Approved Resolutions | Special Meeting of the ICANN Board | 29 April 2024

Rationale for Resolutions 2024.04.29.01 – 2024.04.29.03

Why is the Board addressing the issue?

The Board is addressing this issue as part of its commitment to implement Board-approved community-issued Specific Review recommendations. The Board is now ready to initiate the Pilot Holistic Review pursuant to a community-agreed Terms of Reference.

Background

The Board approved the ATRT3 Recommendation 3.5 calling for a Holistic Review on 30 November 2020. In its resolution, the Board stated that "more information was needed to better understand how to operationalize the Holistic Review" and directed ICANN org to initiate the Holistic Review as a pilot "subject to prioritization and available resources" and "pursuant to a community agreed Terms of Reference." The ICANN community started to design a planning prioritization framework (ATRT3 Recommendation 5) in April 2021 and launched the Prioritization of Specific Review Recommendations in April 2022. The community prioritized the Holistic Review (ATRT3 Recommendation 3.5) as top priority in May 2022. A ToR Development Team, composed of ICANN Board members and former ATRT3 members, was convened in April 2022 to develop the pilot's Draft ToR.

An initial Public Comment proceeding (30 August 2022 - 10 November 2022) on the Pilot Holistic Review Draft ToR revealed a divergence of community views on the pilot and Holistic Review. In response to the community's input, the Board reconvened the ToR Development Team to address community concerns. A second Public Comment proceeding (28 September 2023 - 27 November 2023) on the Pilot Holistic Review Revised Draft ToR showed that although many issues were addressed, a few significant concerns remained. Community engagement has played an essential role in transparently addressing concerns, and achieving community alignment. During the Board's discussion at its Montevideo Workshop in January 2024, it agreed in concept to proceed with the initiation of the Pilot Holistic Review provided that the OEC of the Board address the outstanding concerns through additional guidance to the Pilot Holistic Review Team through revisions to the ToR.

What is the proposal being considered?

The proposal is to proceed with initiation of the Pilot Holistic Review using the OEC updated ToR and the Operating Standards for Specific Reviews, modified to be applicable to the Pilot Holistic Review. The updated ToR provides clarity on the Holistic Review objective to assess different structures' purpose, expectations for review team engagement, the process towards amendments to the Bylaws, and a timeline for completion of the pilot's work.

Upon approval of this proposal, ICANN org will begin planning and preparations for the Pilot Holistic Review and working with the SO and AC Chairs to open the call for review team volunteers. As noted in the Bylaws Section 4.6.(a)(i), "The chairs of the Supporting Organizations and Advisory Committees participating in the applicable review shall select a group of up to 21 review team members from among the prospective members nominated by the Supporting Organizations and Advisory Committees, balanced for diversity and skill."

Which stakeholders or others were consulted?

The community was consulted via two Public Comment proceedings, various community consultations and engagements including two dedicated webinars, to enhance community understanding of the intent of this ATRT3 recommendation and to express its questions, concerns and support.

What concerns or issues were raised by the community?

Multiple concerns were raised by the community during the initial Public Comment proceeding on the Pilot Holistic Review ToR. These concerns focused on a clarity of the Holistic Review's scope, a lack of identified dependencies, a lack of independent examination within the Holistic Review, and the community's ability to support the Pilot Holistic Review work. Although many of these concerns were addressed by the ToR Development Team in its revised Draft ToR, the Public Comment proceeding on the revised Draft ToR showed that some concerns remained over a lack of independent examination within the Holistic Review and a lack of clarity on the timeline for the Pilot Holistic Review and Holistic Review, and next steps. These outstanding concerns were addressed in the OEC's latest revisions to the ToR presented to the Board. There is broad community support for proceeding with the implementation of this recommendation and its next steps to initiate the Pilot Holistic Review.

What significant materials did the Board review?

The Board was presented with the ATRT3's Final Report containing Recommendation 3.5, the Board's adopted resolution on Recommendation 3.5, and the Public Comment summary reports for the initial Pilot Holistic Review ToR Draft and the revised Pilot Holistic Review ToR Draft. The Board was also periodically briefed by the OEC and ICANN org on the progress of Recommendation 3.5's implementation since the Board's action to approve the recommendation in November 2020.

