherd, in consultation with the Responsible Area Director,
          as during other stages, MUST confirm working group consensus or sometimes even IETF consensus.
            </t>

            <t>

		After the editors resolve the DISCUSS and COMMENT items,
		the Document Shepherd reviews the
		resulting new version of the document, which will be a revised document,
		a set of "Notes to the RFC Editor", or both, using his or her technical expertise to ensure
		that all raised DISCUSS and COMMENT issues have been resolved.
	
            <vspace blankLines="1" />

		Note that the Document Shepherd MAY also
		suggest resolutions to DISCUSS and COMMENT items, enter them into
		an issue tracker, or perform other steps to streamline
		the resolution of the evaluation comments.  It is very important to
                resolve the comments in a timely way, while the
                discussion is current for everyone involved.  


            </t>
            <t>

            When the Document Shepherd is satisfied that the revised document
            addresses the evaluation comments, he or she communicates the
	    resolution to the Responsible Area Director and the
	    ADs that had raised the DISCUSS and COMMENT items.

            </t><t>

            Each AD who had raised a DISCUSS checks whether the communicated
            resolution addresses his or her items. If it does, the AD
            will clear the DISCUSS. It it does not, the AD notifies the
	    Document Shepherd and adds information to the ID
	    Tracker explaining why the DISCUSS was not resolved.
	    The Document Shepherd informs the working group
	    accordingly. (COMMENT items need not be checked and cleared, because they do
            not block the document, but ADs are encouraged to do so.)

            <vspace blankLines="1" />

            If a DISCUSS was not resolved
	    to the satisfaction of the AD that has raised it or the
	    Responsible Area Director, two possibilities exist:
	   
            <list style="format   (%c)">
              <t>
                The process returns to step (3.d), or
              </t><t>

	        If no progress can be made on the resolution of
		the DISCUSS with the AD who has raised it, despite
		repeated clarifications and discussions,
		the Responsible Area Director should take over
		continued shepherding of the document. Such a situation
		may be indicative of larger issues that the PROTO process
		was not designed to handle.</t>
              
            </list>

            Once the process above has cleared all DISCUSS items, document shepherding continues with step (3.i).

            </t><t>
The Responsible Area Director moves the document to the
          "Approved - Announcement to be sent" state in the ID Tracker.
          If he or she deems the changes to the revised document
          significant, there may be a new WG last call, or possibly a
          new IETF last call.  The document goes through a new full IESG
          Evaluation process if there is a new IETF last call.            </t>
          </list>
        </t>
      </section>
    </section>


      <section title="Shepherding the Document's IANA Actions" anchor="proto.process.iana">
        <t>
   IETF working group documents often include considerations requiring
   actions by the IANA, such as creating a new registry or adding
   information to an existing registry, perhaps after consulting an
   IESG-appointed Expert.  Sometimes, the IESG requires actions, such as appointment of a new Expert.  IANA-related processing
   may also include a specified type of Expert review, such as review of
   proposed MIME media types on the designated ietf-types mailing list.
        </t>
        <t>
   The IANA reviews IETF documents and requests responses at any or all
   of the following times: in response to IETF Last Call, during the
   IESG Evaluation review of the document, and at the time when the IANA
   performs actions in its web-based registry for the document, usually
   but not always after IESG approval of the document.  More details of
   the IANA process and IETF interaction are found in
   <xref target="RFC2434"/>.
        </t>
        <t>
At the time of this publication, RFC2434 is under revision
<xref target="I-D.narten-iana-considerations-rfc2434bis"/> and
the updates are and will be of value to the Document Shepherd.
Note that Document Shepherd MUST determine (by individual review
and consultation with others) what is the most recent and the most
applicable IANA information and guidance for his or her document,
be it the overall guidance, or external documents in his or her area,
or in other areas.  An example of an external document is <xref target="RFC4020"/>.
        </t>
        <t>
   Whenever an IANA request comes, during whatever phase of the shepherding process, the requester
   from IANA MUST ensure that the Document Shepherd and the Responsible
   Area Director both receive the request.  The Document Shepherd is
   responsible for responding as rapidly as possible.  He or she should
   discuss requests that introduce any possible concerns with the
   working group.  The Document Shepherd and the Responsible Area
   Director may decide in consultation that an IANA request leads to a
   change that needs additional review or approval.
        </t>
        <t>
   In general, the Document Shepherd ensures that the IANA process
   completes, checks that the registry is correct and that the IANA
   Matrix (http://www.iana.org/numbers.html) is complete and consistent, and
   troubleshoots when all is not well.  At the end of IANA processing,
   the Document Shepherd should be sure that the RFC Editor has
   acknowledged IANA conclusion, i.e., that the handoff has been made.
        </t>
        <t>
   In summary, the task of shepherding the IANA actions is often overlooked,
   but is as important to coordinate and manage as all the other
   document reviews the Document Shepherd has managed.  As with those,
   the Document Shepherd contributes greatly to quality and timeliness
   of the document by effective and responsive shepherding of the IANA
   requests.
        </t>
      </section>

