wdiff draft-scharf-tsvwg-quick-start-flow-control-00.txt draft-scharf-tsvwg-quick-start-flow-control-01.txt

Network Working Group M. Scharf
Internet-Draft University of Stuttgart
Intended status: Experimental S. Floyd
Expires: August 30, 2007 January 3, 2008 ICIR
P. Sarolahti
Nokia Research Center
February 26,
July 2, 2007

Avoiding Interactions of Quick-Start TCP and Flow Control
draft-scharf-tsvwg-quick-start-flow-control-00.txt
draft-scharf-tsvwg-quick-start-flow-control-01.txt

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Abstract

This document describes methods to avoid interactions between the
flow control of the Transmission Control Protocol (TCP) and the
Quick-Start TCP extension. mechanism. Quick-Start is an optional TCP congestion
control mechanism extension that allows hosts to determine an allowed sending
rate from feedback of routers along the path. With Quick-Start, data
transfers can start with a potentially large congestion window. window and
avoid the time-consuming slow-start. In order to fully utilize the
data rate determined by Quick-Start, the sending host must not be
limited by the TCP flow control, i. e., the amount of free buffer
space advertised by the receive window.

There are two potential interactions between Quick-Start and the TCP
flow control: First, receivers might not provide sufficiently large
buffer space after connection setup, or they may implement buffer
allocation strategies that implicitly assume the slow-start behavior
on the sender side. This document therefore provides guidelines for
buffer allocation in hosts supporting the Quick-Start extension.
Second, the TCP receive window scaling mechanism interferes with
Quick-Start when being used in the initial three-way handshake
connection setup. This document describes a simple solution to
overcome this problem.

Table of Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 3 4
2. Requirements notation Notation . . . . . . . . . . . . . . . . . . . . 4
3. Quick-Start TCP and receive buffer dimensioning Receive Buffer Dimensioning . . . . . . . 4 5
3.1. Receiver buffer allocation strategies Buffer Allocation Strategies . . . . . . . . . . 4 5
3.2. Recommendations for buffer dimensioning Buffer Dimensioning in presence Presence of
Quick-Start requests Requests . . . . . . . . . . . . . . . . . . . 4 5
4. Quick-Start TCP and receive window scaling Receive Window Scaling . . . . . . . . . . 5 6
4.1. Receive window scaling Window Scaling . . . . . . . . . . . . . . . . . . 5 6
4.2. Problem within Within the three-way handshake Three-way Handshake . . . . . . . . . . 5 6
4.3. Possible remedy Proposed Solution . . . . . . . . . . . . . . . . . . . . . 6 7
4.4. Discussion and deployment considerations Deployment Considerations . . . . . . . . . 8 9
5. Security Considerations . . . . . . . . . . . . . . . . . . . 8 10
6. IANA considerations Considerations . . . . . . . . . . . . . . . . . . . . . 9 10
7. Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . 9 10
8. References . . . . . . . . . . . . . . . . . . . . . . . . . . 9 11
8.1. Normative References . . . . . . . . . . . . . . . . . . . 9 11
8.2. Informative References . . . . . . . . . . . . . . . . . . 10 11
Appendix A. Applicability to Other Proposals . . . . . . . . . . 12
Appendix B. Alternative Solutions . . . . . . . . . . . . . . . . 12
Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . . . 10 13
Intellectual Property and Copyright Statements . . . . . . . . . . 12 14

1. Introduction

Quick-Start is an experimental extension for the Transmission Control
Protocol (TCP) [RFC0793] that allows to speed up best effort data
transfers. The Quick-Start TCP extension is specified in [RFC4782].
With Quick-Start, TCP hosts can request permission from the routers
along a network path to send at a higher rate than allowed by the
default TCP congestion control, in particular after during connection setup
or after longer idle periods. The explicit router feedback avoids
the time-consuming capacity probing by the TCP slow-start and can
significantly improve transfer times over paths with a high
bandwidth-delay product [SAF07].