What factors did the Board find to be significant?

The Board recognizes the importance of implementing community-issued review recommendations in a timely manner. The Board also recognizes the importance of shared community understanding of the intent of recommendations and support for them, to enhance the effectiveness of Specific Review recommendations and their implementation. The Board found the initial lack of clarity around ATRT3 Recommendation and the divergent views within the community to be significant, which required time and work to address before the Pilot Holistic Review could be initiated. Following the ToR Development Team's best efforts to address clarity and diverging views, the Board found the outstanding concerns related to a perceived lack of independent examination within the Holistic Review and the lack of clarity on the timeline for the Pilot Holistic Review and Holistic Review and next steps persisted. To address these concerns, it directed the Organizational Effectiveness Committee to provide final updates to the Pilot Holistic Review ToR.

Are there positive or negative community impacts?

Proceeding with the Pilot Holistic Review and its community supported ToR will have positive impacts on the community. It will ensure that guidelines for the Holistic Review are clearly outlined and have the entire community's input. This will help inform the Board's future decision on the Holistic Review, following the conclusion of the Pilot Holistic Review. Proceeding with the implementation of ATRT3 Recommendation 3.5 will also demonstrate the Board's commitment to the implementation of community-issued specific review recommendations.

Are there fiscal impacts or ramifications on ICANN (strategic plan, operating plan, budget); the community; and/or the public?

The Pilot Holistic Review is part of ATRT3 implementation and will be funded through previously earmarked funds in the Supplemental Fund for Implementation of Community Recommendations (SFICR) for prioritized community-issued specific review recommendations. The review will require significant community participation - up to 21 community volunteers will serve on a review team for up to 14 months. Additionally, Supporting Organizations and Advisory Committees, along with their constituencies will engage with the review team throughout the review process to understand the review team's recommendations and to provide timely input on this work. The Board acknowledges the importance of this work and understands that ICANN community leaders have been anticipating and planning for the Pilot Holistic Review.

Are there any security, stability or resiliency issues relating to the DNS?

There are no direct security, stability or resiliency issues relating to the DNS.

Is this decision in the public interest and within ICANN's mission?

The Holistic Review would be focused on improving how the ICANN community contributes to the overall effectiveness of ICANN. Proceeding with the Board mandated Pilot Holistic Review to develop community supported guidelines for how the Holistic Review would be run is both in the public interest and within ICANN's mission.

Rationale for Resolution 2024.04.29.04

Why is the Board addressing the issue?

The Board is addressing the timing of ATRT4 as part of its obligation to cause periodic Specific Reviews on schedule mandated by the ICANN Bylaws. This schedule indicates that the Board should initiate ATRT4 in April 2024. Community consultation revealed support from three groups to defer ATRT4 until the implementation of ATRT3 recommendations has been completed, while two groups indicated that the ATRT4 should proceed on schedule to follow the letter of the Bylaws. The Board considered input from the ALAC and the SSAC to proceed on schedule, balanced with other community input and determined that the deferral for a limited time is the optimal way to proceed because the community concerns regarding the ability to support a review at this time are also important to consider. The Board acknowledges the role that Accountability and Transparency Reviews play in providing oversight of ICANN's core commitment, as noted by ALAC and SSAC; however, the Board feels that the limited timeframe of the ATRT4 deferral, and the fact that the deferral is to accommodate additional projects (the Pilot Holistic Review and the Continuous Improvement Program to evolve Organizational Reviews) specifically related to the organization's accountability both mitigate those concerns. This ICANN Board action is an essential step in its oversight responsibility over Specific Reviews, including ATRT4.

Background

The ICANN Bylaws Section 4.6. Specific Reviews, stipulates that the ICANN "Board shall cause a periodic review of ICANN's execution of its commitment to maintain and improve robust mechanisms for public input, accountability, and transparency so as to ensure that the outcomes of its decision-making reflect the public interest and are accountable to the Internet community ('Accountability and Transparency Review')...The Accountability and Transparency Review shall be conducted no less frequently than every five years measured from the date the previous Accountability and Transparency Review Team was convened." The Fourth Accountability and Transparency Review (ATRT4) is due to be initiated in April 2024.

