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INFORMATIONAL
Network Working Group                                          R. SparksRequest for Comments: 4321                              Estacado SystemsCategory: Informational                                     January 2006Problems Identified Associated with theSession Initiation Protocol's (SIP) Non-INVITE TransactionStatus of This Memo   This memo provides information for the Internet community.  It does   not specify an Internet standard of any kind.  Distribution of this   memo is unlimited.Copyright Notice   Copyright (C) The Internet Society (2006).Abstract   This document describes several problems that have been identified   with the Session Initiation Protocol's (SIP) non-INVITE transaction.Table of Contents1. Problems under the Current Specifications .......................21.1. NITs must complete immediately or risk losing a race .......2      1.2. Provisional responses can delay recovery from lost           final responses ............................................31.3. Delayed responses will temporarily blacklist an element ....41.4. 408 for non-INVITE is not useful ...........................61.5. Non-INVITE timeouts doom forking proxies ...................71.6. Mismatched timer values make winning the race harder .......72. Security Considerations .........................................83. Acknowledgements ................................................84. Informative References ..........................................9Sparks                       Informational                      [Page 1]

RFC 4321                SIP Non-INVITE Problems             January 20061.  Problems under the Current Specifications   There are a number of unpleasant edge conditions created by the SIP   non-INVITE transaction (NIT) model's fixed duration.  The negative   aspects of some of these are exacerbated by the effect that   provisional responses have on the non-INVITE transaction state   machines as currently defined.1.1.  NITs must complete immediately or risk losing a race   The non-INVITE transaction defined inRFC 3261 [1] is designed to   have a fixed and finite duration (dependent on T1).  A consequence of   this design is that participants must strive to complete the   transaction as quickly as possible.  Consider the race condition   shown in Figure 1.                         UAC           UAS                          |   request   |                     ---  |---.         |                      ^   |    `---.    |                      |   |         `-->|  ---                      |   |             |   ^                      |   |             |   |                    64*T1 |             |   |                      |   |             |   |                      |   |             | 64*T1                      |   |             |   |                      |   |             |   |                      v   |             |   |        timeout <=== ---  |   200 OK    |   |                          |         .---|   v                          |    .---'    |  ---                          |<--'         |                Figure 1: Non-Invite Race Condition   The User Agent Server (UAS) in this figure believes it has responded   to the request in time, and that the request succeeded.  The User   Agent Client (UAC), on the other hand, believes the request has   timed-out, hence failed.  No longer having a matching client   transaction, the UAC core will ignore what it believes to be a   spurious response.  As far as the UAC is concerned, it received no   response at all to its request.  The ultimate result is that the UAS   and UAC have conflicting views of the outcome of the transaction.Sparks                       Informational                      [Page 2]

RFC 4321                SIP Non-INVITE Problems             January 2006   Therefore, a UAS cannot wait until the last possible moment to send a   final response within a NIT.  It must, instead, send its response so   that it will arrive at the UAC before that UAC times out.   Unfortunately, the UAS has no way to accurately measure the   propagation time of the request or predict the propagation time of   the response.  The uncertainty it faces is compounded by each proxy   that participates in the transaction.  Thus, the UAS's only choice is   to send its final response as soon as it possibly can and hope for   the best.   This result constrains the set of problems that can be solved with a   single NIT.  Any delay introduced during processing of a request   increases the probability of losing the race.  If the timing   characteristics of that processing are not predictable and   controllable, a single NIT is an inappropriate model for handling the   request.  One viable alternative is to accept the request with a 202   and send the ultimate results in a new request in the reciprocal   direction.   In specialized networks, a UAS might have some reliable knowledge of   inter-hop latency and could use that knowledge to determine if it has   time to delay its final response in order to perform some processing   such as a database lookup while mitigating its risk of losing the   race in Figure 1.  Establishing this knowledge across arbitrary   networks (perhaps using resource reservation techniques and   deterministic transports) is not currently feasible.1.2.  Provisional responses can delay recovery from lost final responses   The non-INVITE client transaction state machine provides reliability   for NITs over unreliable transports (UDP) through retransmission of   the request message.  Timer E is set to T1 when a request is   initially transmitted.  As long as the machine remains in the Trying   state, each time Timer E fires, it will be reset to twice its   previous value (capping at T2) and the request is retransmitted.   If the non-INVITE client transaction state machine sees a provisional    response, it transitions to the Proceeding state, where   retransmission continues, but the algorithm for resetting Timer E is   simply to use T2 instead of doubling at each firing.  (Note that   Timer E is not altered during the transition to Proceeding.)   Making the transition to the Proceeding state before Timer E is reset   to T2 can cause recovery from a lost final response to take extra   time.  Figure 2 shows recovery from a lost final response with and   without a provisional message during this window.  Recovery occurs   within 2*T1 in the case without the provisional.  With the   provisional, recovery is delayed until T2, which by default is 8*T1.Sparks                       Informational                      [Page 3]

