ccNSO Assistance Group
Preliminary Recommendation on Policy-Development
(for Comment and Feedback)
11 November 2002
Consistent with the 29
October 2002 ccNSO Assistance Group Communiqué, the Assistance
Group has prepared its preliminary recommendation on the Policy-Development
Process. The Assistance Group requests feedback within the coming week
(no later than 19 November 2002) for comments to be given utmost consideration.
The preliminary recommendation on the Policy-Development Process can be
found in Annex A. The ccNSO Assistance Group will
consider feedback received on this preliminary recommendation and its
effect on other recommendations.
The posting of the preliminary recommendation on the Policy-Development
Process is the second preliminary recommendation for the five issue areas
that make up the Assistance Groupís work-plan (i.e. to come up with recommendations
on five category areas identified out of the Blueprint, namely scope of
the ccNSO as a global policy-development body; process of policy development
in the ccNSO; ccNSO membership; structure of the ccNSO; ccNSO Council).
The preliminary thinking on scope was posted
on 22 October 2002, and the ccNSO Assistance Group met with the ccTLD
constituency on 28 October 2002 to receive input on its thinking. The
Assistance Group received general support for its proposed methodology
for defining scope and based on this it will solidify its recommendation.
The ccNSO Assistance Group will over the next weeks be issuing its preliminary
recommendations on the three remaining areas of its work-plan: ccNSO membership;
structure of the ccNSO; ccNSO Council.
As stated in its
Communiqué, after the ccNSO Assistance Group has issued and
received feedback on all of its preliminary recommendations, it will,
following consideration of comments and their effect on other recommendations,
compile the recommendations and provide them to the ERC. The ccNSO Assistance
Group is extremely conscious of ensuring that it provides its recommendations
in a prudent, timely, and efficient manner.
Assistance Group DRAFT
11 November 2002
ccNSO Policy-Development Process
The following process shall govern the ccNSO policy-development process
("PDP") until such time as modifications are recommended to
and approved by the ICANN Board of Directors ("Board").
1. Initiating an Issue Report
Step 1 in the PDP is to request an Issue Report. An Issue Report may
be requested for consideration as part of the PDP by any of the following:
a. Council. The Council may initiate an Issue
Report by an affirmative vote of at least 33% of the members of the
Council present at any meeting at which a motion to begin the process
outlined in this Annex is put.
b. Board. The Board may initiate an Issue Report
by requesting the ccNSO Council ("Council") to begin the process
outlined in this Annex.
c. Region. One or more of the 5 ccTLD Regions
may initiate an Issue Report by requesting through its Council members
that the Council begin the process outlined in this Annex.
d. ICANN Supporting Organisation or Advisory Committee.
An ICANN Supporting Organisation or an ICANN Advisory Committee may
initiate an Issue Report by requesting the Council to begin the process
outlined in this Annex.
A request for an Issues Report must be in writing and must set out the
issue upon which an Issue Report is requested in sufficient details to
enable the Issue Report to be prepared. It shall be open to the Council
to request further information should it consider it necessary in order
for the Issue Report to be created.
2. Creation of the Issue Report
Within fifteen (15) calendar days after an affirmative vote as outlined
in 1 a) above or the receipt of a request as outlined in 1 b), c) and
d) above the Issue Manager will create a report (an Issue Report").
Each Issue Report shall contain at least the following:
a. The proposed issue raised for consideration;
b. The identity of the party submitting the issue;
c. How that party is affected by the issue;
d. Support for the issue to initiate the PDP;
e. A recommendation from the Issue Manager as to whether
the Council should move to initiate the PDP for this issue (the "Manager
Recommendation"). Each Manager Recommendation shall include the
opinion of the ICANN General Counsel regarding whether the issue is
properly within the scope of the ICANN policy process as it pertains
to ccTLDs. In coming to his opinion, the General Counsel shall examine
whether the issue:
1. is within the scope of ICANN's mission statement;
2. is within the scope of the ccNSO pursuant to
the ccNSOs Scope Matrix;
3. is likely to have lasting value or applicability,
albeit with the need for occasional updates;
4. will establish a guide or framework for future
5. implicates or affects an existing ICANN policy.
f. On or before the fifteen (15) day deadline, the
Issue Manager shall distribute the Issue Report to the full Council
for a vote on whether to initiate the PDP, as discussed below.