This schedule for the ATRT4 would result in an overlap with the Pilot Holistic Review, which the Board directed ICANN org to initiate in April 2024. Planning for the Pilot Holistic Review is underway, including work with the Supporting Organizations and the Advisory Committees to open a Call for Volunteers to appoint review team members. The Pilot Holistic Review Team is expected to start its work in September 2024, with the work lasting up to 14 months.

The ATRT3 recommended the creation of a new Specific Review, the Holistic Review. The objective of the Holistic Review is to review "the continuous improvement efforts of Supporting Organizations (SO), Advisory Committees (AC) and Nominating Committee (NC) based on good practices; the effectiveness of the various inter-SO/AC/NC collaboration mechanisms; the accountability of SO/ACs or constituent parts to their members and constituencies, as well as to review SO/AC/NC as a whole to determine if they continue to have a purpose in the ICANN structure or if any changes in structures and operations are desirable to improve the overall effectiveness of ICANN as well as ensure optimal representation of community views." In recognition of the scope and the potential impact of such a review, the Board approved ATRT3 Recommendation 3.5 with the caveat that the first Holistic Review needed to proceed as a pilot before this new review would be enshrined in the Bylaws.

Additionally, ATRT4 would overlap with the implementation of the ATRT3 recommendation to evolve Organizational Reviews into a Continuous Improvement Program (Recommendation 3.6), currently underway with substantial community participation. To champion the work to evolve Organizational Reviews, the Continuous Improvement Program Community Coordination Group was launched in January 2024, with 21 out of 22 community groups across ICANN represented. The goal of this work is to provide a new framework by the start of calendar year 2025 for ICANN's Supporting Organizations, Advisory Committees, and the Nominating Committee that could replace Organizational Reviews with a more flexible methodology to measure a structure's impact and effectiveness, while allowing groups to focus on improvements that are relevant to their specific purpose and stakeholders.

The Board discussed the timing of ATRT4 in September 2023 and again in January 2024, acknowledged the need to consult with the community and directed ICANN org to initiate community consultation on the timing of ATRT4. The org consulted with the Supporting Organizations and the Advisory Committees, through their Chairs, on the timing and potential deferral of ATRT4 for a limited period of time. Three of the five responding SOs and ACs expressed support for the deferral of ATRT4, citing unimplemented ATRT3 recommendations and capacity issues with running multiple reviews-related projects in parallel. Two of the responding ACs indicated their preference for ATRT4 to initiate on schedule, citing adherence to ICANN Bylaws and the role that Accountability and Transparency Reviews play in providing oversight of ICANN's core commitment.

What is the proposal being considered?

The proposal being considered is to defer ATRT4 for a limited time not to exceed twelve months, to allow for progress in the implementation of ATRT3 recommendations, including the Pilot Holistic Review and the Continuous Improvement Program to evolve Organizational Reviews. The Board is considering a deferral on the basis of community support for the completion of implementation of ATRT3 recommendations before the initiation of ATRT4. As part of the proposal, the Board directed ICANN org to produce a status of implementation work on ATRT3 recommendations 3.5 and 3.6 and other ATRT3 recommendations in process of implementation, in sufficient time for the Board to consider, no later than April 2025, the initiation of ATRT4.

Which stakeholders or others were consulted?

The ICANN org initiated a consultation on 13 February 2024 via a letter to SO and AC Chairs, to consult each of their groups on the timing of ATRT4. A consultation approach was used to allow SO and AC Chairs to have targeted conversations with their constituencies. While ATRT4 is of general interest to the entire ICANN community, it was important for the Board and ICANN org to understand whether the SO and ACs would be available to come together to populate, perform and deliver the recommendations within the ATRT4 while carrying out their other work. Four out of the seven groups responded to provide their views, with three of the four supporting deferral/not objecting to it.

The public consultation via correspondence was supported by several other activities - ICANN79 Prep Week Session "ICANN Reviews update" on 22 February 2024, ICANN79 Session "Reviews Program Session with the Community on ATRT4 Deferral and Pilot Holistic Review" on 5 March 2024 and direct engagement with ICANN org.

What concerns or issues were raised by the community?