      <section title="Document Shepherding after IESG Approval" anchor="proto.process.after.approval">
        <t>
   After the IESG evaluation and resolution described in <xref target="proto.process.discuss"/>,
   the IESG approves the document, and the Responsible Area Director
   uses the ID Tracker to ask for any final changes to the Document
   Announcement Write-Up and for it to be issued.  The Document
   Shepherd may have some edits for the Responsible Area Director, such
   as minor "Notes to the RFC Editor", and this is the time to consult and
   provide them.
        </t>
        <t>
   The IESG approval announcement goes to the general community and to the RFC Editor,
   and now the Document Shepherd (identified in the Announcement
   Write-Up) continues to shepherd the document through its technical
   publication.  The RFC Editor currently makes a number of types of
   requests to the authors, Document Shepherd and Responsible Area
   Director.  The Document Shepherd SHOULD lead in responding to the RFC
   Editor and shepherd the document during the post-approval period to its
   publication.
        </t>
        <t>
     The RFC Editor
   request types include: editorial queries about dangling, missing,
   informative and normative citations (good shepherding should try to
   catch these earlier, but they happen); requests for the document source (e.g.,
   XML or nroff); occasional technical comments; and copy-edits for review and
   close scrutiny by the authors (AUTH48).  For the latter, the Document
   Shepherd SHOULD lead in checking that copy-edits have in no case
   affected a consensus wording of the working group which prepared the
   document, and SHOULD bring speed to this checking by multiple coauthors.  The Document Shepherd also consults with the Responsible
   Area Director on reviewing proposed post-approval changes to the
   document by any author.  These may require Area Director approval,
   and they often need to be presented to the working group for consent
   if not a full consensus procedure.
        </t>
        <t>   
     As in other phases of document
   shepherding, the Document Shepherd provides attentiveness and timeliness
   by serving as the informed representative of the document and helping
   its advancement and its integrity.
        </t>
      </section>


    <section title="When Not to Use the Document Shepherding Process" anchor="proto.when-not-to">
      <t>
	As mentioned in <xref target="proto.process"/>, the Document Shepherd SHOULD NOT be an editor of the shepherded document. If this cannot be avoided by making another working group chair or secretary the Document Shepherd, the document shepherding process SHOULD NOT be used. There are several other cases in which the document shepherding process SHOULD NOT be used.  These include:
        <list style='numbers'>
        <t> Cases, where the Document Shepherd is the primary
	    author or editor of a large percentage of the
	    documents produced by the working group.
        </t>
        <t> Cases, where the Responsible Area Director
	    expects communication difficulties with the Document Shepherd
	    (either due to experience, strong views stated by the
	    Document Shepherd, or other issues).
        </t>
        <t> Cases, where the working group itself is
	    either very old, losing energy, or winding
	    down, i.e., cases, where it would not be
	    productive to initiate new processes or procedures.
        </t>
        </list>

	Finally, note that other cases exist in which using the document shepherding process may not be productive.
	The final determination as to whether to
	use the document shepherding process or not is left to the Responsible
	Area Director. If the document shepherding process is not used, the Responsible Area Director
	acts as Document Shepherd, per the existing procedures of shepherding by Area Directors.