The usage of Quick-Start significantly changes the TCP behavior
during connection setup. This is why special care is needed in order
to prevent interactions between Quick-Start and other TCP mechanisms.
Specifically, TCP flow control mechanisms have to be optimized for
the usage of Quick-Start, in particular when the TCP connection spans
a path with a large bandwidth-delay product (BDP). In such cases the
sending
both congestion and receive window should have a large value values in order
to achieve good TCP performance (see [RFC2488],[RFC3481]).

Unlike the standard slow-start mechanism, the Quick-Start TCP
extension allows the sender to use large congestion windows
immediately after connection setup. The usage of such large windows
raises two questions: First, what receiver buffer allocation
strategies should be used in combination with Quick-Start? And
second, how to appropriately signal these large windows? This
document addresses these issues and shows that Quick-Start requires
special mechanisms in both cases. The document thereby supplements
the Quick-Start TCP specification [RFC4782], where flow control
issues have not been addressed in detail.

The rest of this document is structured as follows: First, the
question of receive buffer allocation in combination with Quick-Start
is addressed and dimensioning guidelines are provided. Second, a
modification of the receive window scaling mechanism [RFC1323] is
specified, which is required to fully benefit from Quick-Start when
the Quick-Start request is used in the initial <SYN> segment.

It should be noted that the effects and most methods discussed in
this document are not specific to the Quick-Start TCP extension.
They could also be used in combination with other proposals that
cause a behavior more aggressive than standard TCP slow-start, for
instance [LAJ+07].

2. Requirements notation Notation

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 [RFC2119].

3. Quick-Start TCP and receive buffer dimensioning Receive Buffer Dimensioning

3.1. Receiver buffer allocation strategies

The TCP sending window results from Buffer Allocation Strategies

A sender can transmit up to the minimum of the congestion window and
the receive window (also called receiver's advertised receiver window)
[RFC2581]. A small receive window prevents the TCP connection from
fully utilizing paths with a larger bandwidth-delay product. As a
consequence, on the one hand, a TCP receiver should advertise a
receive window that is big enough to allow an efficient utilization
of the connection path. On the other hand, hosts with a potentially
high number of TCP connections need to optimize the buffer and memory
usage to be able to serve a maximum possible number of TCP
connections. Finding a fixed receive buffer size that is optimal
between these two goals is difficult.

This is why many modern TCP implementations use an intelligent
dynamic buffer management. There are different auto-tuning
techniques and heuristics [Dun06] designed to prevent the receive
window from limiting the data rate at the sender. An implementation
using buffer size auto-tuning is described for instance in [SB05]. A
common characteristic of most of these buffer allocation strategies
is that they initially start with a rather small receive window. The
more data arrives, the more buffer is allocated to the corresponding
connection. This behavior is reasonable if the sender uses the
standard slow-start algorithm and thus starts with a small congestion
window anyway. However, when using Quick-Start, a large receive
buffer may be required immediately after connection setup.

3.2. Recommendations for buffer dimensioning Buffer Dimensioning in presence Presence of Quick-Start
requests
Requests

When a host receives and approves a Quick-Start request, in
particular during the connection setup, it SHOULD allocate announce a
"reasonable" amount of buffer space receive
window that is large enough so that a potential Quick-Start data
transfer can start with a high sending window. If buffer size
auto-tuning auto-
tuning is used, it SHOULD be ensured that a sufficiently high initial
receive window is announced. The handling of buffer space upon
arrival of a Quick-Start request SHOULD be configurable by the
corresponding application.