Two Supporting Organizations (GNSO and ccNSO) and three Advisory Committees (GAC, ALAC, and SSAC) submitted a response. Three of the five groups supported the deferral/did not object arguing that it is important complete implementation of prior review recommendations before initiating ATRT4, while two advocated for the ATRT4 to start on schedule to follow the letter of the Bylaws.

Support for the deferral/no objection

Those that supported the deferral (GNSO, ccNSO and GAC), cited unimplemented ATRT3 recommendations and capacity issues. The ccNSO stated that "Launching a review knowing that parts of the ATRT3 Recommendations have not yet been implemented, is premature." The GNSO stated "Given the delay in implementing recommendations from ATRT3, the GNSO Council does not object to a deferral of ATRT4." In connection to capacity, the ccNSO indicated that "Running three (3) cross community efforts in parallel (ATRT4, Pilot Holistic Review and developing and implementing the Continuous Improvement Program) would create capacity issues, not only in terms of finding adequate volunteers, but also in terms of overall workload for the ccNSO and possibly other SOs and ACs as they will have to monitor progress, provide input and respond to suggestions." The GAC indicated that "Committee members are keenly aware of the time and efforts currently being devoted by community volunteers on a number of important policy and operational issues. Consequently, the committee would not oppose a deferral of the ATRT4 initiative (for a limited and defined time period) until after the completion of the Holistic Review."

Some responders provided their views on the duration of the deferral. The GAC indicated that "the committee would not oppose a deferral of the ATRT4 initiative (for a limited and defined time period) until after the completion of the Holistic Review." The GNSO indicated that "Given the delay in implementing recommendations from ATRT3, the GNSO Council does not object to a deferral of ATRT4." The Pilot Holistic Review is part of the implementation of one ATRT3 recommendation. (RySG responded that "we believe a preferable timeline would be to launch the ATRT4 Review after the Pilot Holistic Review has concluded.")

Additionally, two GNSO Constituencies (IPC and BC) and two Stakeholder Groups (RySG and RrSG) responded in line with the GNSO position of not objecting to the deferral of ATRT4.

Support for the ATRT4 to start on schedule

The ALAC cited the role that Accountability and Transparency Reviews play in providing oversight of ICANN's core commitment, as well as the historical capacity of the ICANN community to run two reviews at the same time as reasons in support of its position. On the topic of oversight, "To delay ATRT4 would be to leave ICANN without oversight. The bottom-up multistakeholder oversight performed by the ATRT is the foundation of ICANN's legitimacy as a free-standing organization free of government, IGO, or other external supervision." Regarding capacity for multiple reviews, "Doing two reviews in similar time frames is, in ALAC/At-Larges' opinion, well within ICANN's historical capabilities, though adequate resourcing, staff cooperation and assistance, such as the early contracting of a suitably experienced technical writer to assist the Review Teams, will be necessary."

The SSAC cited that it is important to adhere to the Bylaws, stating that "ICANN should either comply with its Bylaws or amend them transparently. Deferral contradicts good governance principles." The SSAC further expressed concern about the length of time between ATRT3 and ATRT4 if ATRT4 is deferred to start after the Pilot Holistic Review completes.

The SSAC also expressed concerns about the effectiveness of the review process, noting "The significantly drawn out process and the drain of resources from staff, community, and budget likely contribute to the apathy towards participation in reviews from the community. There is also the significant opportunity cost related to these resources to consider."

What significant materials did the Board review?

The Board reviewed the following materials:

• Analysis of responses to community consultation.
• The schedule of ongoing review-related work that requires community participation.
• Final ATRT3 report and specifically, ATRT3 Recommendation 3.5 which called for no review activities to be undertaken while a Holistic Review is active.
• Status update of implementation of ATRT3 Recommendations, with nine of the 15 recommendations in process of implementation (60%).
• Discussions with community leaders at the SO/AC Roundtable in January 2024 - their concerns about convergence of review related work, the time and resources required to conduct a review and complete implementation of Board-approved recommendations.

The Board additionally considered the precedents set by the deferrals of reviews during the transition of the IANA stewardship, the deferral of Organizational Reviews, and the deferrals of the SSR3 and the RDS3.

What factors did the Board find to be significant?

The community is aligned on the importance of completing the implementation of prior review recommendations before beginning any new reviews. The Board agrees with this and found community alignment around this to be significant.