3. Initiation of PDP
The Council shall decide whether to initiate the PDP as follows:
a. Within 15 days after receipt of an Issue Report
from the Issue Manager, the Council shall meet to vote on whether to
initiate the PDP. Such meeting may be convened in any manner deemed
appropriate by the Council, including in person, via conference call
or via electronic mail.
b. A vote of either more than 50% of the Council members
present or a vote of 100% of the Council members present representing
2 or more Regions, in favor of initiating the PDP will suffice to initiate
the PDP PROVIDED THAT in the event that the Manager Recommendation states
that the issue is not properly within the scope of the ICANN mission
statement or the ccNSO Scope Matrix, then a Supermajority Vote of the
Council members present in favor of initiating the PDP will be required
to initiate the PDP.
4. Commencement of the PDP
At the meeting of the Council where the PDP has been initiated pursuant
to Item 3 above, the Council shall decide, by a majority
vote of members present at the meeting, whether or not to appoint a task
force to address the issue. If the Council votes:
a. In favor of convening a task force, it shall
do so in a accordance with the provisions of Item 7 below.
b. Against convening a task force, then it
will collect information on the policy issue in accordance with the
provisions of Item 8 below.
5. Composition and Selection of Task Forces
a. Upon voting to appoint a task force, the Council shall invite each
of the Regions to appoint two individuals to participate in the task
force. Additionally, the Council may appoint up to three outside advisors
to sit on the task force. (Each task force member representing a Region
is referred to in this Annex as a "Representative" and collectively,
the "Representatives"). The Council may increase the number
of Representatives that may sit on a task force in its discretion in
circumstances that it deems necessary or appropriate.
b. Any Region wishing to appoint Representatives to the task force
must submit the names of the Representatives to the Issue Manager within
ten (10) calendar days after such request in order to be included on
the task force. Such Representatives need not be a member of the Council,
but must be an individual who has an interest, and ideally knowledge
and expertise, in the Issue to be developed, coupled with the ability
to devote a substantial amount of time to task force activities.
c. The Council may also pursue other options that it deems appropriate
to assist in the PDP, including appointing a particular individual or
organization to gather information on the issue or scheduling meetings
for deliberation or briefing. All such information shall be submitted
to the Issue Manager within thirty-five (35) calendar days after initiation
of the PDP.
6. Public Notification of Initiation of the PDP and
After initiation of the PDP, ICANN shall post a notification of such
action to the Website and to the other ICANN Supporting Organisations
and Advisory Committees. A comment period shall be commenced for the
issue for a period of twenty (20) calendar days after initiation of
the PDP. Comments will be accepted from ccTLD managers, other Supporting
Organizations, Advisory Committees, and from the public. The Issue Manager,
or some other designated representative of ICANN, shall review the comments
and incorporate them into a report (the "Comment Report")
to be included in either the Preliminary Task Force Report or the Initial
Report, as applicable.
7. Task Forces
a. Role of Task Force. If a task force
is created, its role will generally be to (i) gather information detailing
the positions of the Regions; and (ii) otherwise obtain relevant information
that will enable the Task Force Report to be as complete and informative
The task force shall not have any formal decision-making authority.
Rather, the role of the task force shall be to gather information that
will document the positions of various parties or groups as specifically
and comprehensively as possible, thereby enabling the Council to have
a meaningful and informed deliberation on the issue.
b. Task Force Charter or Terms of Reference.
The Council, with the assistance of the Issue Manager, shall develop
a charter or terms of reference for the task force (the "Charter")
within ten (10) calendar days after initiation of the PDP. Such Charter
1. the issue to be addressed by the task
force, as such issue was articulated for the vote before the Council
that commenced the PDP;
2. the specific timeline that the task force
must adhere to, as set forth below, unless the Council determines
that there is a compelling reason to extend the timeline; and
3. any specific instructions from the Council
for the task force, including whether or not the task force should
solicit the advice of outside advisors on the issue.
The task force shall prepare its report and otherwise conduct its
activities in accordance with the Charter. Any request to deviate
from the Charter must be formally presented to the Council and may
only be undertaken by the task force upon a vote of a majority of
the Council members present.
c. Appointment of Task Force Chair.
The Issue Manager shall convene the first meeting of the task force
within five (5) calendar days after receipt of the Charter. At the initial
meeting, the task force members will, among other things, vote to appoint
a task force chair. The chair shall be responsible for organizing the
activities of the task force, including compiling the Task Force Report.
The chair of a task force need not be a member of the Council.
d. Collection of Information.
1. Region Statements. The Representatives
will each be responsible for soliciting the position of their Region,
at a minimum, and other comments as each Representative deems appropriate,
regarding the issue under consideration. This position and other comments,
as applicable, should be submitted in a formal statement to the task
force chair (each, a "Region Statement") within thirty-five
(35) calendar days after initiation of the PDP. Every Region Statement
shall include at least the following:
(i) If a Supermajority Vote was reached, a clear statement of the
Regionís position on the issue;
(ii) If a Supermajority Vote was not reached, a clear statement
of all positions espoused by Region members;
(iii) A clear statement of how the Region arrived at its position(s).