Determining an appropriate "reasonable" receive buffer size is not a
trivial task and also depends on

If the available system resources.
However, unlike standard TCP slow-start, the Quick-Start extension
provides some additional information that host has sufficient receive buffer space, it could help to properly
dimension
estimate the receive buffer. A reasonable required buffer size would
typically be a small multiple of space as the bandwidth-delay product of the
path. An approximation of the available bandwidth can be directly
obtained from the approved
Quick-Start rate in the received request.
If and the round-trip time (RTT) time, and advertise a receive
window based on this required buffer space. This receive window
should allow the other TCP host to fully use the approved Quick-Start originator is also
known (e. g., if it has been cached from previous connections), a
reasonable buffer size can be directly calculated as a small multiple
of
Request.

If the BDP. In case that TCP host doesn't know the round-trip time, the TCP host could
use an estimate of the round-trip time is not known, in calculating the required
buffer space. For instance, the buffer dimension could be done for a
configurable "worst-case" RTT such as 500 ms. Alternately, the TCP
host could base the advertised receive window on the available buffer
space, without calculating the buffer space required for the other
TCP host to fully use the approved Quick-Start Request.

4. Quick-Start TCP and receive window scaling Receive Window Scaling

4.1. Receive window scaling Window Scaling

The TCP header specified in [RFC0793] uses a 16 bit field to report
the receive window size to the sender. This effectively limits the
sending window to 65 kB. 64 KB. To circumvent this problem, the "Window
Scale" TCP extension [RFC1323] defines an implicit scale factor,
which is used to multiply the window size value found in a TCP header
to obtain a 32 bit window size. If enabled, the scale factor is
announced during connection setup by the "Window Scale" TCP option in
<SYN> and <SYN,ACK> segments.

In general, using receive window scaling is highly beneficial for TCP
connections over path with a large bandwidth-delay product
[RFC2488],[RFC3481]. Otherwise, the path capacity cannot fully be
utilized by TCP. Quick-Start TCP can significantly speed up data
transfers over such paths [RFC4782],[SAF07]. As a consequence, a
host supporting Quick-Start SHOULD enable receive window scaling. scaling
according to [RFC1323]. If Quick-Start is used in the initial three-way three-
way handshake, the minimum required scaling factor can MAY be obtained
from the required receive buffer space, which can be approximated as
described in the previous section.

4.2. Problem within Within the three-way handshake Three-way Handshake

A problem arises when the Quick-Start mechanism is used within the
three-way handshake, and the Quick-Start request is added to the
initial <SYN> segment: In this scenario, if the Quick-Start request
is approved by the routers along the path, the receiver echoes back
the Quick-Start response in the <SYN,ACK> segment. This process is
illustrated in [RFC4782]. Upon reception of the <SYN,ACK> with the
Quick-Start response, the sender can set the congestion window to the
determined value so that it can immediately start to send with the
approved data rate.

However, [RFC1323] defines that the "Window field in a SYN (i.e., a
<SYN> or <SYN,ACK>) segment itself is never scaled." This means that
the maximum receive window that can be signaled to the sender in the
<SYN,ACK> is 65 kB. 64 KB. As a consequence, the TCP flow control will
prevent the TCP sender from having more than 65 kB 64 KB of outstanding
data, even if the receiver has much more free buffer, and the Quick-
Start feedback allows a much larger congestion window.

This effect essentially limits the maximum amount of data sent by
Quick-Start to 65 kB, 64 KB, when the sender sends the Quick-Start request
in the initial <SYN> segment. Also, the congestion window after
quiting the Quick-Start rate pacing phase is at most 65 kB, 64 KB, as the
congestion window is set to the amount of outstanding data at this
point. that has actually been
sent during the rate pacing phase. This is an undesirable
restriction for the Quick-Start mechanism, even if 65 kB 64 KB is still
much more than the initial congestion window in slow-start that is
allowed by [RFC3390].

This issue only occurs when Quick-Start is used in the three-way TCP
connection setup procedure, and only in the direction of the client
(connection originator) to the server. Still, this case is one of
the planned usage scenarios for the Quick-Start TCP extension.