      </t>
    </section>

  <?rfc needLines="6" ?>

  <section title="Security Considerations" anchor="security">
    <t>

      This document specifies a change to IETF document-processing
      procedures.  As such, it neither raises nor considers
      protocol-specific security issues.

    </t>
  </section>

  <section title="IANA Considerations">
  <t>

	This document creates no new requirements on IANA
	namespaces or other IANA requirements.

  </t>
  </section>

  <section title="Acknowledgments" anchor="ack">
    <t>

	This document is the product of PROTO team, which
	includes the authors as well as Bill Fenner,
	Barbara Fuller, and Margaret Wasserman. Aaron Falk worked actively in PROTO until the start of
   2006 and worked on earlier versions of the document.

    </t>
    
    <t>
    
 The Document Shepherd Write-Up originated in an idea by John Klensin.
 Thomas Narten and Margaret Wasserman implemented it for the entire Internet
 Area, and their template was the basis of the version used today.
</t>

<t>
Colin Perkins wrote the original Document Announcement Write-Up for draft-ietf-avt-rtp-midi-format included in <xref target="example1"/>. David Black wrote the original Document Announcement Write-Up for draft-ietf-imss-ip-over-fibre-channel included in <xref target="example2"/>. Both original announcements have been modified to reflect changes to the Document Announcement Write-Up template since they were written.
</t>

<t>
Frank Ellermann and Olafur Gudmundsson have suggested improvements to the document during IETF Last Call.
</t>
  </section>

</middle>


<back>
  <references title='Informative References'>
    <?rfc include="reference.RFC.4020" ?>
    <?rfc include="reference.RFC.2434" ?>
    <!--<?rfc include="reference.RFC.2026" ?>-->
    <?rfc include="reference.RFC.2119" ?>
    <!--<?rfc include="reference.RFC.2418" ?>-->
    <?rfc include="reference.RFC.3967" ?>
    <!--<?rfc include="reference.I-D.iesg-discuss-criteria" ?>-->
    <?rfc include="reference.I-D.narten-iana-considerations-rfc2434bis" ?>
    
    <reference anchor='IDTRACKER'>
      <front>
        <title>The IETF Internet-Draft Tracker</title>
        <author>
          <organization/>
        </author>
	<date year="2002" />
      </front>
      <seriesInfo name="Web Application:" value='https://datatracker.ietf.org/' />
    </reference>
    <reference anchor='PROTO'>
      <front>
        <title>The IESG PROcess and TOols (PROTO) Team</title>
        <author>
          <organization/>
        </author>
	<date year="2004" />
      </front>
      <seriesInfo name="Web Page:" value='http://psg.com/~mrw/PROTO-Team' />
    </reference>
    <reference anchor='GEN-ART'>
      <front>
        <title>The General Area Review Team (GEN-ART)</title>
        <author>
          <organization/>
        </author>
	<date year="2005" />
      </front>
      <seriesInfo name="Web Page:" value='http://www.alvestrand.no/ietf/gen/review-guidelines.html' />
    </reference>
  <!--
  <references title='Informative References'>
    <reference anchor='anchor'>
      <front>
        <title abbrev='abbrev'>title</title>
        <author initials='a.' surname='name' fullname=3D'Anon Name'>
          <organization>organisation</organization>
          <address>
            <postal>
              <street>street</street>
              <city>city</city>
              <region>region</region>
              <code>zipcode</code>
              <country>country</country>
            </postal>
          </address>
        </author>
        <date month='month' day='1' year=3D'year' />
      </front>
      <seriesInfo name='RFC' value='xxx' />
      <format type='TXT' target='ftp://ftp.isi.edu/in-notes/rfc793.txt' />
    </reference>
  -->
  </references>