Specifically, the statement should detail specific Region meetings,
teleconferences, or other means of deliberating an issue, and a
list of all members who participated or otherwise submitted their
(iv) An analysis of how the issue would affect the Region, including
any financial impact on the Region; and
(v) An analysis of the period of time that would likely be necessary
to implement the policy.
2. Outside Advisors. The task force,
should it deem it appropriate or helpful, may solicit the opinions
of outside advisors, experts, or other members of the public, in addition
to those of constituency members. Such opinions should be set forth
in a report prepared by such outside advisors, and (i) clearly labeled
as coming from outside advisors; (ii) accompanied by a detailed statement
of the advisors' (A) qualifications and relevant experience; and (B) potential
conflicts of interest. These reports should be submitted in a formal
statement to the task force chair within thirty-five (35) calendar
days after initiation of the PDP.
e. Task Force Report. The chair of the
task force, working with the Issue Manager, shall compile the Region
Statements, Comment Report, and other information or reports, as applicable,
into a single document ("Preliminary Task Force Report") and
distribute the Preliminary Task Force Report to the full task force
within forty (40) calendar days after initiation of the PDP. The task
force shall have a final task force meeting within five (5) days after
the date of distribution of the Preliminary Task Force Report to deliberate
the issues and try and reach a Supermajority Vote. Within five (5) calendar
days after the final task force meeting, the chair of the task force
and the Issue Manager shall create the final task force report (the
"Task Force Report") and post it on the Comment Site. Each
Task Force Report must include:
1. A clear statement of any Supermajority
Vote position of the task force on the issue;
2. If a Supermajority Vote was not reached,
a clear statement of all positions espoused by task force members
submitted within the twenty-day timeline for submission of constituency
reports. Each statement should clearly indicate (i) the reasons underlying
the position and (ii) the Region(s) that held the position;
3. An analysis of how the issue would affect
each Region, including any financial impact on the Region;
4. An analysis of the period of time that
would likely be necessary to implement the policy; and
5. The advice of any outside advisors appointed
to the task force by the Council, accompanied by a detailed statement
of the advisors' (i) qualifications and relevant experience; and (ii)
potential conflicts of interest.
8. Procedure if No Task Force is Formed
a. If the Council decides not to convene a task force,
the Council will request that, within ten (10) calendar days thereafter,
each Region appoint a representative to solicit the Regionís views on
the issue. Each such representative shall be asked to submit a Region
Statement to the Issue Manager within thirty-five (35) calendar days
after initiation of the PDP.
b. The Council may also pursue other options that
it deems appropriate to assist in the PDP, including appointing a particular
individual or organization to gather information on the issue or scheduling
meetings for deliberation or briefing. All such information shall be
submitted to the Issue Manager within thirty-five (35) calendar days
after initiation of the PDP.
c. The Issue Manager will take all Region Statements,
Comment Statements, and other information and compile (and post on the
Comment Site) an Initial Report within fifty (50) calendar days after
initiation of the PDP. Thereafter, the PDP shall follow the provisions
of Item 9 below in creating a Final Report.
9. Comments to the Task Force Report or Initial Report
a. The comment period will last for twenty (20) calendar
days after posting of the Task Force Report or Initial Report. Comments
will be accepted from ccTLD Managers and from the public. All comments
shall be accompanied by the name of the author of the comments, the
author's relevant experience, and the author's interest in the issue.
b. At the end of the twenty (20) day period, the Issue
Manager will be responsible for reviewing the comments received and
adding those deemed appropriate for inclusion in the Issue Manager's
reasonable discretion to the Task Force Report or Initial Report (collectively,
the "Final Report"). The Issue Manager shall not be obligated
to include all comments made during the comment period, including each
comment made by any one individual or organization.
c. The Issue Manager shall prepare the Final Report
and submit it to the Council chair within ten (10) calendar days after
the end of the comment period.