4.3. Possible remedy Proposed Solution

The limitation imposed by the window scaling could be addressed in
two
different ways: First, one could deviate from [RFC1323] and use ways. This document proposes the following solution: If
necessary, the TCP host SHOULD send a scaled receive window in <SYN> and <SYN,ACK> segments, if they
include Quick-Start options. This would avoid the problem sketched
in the previous section, but it is not compliant with the TCP
specification and a
separate <ACK> packet following the currently deployed TCP implementations. <SYN,ACK> packet.

This document describes a second, standard-compliant method: When means that when a host receives a <SYN> segment with a Quick-Start Quick-
Start option, it processes the option as described in [RFC4782].
Provided that the host has Quick-Start support enabled, the Quick-Start Quick-
Start response is echoed back in the <SYN,ACK> segment. As
explained, this segment cannot announce receive windows larger than 65 kB.
64 KB. If the receiver allocates a buffer space larger than 65 kB, 64 KB,
an additional empty segment (without <SYN> flag) SHOULD be sent after
the <SYN,ACK> segment, in order to announce the true receive window.
The resulting message flow is depicted in Figure 1.

Sender Routers (approving QS request) Receiver
------ ------- --------
| |
| ------------------------------------------------>|
| QS request |
| TCP <SYN>, unscaled receive window |
| window scaling and other options |
| |
| <------------------------------------------------|
| QS response |
| TCP <SYN,ACK>, unscaled receive window |
| window scaling and other options |
| |
| <------------------------------------------------|
| Additional acknowledgment |
| TCP <ACK>, scaled receive window |
| |
| ------------------------------------------------>|
| QS report |
| TCP <ACK> |
| |
| ================================================>|
| ================================================>|
| Rate paced data transfer |
| |
| <------------------------------------------------|
| First new acknowledgment |
V V

Figure 1: Message sequence chart of the proposed mechanism

After having received this additional acknowledgment, the sender is
aware of the true available receive buffer. Provided that the Quick-
Start request is approved on the path and that the receive window is
sufficiently large, this allows the sender to send more than 65 kB 64 KB
during the Quick-Start rate pacing phase.

Note

We note that there is some degree of freedom as to when to send the
additional acknowledgment. It can be sent The straightforward solution is to send
it immediately after the <SYN,ACK> segment, but segment. But this is not required in all cases.
required: It is sufficient if the sender receives this segment before
reaching the limit of the unscaled receive window. As a consequence,
receivers
may decide to could also delay the sending of this segment for some small
amount of time.

4.4. Discussion and deployment considerations Deployment Considerations

The method proposed in this document is compliant with the TCP
specifications: Sending empty segments to increase the receive window
is implicitly allowed by [RFC0793], and in [RFC2581] it is clearly
stated that sending an acknowledgment is allowed to update the
receive window. Implementing For standard-compliant TCP stacks, implementing the
method thus should require changes in the receiver TCP implementation
only.

However, sending an empty acknowledgment shortly after a <SYN,ACK>
segment is an atypical TCP communication event. The <SYN,ACK> and
the additional segment could get reordered in the network. In this
case, the sending host will typically ignore the additional segment,
as it is still awaiting the <SYN,ACK>. Furthermore, middleboxes such
as state-full firewalls might drop the additional acknowledgment.
Even worse, this segment might also be dropped if a middlebox
receives it earlier than the <ACK> segment from the sender. At this
point in time, from the viewpoint of the middlebox, the bi-
directional end-to-end TCP connection is not yet established. If the
additional segment gets dropped, the sender gets informed about the
unscaled receive window when the next new acknowledgment arrives,
which may limit the benefit of Quick-Start. Delaying the additional
acknowledgment for a short period of time could help to avoid such
problems. Further investigation is needed to analyze whether such a
delay is required.