RFC 4321                SIP Non-INVITE Problems             January 2006   In practical terms, a provisional response to a NIT in currently   deployed networks can delay transaction completion by up to 3.5   seconds.                 UAC       UAS               UAC        UAS                  |         |                 |          |            ---   |----.    |            ---  |----.     |             ^    |     `-->|             ^   |     `--->|         E = T1   |         |         E = T1  |    .-----|(provisional)             v    |         |             v   |<--'      |            ---   |----.    |            ---  |----.     |             ^    |     `-->|             ^   |     `--->|             |    |   X<----|(lost final) |   |   X<-----|(lost final)             |    |         |             |   |          |         E = 2*T1 |         |             |   |          |             |    |         |             |   |          |             |    |         |             |   |          |             v    |         |             |   |          |            ---   |----.    |             |   |          |                  |     `-->|             |   |          |                  |   .-----|(final)      |   |          |                  |<-'      |             |   |          |                  |         |             |   |          |                 \/\       /\/           /\/ /\/        /\/                                      E = T2                 \/\       /\/           /\/ /\/        /\/                  |         |             |   |          |                  |         |             v   |          |                  |         |            ---  |----.     |                  |         |                 |     `--->|                  |         |                 |    .-----|(final)                  |         |                 |<--'      |                  |         |                 |          |                   Figure 2: Provisionals Can Harm Recovery   No additional delay is introduced if the first provisional response   is received after Timer E has reached its maximum reset interval of   T2.1.3.  Delayed responses will temporarily blacklist an element   A SIP element's use of DNS Service Record Resource Records [3] is   specified inRFC 3263 [2].  That specification discusses how SIP   ensures high availability by having upstream elements detect failure   of downstream elements.  It proceeds to define several types of   failure detection and instructions for failover.  Two of the   behaviors it describes are important to this document:Sparks                       Informational                      [Page 4]

RFC 4321                SIP Non-INVITE Problems             January 2006   o  Within a transaction, transport failure is detected either through      an explicit report from the transport layer or through timeout.      Note specifically that timeout will indicates transport failure      regardless of the transport in use.  When transport failure is      detected, the request is retried at the next element from the      sorted results of the SRV query.   o  Between transactions, locations reporting temporary failure      (through 503/Retry-After, for example) are not used until their      requested black-out period expires.   The specification notes the benefit of caching locations that are   successfully contacted, but does not discuss how such a cache is   maintained.  It is unclear whether an element should stop using   (temporarily blacklist) a location returned in the SRV query that   results in a transport error.  If it does, when should such a   location be removed from the blacklist?   Without such a blacklist (or equivalent mechanism), the intended   availability mechanism fails miserably.  Consider traffic between two   domains.  Proxy pA in domain A needs to forward a sequence of non-   INVITE requests to domain B.  Through DNS SRV, pA discovers pB1 and   pB2, and the ordering rules of [2] and [3] indicate it should use pB1   first.  The first request to pB1 times out.  Since pA is a proxy and   a NIT has a fixed duration, pA has no opportunity to retry the   request at pB2.  If pA does not remember pB1's failure, the second   request (and all subsequent non-INVITE requests until pB1 recovers)   are doomed to the same failure.  Caching would allow the subsequent   requests to be tried at pB2.   Since miserable failure is not acceptable in deployed networks, we   should anticipate that elements will, in fact, cache timeout failures   between transactions.  Then the race in Figure 1 becomes important.   If an element fails to respond "soon enough", it has effectively not   responded at all and will be blacklisted at its peer for some period   of time.   (Note that even with caching, the first request timeout results in a   timeout failure all the way back to the original submitter.  The   failover mechanisms in [2] work well to increase the resiliency of a   given INVITE transaction, but do nothing for a given non-INVITE   transaction.)Sparks                       Informational                      [Page 5]