  <section anchor="examples" title="Example Document Announcement Write-Ups">
	<t>
	This appendix includes two examples of 
   Document Announcement Write-Ups. Many more examples with Subject lines such as "Protocol Action" and
   "Document Action" can be found in the IETF-announce mailing list archive.
	</t>
	
  <section anchor="example1" title="Example Document Announcement Write-Up for draft-ietf-avt-rtp-midi-format">
  <t>
              <list style="hanging">
                <t hangText="Technical Summary">
            <vspace blankLines="1" />
These documents define the RTP Payload format for MIDI (Musical 
Instrument Digital Interface), and additional
guidelines on implementation specifically concerning the timing of
reception and transmission for best performance in different
applications. MIDI is a real-time media, which however is brittle to
losses and errors. Therefore the RTP payload format defines recovery
journals as a way of avoiding persistent audible errors, and discusses
congestion control handling for these journals.

            <vspace blankLines="1" />

The RTP payload for MIDI encodes the broad range of MIDI commands.
The format is suitable for interactive applications 
(such as network musical performance) and content-delivery
(such as file streaming).   
                </t>
                <t hangText="Working Group Summary">
            <vspace blankLines="1" />
There is consensus in the WG to publish these documents.
                </t>

                <t hangText="Document Quality">
            <vspace blankLines="1" />
This RTP Payload format has been implemented during the development of
the specification and successfully tested over an IP network between two
remote sites, thus showing that the technical solution is successfully
working. It has been reviewed by the MIDI Manufacturers Association and
their comments have been addressed.
                </t>

                <t hangText="Personnel">
            <vspace blankLines="1" />
Magnus Westerlund and Colin Perkins jointly shepherded this document.  Allison Mankin reviewed the document
for the IESG, including a careful review with the editor of the media
types, in parallel with ietf-types list review requested on
2006-01-08, which raised no issues.
                </t>
              </list>
	</t>
  </section>

  <section anchor="example2" title="Example Document Announcement Write-Up for draft-ietf-imss-ip-over-fibre-channel">
  <t>
              <list style="hanging">
                <t hangText="Technical Summary">
            <vspace blankLines="1" />
  This document specifies the encapsulation of IPv6, IPv4 and ARP 
  packets over Fibre Channel.  This document also specifies the methods
  for forming IPv6 link-local addresses and statelessly autoconfigured 
  IPv6 addresses on Fibre Channel networks, and a mechanism to perform 
  IPv4 address resolution over Fibre Channel networks. This document
  (when published as RFC) obsoletes RFC2625 and RFC3831.
                </t>
                <t hangText="Working Group Summary">
            <vspace blankLines="1" />
  This document has been reviewed by Fibre Channel experts in
  Technical Committee T11 (Fibre Channel standards organization)
  in addition to members of the IMSS WG. There is solid support
  for this document both in the WG and from T11.
                </t>

                <t hangText="Document Quality">
            <vspace blankLines="1" />
  This document replaces and consolidates two separate RFCs on IPv4 over
  Fibre Channel (RFC 2625) and IPv6 over Fibre Channel (RFC 3831).  Most
  of its technical content is unchanged from those RFCs.  The technical
  changes that have been made are primarily based on implementation
  experience.
                </t>

                <t hangText="Personnel">
            <vspace blankLines="1" />
  The protocol has been reviewed for the IESG by David L. Black
  (WG chair). Bert Wijnen has reviewed this document for the IESG.
  In addition, Brian Haberman has done a review for the INT Area
  as requested by WG-chair (David Black) via Margaret Wasserman.
                </t>
              </list>
	</t>
  </section>

  </section>
</back>
</rfc>


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<!--  LocalWords:  vspace blankLines DISCUSSing SWGC's AD's CDATA RADs PM's -->
<!--  LocalWords:  WGCs SWGCs needLines speeded Mankin Fenner IANA namespaces -->
<!--  LocalWords:  seriesInfo organisation zipcode organised summarise analyses -->
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