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Internet Corporation for Assigned Names and Numbers

Background

At its Stockholm meeting in July 2001, the ICANN Board accepted the "Criteria for the Establishment of New Regional Internet Registries" recommended by the ASO Address Council as a statement of essential requirements for new regional Internet registries (RIRs), elaborating upon the basic requirements of section 9 of the ASO Memorandum of Understanding. Taking that document as a framework for the consideration of applications for recognition as a new RIR, the Board authorized the President to "establish procedures and standards for the receipt of applications for recognition of new RIRs and for the evaluation of those applications, according to section 9 of the ASO-MOU and consistent with the requirements set forth in the Criteria."

At its open policy meeting in late November 2001, the LACNIC organization presented to ICANN an application for recognition as the RIR for the Latin America and Caribbean region, together with a transition plan developed in cooperation with ARIN, the RIR that currently serves that region. Since that time, LACNIC and ARIN have moved forward with the first phases of the transition. ICANN staff have been carefully reviewing the application and monitoring the progress of the transition.

In light of the need to act on the LACNIC application, this paper (a) documents the procedures and standards established by ICANN's President for receipt and evaluation of applications for recognition of new RIRs, (b) reports on the ICANN staff's evaluation of the LACNIC proposal, and (c) recommends that, because the LACNIC application and transition plan are consistent with the Criteria, the ICANN Board should proceed with conditional approval of LACNIC's application and transition plan, with full RIR recognition to be considered at the conclusion of the transition plan and upon submission of a final application.

Procedures and Standards for Receipt and Evaluation of Applications

In establishing procedures and standards for receipt and evaluation of application, the President has adopted a relatively informal, common-sense set of principles:

1. An application for recognition as an RIR must address the "Criteria for the Establishment of New Regional Internet Registries" (ICP-2), on a point-by-point basis. If the application does not do so, it will be returned to the applicant with a request to address each of the criteria.

2. An application for recognition as an RIR must include a transition plan, defining phases and specific milestones that mark progress toward the fulfillment of each of the ICP-2 criteria. The transition plan should be developed in close cooperation with the existing RIRs.

3. When an application for recognition as an RIR is received, the ICANN President and staff will undertake an evaluation of the application with reference to the ICP-2 criteria. As part of the evaluation, the ICANN President and staff will seek the views of interested parties, including the existing RIRs, and will consult closely with the applicant to fill any gaps in information.

4. When the staff's evaluation has progressed to a point at which it finds the application and transition plan to constitute a reasonable basis for eventual recognition, the President will report that finding to the Board and recommend conditional approval for the transition plan.

5. As the approved transition plan nears completion, the applicant should present an updated and final application reflecting modifications and additions that were made during the transition. The ICANN President and staff will work in close coordination with the applicant to ensure that all necessary elements are addressed in the final application.

6. As to timing, the application and transition plan should be submitted early in the transition process, in order to avoid wasted effort in unproductive directions. Thus, the anticipated sequence is this: the application and transition plan will lead to conditional approval, followed by the execution and completion of the transition plan, leading to full recognition of the applicant as an RIR.

Evaluation of LACNIC Application

Applying these evaluation standards to the LACNIC application:

The application addresses the "Criteria for the Establishment of New Regional Internet Registries" (ICP-2) on a point-by-point basis; and it includes a transition plan that defines phases and milestones, developed in close coordination with the existing RIRs. The existing RIRs have offered a joint statement that favorably assesses LACNIC's transition plan and progress toward fulfillment of the ICP-2 Criteria.

Accordingly, the ICANN staff has initiated its evaluation of the LACNIC application, which includes responses to each of the ICP-2 criteria, a detailed transition plan, and seven annexes:

• Annex I - LACNIC's Service Agreement Letter
• Annex II - LACNIC's Bylaws
• Annex III - LACNIC's Policies
• Annex IV - LACNIC's Funding Model
• Annex V - LACNIC's Staff Resumes
• Annex VI - LACNIC's Non Disclosure Agreements
• Annex VII - LACNIC's Country/Territory List.

On the basis of the evaluation thus far, the ICANN President has concluded that the LACNIC application and transition plan constitute a reasonable basis for eventual recognition. While some adjustments to the application and transition plan will be required prior to final recognition, conditional approval by ICANN will assist LACNIC and its regional Internet community to establish a fully-recognized regional Internet registry for the Latin American and Caribbean region.

Recommendation to ICANN Board

In anticipation of full RIR recognition upon the completion of the transition plan and submission of a final application for RIR status in conformance with the ASO MoU and ICP-2, the President recommends that the ICANN Board in Accra give conditional approval to LACNIC's application and transition plan.

On the basis of the staff evaluation thus far, some adjustments to the LACNIC documents will be necessary; however, it is clear that the application and transition plan constitute a reasonable basis for full recognition. LACNIC's accomplishments thus far have been notable, and warrant a statement of conditional approval by the ICANN Board, to indicate its support and agreement that LACNIC is on the right track to fulfill the requirements for RIR recognition.