A possible alternative to the message flow in Figure 1 would be to
piggyback the Quick-Start response on the additional acknowledgment
segment instead of the <SYN,ACK>. However, this approach has several
drawbacks and is therefore not recommended: First, the Quick-Start
response would be received later, which could cause additional
delays. Second, the <SYN,ACK> is immediately acknowledged by the
<ACK> segment. The Quick-Start rate report can thus be piggybacked
on this <ACK>. In contrast, if the Quick-Start response is included
in the additional acknowledgment, the Quick-Start report has to be
piggybacked to a data segment, i. e., it depends on the availability
of application data whether and when the Quick-Start report is sent.

It must be emphasized that the

The additional segment mandated by this document results in a certain network overhead. Given the fact that
Quick-Start requests will be approved over under-utilized paths only,
overhead of one segment. In many potential usage scenarios this
overhead might not will be small compared to the network load caused by the
acknowledgments of a significant problem. starting high-speed Quick-Start data transfer.

Instead of sending one additional acknowledgment, a host could also
send a small number of copies in order to improve robustness. This
could help to reduce the risk of reordering with the <SYN,ACK>
segment. However, given the additional overhead, it is recommended
to send only one acknowlegdment unless there are indications that the
path suffers from frequent packet reordering.

5. Security Considerations

Quick-Start TCP imposes a number of security challenges. Known
security threats as well as counter-measures are discussed in the
section "Security Considerations" of [RFC4782]. Since this document
describes extensions to Quick-Start TCP, the security issues and
solutions identified in [RFC4782] apply here, too.

Sending an additional acknowledgment segment is an allowed behavior
for

If a TCP connection endpoint and does not result in additional
security threats. However, special care is needed when allocating host allocates large amounts of buffer space during the three-
way handshake, this could increase the vulnerability to "syn
flooding" attacks: An attacker sending many Quick-Start requests
could try to newly established allocate much buffer space at a host, which is then not
available any more for other TCP connections,
since connections. If most involved
routers support Quick-Start, this could create vulnerabilities type of attack is difficult to denial-of-service attacks.
This issue
realize, since the routers may reject many requests before they reach
a host. However, an attack could be possible if some routers on the
path do not support Quick-Start. A simple countermeasure would be critical to
set an upper limit on the total amount of buffer space granted to
connections with Quick-Start, and possibly to deny requests if Quick-Start they
arrive at a host with too high a frequency. The main impact of this
abuse is used that Quick-Start may be rendered useless for other
connections. This can result in controlled
environments only, as recommended by some performance degradation,
because the default slow-start must be used instead. In general, it
is an inherent weak point of Quick-Start that one can send much more
requests than required, which temporarily can block resources for
other earnest Quick-Start requests [RFC4782].

It is an allowed behavior for a TCP connection endpoint to send an
additional acknowledgment segment in order to update the receive
window. The usage of the proposed mechanism causes some limited
network overhead, but it does not result in additional security
threats.

6. IANA considerations Considerations

This document has no actions for IANA.

7. Acknowledgments

The first author

Special thanks to Haiko Strotbek, Martin Koehn, Simon Hauger,
and
Christian Mueller Mueller, and Gorry Fairhurst for contributing to this document. suggestions and comments.

8. References

8.1. Normative References

[RFC0793] Postel, J., "Transmission Control Protocol", STD 7,
RFC 793, September 1981.

[RFC1323] Jacobson, V., Braden, B., and D. Borman, "TCP Extensions
for High Performance", RFC 1323, May 1992.

[RFC2119] Bradner, S., "Key words for use in RFCs to Indicate
Requirement Levels", BCP 14, RFC 2119, March 1997.

[RFC2581] Allman, M., Paxson, V., and W. Stevens, "TCP Congestion
Control", RFC 2581, April 1999.

[RFC3390] Allman, M., Floyd, S., and C. Partridge, "Increasing TCP's
Initial Window", RFC 3390, October 2002.

[RFC4782] Floyd, S., Allman, M., Jain, A., and P. Sarolahti, "Quick-
Start for TCP and IP", RFC 4782, January 2007.