10. Council Deliberation
a. Upon receipt of a Final Report, whether as the
result of a task force or otherwise, the Council chair will (i) distribute
the Final Report to all Council members; and (ii) call for a Council
meeting within ten (10) calendar days thereafter. The Council may commence
its deliberation on the issue prior to the formal meeting, including
via in-person meetings, conference calls, e-mail discussions or any
other means the Council may choose. The deliberation process shall culminate
in a formal Council meeting either in person or via teleconference,
wherein the Council will work towards achieving a Supermajority Vote
to present to the Board.
b. The Council may, if it so chooses, solicit the
opinions of outside advisors at its final meeting. The opinions of these
advisors, if relied upon by the Council, shall be (i) embodied in the
Council's report to the Board, (ii) specifically identified as coming
from an outside advisor; and (iii) be accompanied by a detailed statement
of the advisor's (a) qualifications and relevant experience; and (b)
potential conflicts of interest.
11. Agreement of the Council
A Supermajority Vote of the Council members will be deemed to reflect
the view of the Council, and may be conveyed to the Board as the Council's
recommendation in the Board Report (outlined below). In such a vote,
abstentions shall not be permitted unless a Council Member identifies
a financial interest in the outcome of the policy issue. Notwithstanding
the foregoing, as outlined below, all viewpoints expressed by Council
members during the PDP must be included in the Board Report.
11. Council Report to the Board
The Issue Manager will be present at the final meeting of the Council,
and will have five (5) calendar days after the meeting to incorporate
the views of the Council into a report to be approved by the Council and
then to be submitted to the Board (the "Board Report"). The
Board Report must contain at least the following:
a. A clear statement of any Supermajority
Vote recommendation of the Council;
b. If a Supermajority Vote was not reached,
a clear statement of all positions held by Council members. Each statement
should clearly indicate (i) the reasons underlying each position and
(ii) the Region(s) that held the position;
c. An analysis of how the issue would affect
each Region, including any financial impact on the Region;
d. An analysis of the period of time that
would likely be necessary to implement the policy;
e. The advice of any outside advisors relied
upon, which should be accompanied by a detailed statement of the advisor's
(i) qualifications and relevant experience; and (ii) potential conflicts
f. The Final Report submitted to the Council;
g. A copy of the minutes of the Council deliberation
on the policy issue, including the all opinions expressed during such
deliberation, accompanied by a description of who expressed such opinions.
13. Board Vote
a. The Board will meet to discuss the ccNSO
Council recommendation as soon as feasible after receipt of the Board
Report from the Issue Manager.
b. In the event that the Council reached a
Supermajority Vote, the Board shall adopt the policy according to the
Council Supermajority Vote recommendation unless by a vote of more than
sixty-six (66%) percent the Board determines that such policy is not
in the best interests of the ICANN community or ICANN.
1. In the event that the Board determines
not to act in accordance with the Council Supermajority Vote recommendation,
the Board shall (i) state the reasons for its determination not to
act in accordance with the Vote in a report to the Council (the "Board
Statement"); and (ii) submit the Board Statement to the Council.
2. The Council shall review the Board Statement
for discussion with the Board within twenty (20) calendar days after
the Council's receipt of the Board Statement. The Board shall determine
the method (e.g., by teleconference, e-mail, or otherwise) by which
the Council and Board will discuss the Board Statement. The discussions
shall be held in good faith and in a timely and efficient manner,
to find a mutually acceptable solution
3. At the conclusion of the Council and
Board discussions, the Council shall meet to affirm or modify its
recommendation, and communicate that conclusion (the "Supplemental
Recommendation") to the Board, including an explanation for its
current recommendation. In the event that the Council is able to reach
a Supermajority Vote on the Supplemental Recommendation, the Board
shall adopt the recommendation unless more than sixty-six (66%) percent
of the Board determines that such policy is not in the interests of
the ICANN community or ICANN.
4. In the event that the Board determines
not to act in accordance with the Supermajority Vote on the Supplemental
Recommendation then the Board will state in its final decision the
reasons for its determination not to act in accordance with the Vote
c. In any case in which the Council is not
able to reach Supermajority, but is able to reach a Majority then the
Board shall adopt the policy according to the Council Majority Vote
recommendation unless by a vote of more than fifty (50%) percent the
Board determines that such policy is not in the best interests of the
ICANN community or ICANN.
14. Implementation of the Policy
Upon a final decision of the Board, the Board shall, as appropriate,
give authorization or direction to the ICANN staff to take all necessary
steps to implement the policy.
15. Maintenance of Records
Throughout the PDP, from policy suggestion to a final decision by the
Board, ICANN will maintain on the Website, a status web page detailing
the progress of each PDP issue, which will describe:
a. The initial suggestion for a policy;
b. A list of all suggestions that do not result in
the creation of an Issue Report;
c. The timeline to be followed for each policy;
d. All discussions among the Council regarding the
e. All reports from task forces, the Issue Manager,
the Council and the Board; and
f. All public comments submitted.
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