The Board acknowledges the significance of the Bylaws-mandated reviews and their timely initiation, along with the improvements that can come from these reviews. Having reviewed the latest status of implementation of ATRT3 recommendations, the Board found it significant that nine of the 15 recommendations are in process of implementation, representing 60% of ATRT3 recommendations, nearly three and half years after Board approval. The Board has been overseeing the work underway to analyze challenges with Specific Reviews and come up with solutions so that reviews can be more efficient and produce impactful results, and understands there is additional work underway to improve reviews.

The SSAC suggested improving the review process via a data-driven analysis to "encourage a discussion on optimizing the review process to ensure its effectiveness, timeliness and sustainability." Furthermore, the SSAC suggested to alleviate the burden on volunteers by "bringing in independent experts in order to proceed with ATRT4". The Board found these suggestions to be significant as they parallel proposed process changes to improve effectiveness of Specific Reviews, under the Lifecycle of Reviews project.

The Board found it significant that by deferring ATRT4 by a limited period of time not to exceed 12 months, the Board's action is more limited than the anticipated deferral that the SSAC was concerned about.

Finally, the Board noted community misunderstanding of ATRT3 recommendations related to which reviews would be terminated. The SSAC referenced "ATRT3's recommendation to terminate all other bylaws-mandated specific and organizational reviews." The ccNSO referenced its understanding that the Pilot Holistic Review "in conjunction with the Continuous Improvement program of the SOs and ACs was suggested by ARTR3 to replace the ATRT and organizational reviews." ATRT3 recommended that Organizational Reviews evolve into a Continuous Improvement Program - effectively replacing Organizational Reviews with a Continuous Improvement Program. However, ATRT3 did not recommend replacing future Accountability and Transparency reviews; in fact, ATRT3 recommended that "ATRT…should continue essentially as they are currently constituted..." ATRT3 made recommendations relative to the future Security, Stability and Resiliency (SSR) Review and the Registration Data Services (RDS) Review - to suspend both of these reviews until ATRT4. ATRT3 recommended "suspending any further RDS Reviews until the next ATRT Review can consider the future of RDS Reviews in light of the final EPDP report recommendations, the results of the Board's consideration of these, as well as any other developments which affect Directory Services." ATRT3 recommended "that SSR Reviews shall be suspended until the next ATRT…which shall decide if these should be terminated, amended, or kept as is." The Board has been and will continue to work with ICANN org to help the ICANN community gain an accurate understanding of ATRT3 recommendations.

The Board considered the convergence of review related work and community leaders' concerns about overlapping work to be significant, particularly at a time when the ICANN community is already involved in various other important work efforts.

Are there positive or negative community impacts?

This Board action is expected to have a positive impact by allowing the community to focus its attention on the Pilot Holistic Review and the development of Continuous Improvement Program framework. Both of these efforts will progress the implementation of ATRT3 recommendations designated by the community as high priority. Once the ATRT4 is convened, it will be able to fully assess the implementation of prior review recommendations. Additionally, the ATRT4 will benefit from the process improvements to enhance the effectiveness of Specific Reviews currently underway.

Are there fiscal impacts or ramifications on ICANN (strategic plan, operating plan, budget); the community; and/or the public?

The deferral of ATRT4 by one year will shift the expenditures into the next fiscal year.

Are there any security, stability or resiliency issues relating to the DNS?

ATRT3 recommended that the next Security Stability and Resiliency of the Domain Name System Review (SSR3) and the next Registration Directory Services Review (RDS3) be deferred until ATRT4 can consider the utility of these reviews. While the deferral of ATRT4 for up to 12 months will cause these two reviews to be further deferred, such deferral is not expected to have adverse impacts on security, stability or resiliency as these issues are being monitored in real-time by ICANN org with Board oversight.

Is this decision in the public interest and within ICANN's mission?

The Board's action is in the public interest in that it supports completion of community-issued Board-approved recommendations before initiating the next review.

Is this either a defined policy process within ICANN's Supporting Organizations or ICANN's Organizational Administrative Function decision requiring public comment or not requiring public comment?

No public comment is required. Please refer to the section above (Which stakeholders or others were consulted?) discussing the reasons for selection community consultation to gather input.