8.2. Informative References

[Dun06] Dunigan, T., "TCP auto-tuning zoo", available
at http://www.csm.ornl.gov/~dunigan/net100/auto.html,
February 2006.

[FPK07] Falk, A., Pryadkin, Y., and D. Katabi, "Specification for
the Explicit Control Protocol (XCP)", Internet Draft, work
in progress, June 2007.

[LAJ+07] Liu, D., Allman, M., Jin, S., and L. Wang, "Congestion
Control Without a Startup Phase", Proc. PFLDnet2007, Marina Del
Rey, CA, USA,
February 2007.

[RFC2488] Allman, M., Glover, D., and L. Sanchez, "Enhancing TCP
Over Satellite Channels using Standard Mechanisms",
BCP 28, RFC 2488, January 1999.

[RFC3481] Inamura, H., Montenegro, G., Ludwig, R., Gurtov, A., and
F. Khafizov, "TCP over Second (2.5G) and Third (3G)
Generation Wireless Networks", BCP 71, RFC 3481,
February 2003.

[SAF07] Sarolahti, P., Allman, M., and S. Floyd, "Determining an
Appropriate Sending Rate Over an Underutilized Network
Path", accepted for publication in Computer Networks, vol. 51, no. 7, 2007.

[SB05] Smith, M. and S. Bishop, "Flow Control in the Linux
Network Stack", available
at http://www.cl.cam.ac.uk/~pes20/Netsem/linuxnet.pdf,
February 2005.

Appendix A. Applicability to Other Proposals

Besides Quick-Start, there are some other related proposals for
behavior more aggressive than the standard slow-start. A
comprehensive survey of this related work can be found in [RFC4782].
For instance, the Explicit Control Protocol (XCP) [FPK07] proposes a
new congestion control based on explicit router feedback.
Furthermore, there are discussions in the research community whether
a host could start to send with an arbitrarily high data rate,
combined with a conservative reaction in case of congestion [LAJ+07].

Basically, the effects discussed in this document are not specific to
Quick-Start. An interaction with the TCP flow control could also
occur with other congestion control mechanisms that avoid the
standard TCP slow-start. Receive buffer dimensioning will be a non-
trivial task in all these cases. The amount of information that a
receiver can gain during a connection setup procedure differs from
proposal to proposal. However, the basic guideline to use a larger
inital receive buffer allocation applies to all proposals similar to
Quick-Start.

If the TCP header semantics apply, the interaction with receive
window scaling mechanism could also be a problem for other
approaches. In this case, the workaround of sending an additional
acknowledgment can be helpful, too.

Appendix B. Alternative Solutions

The limitation imposed by the window scaling could be addressed in
several ways. This document proposes to send an additional
acknowledgment to announce the true receive window, if needed. This
method is compliant with the current TCP standards.

Alternatively, one could circumvent [RFC1323] in several ways. For
instance, one could use a scaled receive window in <SYN> and
<SYN,ACK> segments, if they include Quick-Start options. The usage
of a scaled window could also be indicated by some other means (e.
g., a new TCP option). Still, such alternative solutions would
require changes in the TCP header semantics and might cause
interworking problems with currently deployed TCP implementations.

Authors' Addresses

Michael Scharf
University of Stuttgart
Pfaffenwaldring 47
D-70569 Stuttgart
Germany

Phone: +49 711 685 69006
Email: michael.scharf@ikr.uni-stuttgart.de
URI: http://www.ikr.uni-stuttgart.de/en/~scharf

Sally Floyd
ICIR (ICSI Center for Internet Research)

Phone: +1 (510) 666-2989
Email: floyd@icir.org
URI: http://www.icir.org/floyd/

Pasi Sarolahti
Nokia Research Center
P.O. Box 407
FI-00045 NOKIA GROUP
Finland

Phone: +358 50 4876607
Email: pasi.sarolahti@iki.fi

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