RFC 4321                SIP Non-INVITE Problems             January 20061.4.  408 for non-INVITE is not useful   Consider the race condition in Figure 1 when the final response is   408 instead of 200.  Under the current specification, the race is   guaranteed to be lost.  Most existing endpoints will emit a 408 for a   non-INVITE request 64*T1 after receiving the request if they have not   emitted an earlier final response.  Such a 408 is guaranteed to   arrive at the next upstream element too late to be useful.  In fact,   in the presence of proxies, these messages are even harmful.  When   the 408 arrives, each proxy will have already terminated its   associated client transaction due to timeout.  Therefore, each proxy   must forward the 408 upstream statelessly.  This, in turn, is   guaranteed to arrive too late.  As Figure 3 shows, this can   ultimately result in bombarding the original requester with spurious   408s.  (Note that the proxy's client transaction state machine never   enters the Completed state, so Timer K does not enter into play.)                     UAC        P1         P2         P3         UAS                      |          |          |          |          |                ---  ===---.     |          |          |          |                 ^    |     `-->===---.     |          |          |                 |    |          |     `-->===---.     |          |                 |    |          |          |     `-->===---.     |               64*T1  |          |          |          |     `-->===                 |    |          |          |          |          |                 |    |          |          |          |          |                 v    |          |          |          |          |      (timeout) ---  ===         |          |          |          |                      |    .-408===         |          |          |                      |<--'      |    .-408===         |          |                      |    .-408-|<--'      |    .-408===         |                      |<--'      |    .-408-|<--'      |    .-408===                      |    .-408-|<--'      |    .-408-|<--'      |                      |<--'      |    .-408-|<--'      |          |                      |    .-408-|<--'      |          |          |                      |<--'      |          |          |          |                      |          |          |          |          |                     Figure 3: Late 408s to Non-INVITEs   This response bombardment is not limited to the 408 response, though   it only exists when participating client transaction state machines   are timing out.  Figure 4 generalizes Figure 1 to include multiple   hops.  Note that even though the UAS responds "in time" to P3, the   response is too late for P2, P1, and the UAC.Sparks                       Informational                      [Page 6]

RFC 4321                SIP Non-INVITE Problems             January 2006                     UAC        P1         P2         P3         UAS                      |          |          |          |          |                ---  ===---.     |          |          |          |                 ^    |     `-->===---.     |          |          |                 |    |          |     `-->===---.     |          |                 |    |          |          |     `-->===---.     |               64*T1  |          |          |          |     `-->===                 |    |          |          |          |          |                 |    |          |          |          |          |                 v    |          |          |          |          |      (timeout) ---  ===         |          |          |          |                      |    .-408===         |          |    .-200-|                      |<--'      |    .-408===   .-200-|<--'      |                      |    .-408-|<--'.-200-|<--'     ===         |                      |<--'.-200-|<--'      |          |         ===                      |<--'      |          |          |          |                      |          |          |          |          |                  Figure 4: Additional Timeout-Related Error1.5.  Non-INVITE timeouts doom forking proxies   A single branch with a delayed or missing final response will   dominate the processing at proxy that receives no 2xx responses to a   forked non-INVITE request.  This proxy is required to allow all of   its client transactions to terminate before choosing a "best   response".  This forces the proxy's server transaction to lose the   race in Figure 1.  Any response it ultimately forwards (a 401, for   example) will arrive at the upstream elements too late to be used.   Thus, if no element among the branches would return a 2xx response,   failure of a single element (or its transport) dooms the proxy to   failure.1.6.  Mismatched timer values make winning the race harder   There are many failure scenarios due to misconfiguration or   misbehavior that the SIP specification does not discuss.  One is   placing two elements with different configured values for T1 and T2   on the same network.  Review of Figure 1 illustrates that the race   failure is only made more likely in this misconfigured state (it may   appear that shortening T1 at the element behaving as a UAS improves   this particular situation, but remember that these elements may trade   roles on the next request).  Since the protocol provides no mechanism   for discovering/negotiating a peer's timer values, exceptional care   must be taken when deploying systems with non-defaults to ensure that   they will never directly communicate with elements with default   values.Sparks                       Informational                      [Page 7]

RFC 4321                SIP Non-INVITE Problems             January 20062.  Security Considerations   This document describes some problems in the core SIP specification   [1] related to the SIP non-INVITE requests, the messages other than   INVITE that begin transactions.  A few of the problems lead to   flooding or forgery risk, and could possibly be exploited by an   adversary in a denial of service attack.  Solutions are defined in   the companion document [4].   One solution there prohibits proxies and User Agents from sending 408   responses to non-INVITE transactions.  Without this change, proxies   automatically generate a storm of useless responses.  An attacker   could capitalize on this by enticing User Agents to send non-INVITE   requests to a black hole (through social engineering or DNS   poisoning) or by selectively dropping responses.   Another solution prohibits proxies from forwarding late responses.   Without this change, an attacker could easily forge messages which   appear to be late responses.  All proxies compliant withRFC 3261 are   required to forward these responses, wasting bandwidth and CPU and   potentially overwhelming target User Agents (especially those with   low speed connections).3.  Acknowledgements   This document captures many conversations about non-INVITE issues.   Significant contributers include Ben Campbell, Gonzalo Camarillo,   Steve Donovan, Rohan Mahy, Dan Petrie, Adam Roach, Jonathan   Rosenberg, and Dean Willis.Sparks                       Informational                      [Page 8]

RFC 4321                SIP Non-INVITE Problems             January 20064. Informative References   [1]  Rosenberg, J., Schulzrinne, H., Camarillo, G., Johnston, A.,        Peterson, J., Sparks, R., Handley, M., and E. Schooler, "SIP:        Session Initiation Protocol",RFC 3261, June 2002.   [2]  Rosenberg, J. and H. Schulzrinne, "Session Initiation Protocol        (SIP): Locating SIP Servers",RFC 3263, June 2002.   [3]  Gulbrandsen, A., Vixie, P., and L. Esibov, "A DNS RR for        specifying the location of services (DNS SRV)",RFC 2782,        February 2000.   [4]  Sparks, R., "Actions Addressing Identified Issues with the        Session Initiation Protocol's (SIP) Non-INVITE Transaction",RFC4320, January 2006.Author's Address   Robert J. Sparks   Estacado Systems   17210 Campbell Road   Suite 250   Dallas, TX 75252-4203   EMail: rjsparks@estacado.netSparks                       Informational                      [Page 9]

RFC 4321                SIP Non-INVITE Problems             January 2006Full Copyright Statement   Copyright (C) The Internet Society (2006).   This document is subject to the rights, licenses and restrictions   contained inBCP 78, and except as set forth therein, the authors   retain all their rights.   This document and the information contained herein are provided on an   "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS   OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY AND THE INTERNET   ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS OR IMPLIED,   INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE   INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED   WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.Intellectual Property   The IETF takes no position regarding the validity or scope of any   Intellectual Property Rights or other rights that might be claimed to   pertain to the implementation or use of the technology described in   this document or the extent to which any license under such rights   might or might not be available; nor does it represent that it has   made any independent effort to identify any such rights.  Information   on the procedures with respect to rights in RFC documents can be   found inBCP 78 andBCP 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 athttp://www.ietf.org/ipr.   The IETF invites any interested party to bring to its attention any   copyrights, patents or patent applications, or other proprietary   rights that may cover technology that may be required to implement   this standard.  Please address the information to the IETF at   ietf-ipr@ietf.org.Acknowledgement   Funding for the RFC Editor function is provided by the IETF   Administrative Support Activity (IASA).Sparks                       Informational                     [Page 10]

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