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Third Accountability and Transparency Review (view source)
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==Background==
==Background==
===Purpose and Origin of Specific Reviews===
The [[Affirmation of Commitments]], an agreement between ICANN and the [[United States Department of Commerce]], establishes ICANN's obligations to perform its duties with specific commitments in mind. All of the commitments bear on public and consumer trust of the organization. ICANN is to perform its functions in a manner that:
The [[Affirmation of Commitments]], an agreement between ICANN and the [[United States Department of Commerce]], establishes ICANN's obligations to perform its duties with specific commitments in mind. All of the commitments bear on public and consumer trust of the organization. ICANN is to perform its functions in a manner that:
*ensures accountability and transparency of decision-making;
*ensures accountability and transparency of decision-making;
The [[Organizational Effectiveness Committee]] of the board oversees the conduct of specific reviews.<ref>[https://www.icann.org/resources/pages/organizational-effectiveness-committee-2014-03-21-en ICANN.org - Organizational Effectiveness Committee]</ref> The ATRT is one such specific review.
The [[Organizational Effectiveness Committee]] of the board oversees the conduct of specific reviews.<ref>[https://www.icann.org/resources/pages/organizational-effectiveness-committee-2014-03-21-en ICANN.org - Organizational Effectiveness Committee]</ref> The ATRT is one such specific review.
===Delays in Launching Substantive Work===
===Delays in Launching Substantive Work===
The call for volunteers for ATRT3 was initially put out in January, 2017. It was subsequently extended in April 2017. At the time of extension, the Board noted that multiple factors were impacting the timing of ATRT3. Because of the timing of [[Second Accountability and Transparency Review|ATRT2]], the ICANN Bylaws required that the review be launched not later than October 2017. Meanwhile, the Cross Community Working Group on ICANN Accountability (CCWG-Accountability) notified that Board in 2016 that its work was overlapping substantially with the scope of ATRT reviews. The CCWG-Accountability co-chairs raised the possibility of crafting a narrow scope for ATRT3, to avoid duplication of work.<ref>[https://www.icann.org/en/announcements/details/call-for-volunteers-for-the-third-review-of-icann-accountability-and-transparency-atrt3-31-1-2017-en ICANN.org - Call for Volunteers for ATRT3], January 1, 2017</ref> At the same time, the [[IANA Transition]] was just wrapping up, and many voices within the ICANN community were speaking up about volunteer fatigue.<ref name="launchres">[https://www.icann.org/resources/board-material/resolutions-2018-10-25-en#2.a Resolution of the Board], October 25, 2018</ref> As a result, in 2018 the Board submitted three separate papers for public comment: "Short-Term options to Adjust the Timeline for Specific Reviews,"<ref>[https://www.icann.org/public-comments/specific-reviews-short-term-timeline-2018-05-14-en ICANN Public Comment Archive - Short-Term Options to Adjust the Timeline for Specific Reviews], May 14, 2018</ref> "Long-Term Options to Adjust the Timeline of Reviews,"<ref>https://www.icann.org/public-comments/reviews-long-term-timeline-2018-05-14-en ICANN Public Comment Archive - Long Term Options to Adjust the Timeline of Reviews], May 14, 2018</ref> and a follow-up "Next Steps on Reviews" document.<ref>[https://www.icann.org/public-comments/reviews-next-steps-2018-09-05-en ICANN Public Comment Archive - Next Steps on Reviews]</ref>
The call for volunteers for ATRT3 was initially put out in January, 2017. It was subsequently extended in April 2017. At the time of extension, the Board noted that multiple factors were impacting the timing of ATRT3. Because of the timing of [[Second Accountability and Transparency Review|ATRT2]], the ICANN Bylaws required that the review be launched not later than October 2017. Meanwhile, the Cross Community Working Group on ICANN Accountability (CCWG-Accountability) notified that Board in 2016 that its work was overlapping substantially with the scope of ATRT reviews. The CCWG-Accountability co-chairs raised the possibility of crafting a narrow scope for ATRT3, to avoid duplication of work.<ref>[https://www.icann.org/en/announcements/details/call-for-volunteers-for-the-third-review-of-icann-accountability-and-transparency-atrt3-31-1-2017-en ICANN.org - Call for Volunteers for ATRT3], January 1, 2017</ref> At the same time, the [[IANA Transition]] was just wrapping up, and many voices within the ICANN community were speaking up about volunteer fatigue.<ref name="launchres">[https://www.icann.org/resources/board-material/resolutions-2018-10-25-en#2.a Resolution of the Board], October 25, 2018</ref> As a result, in 2018 the Board submitted three separate papers for public comment: "Short-Term options to Adjust the Timeline for Specific Reviews,"<ref>[https://www.icann.org/public-comments/specific-reviews-short-term-timeline-2018-05-14-en ICANN Public Comment Archive - Short-Term Options to Adjust the Timeline for Specific Reviews], May 14, 2018</ref> "Long-Term Options to Adjust the Timeline of Reviews,"<ref>https://www.icann.org/public-comments/reviews-long-term-timeline-2018-05-14-en ICANN Public Comment Archive - Long Term Options to Adjust the Timeline of Reviews], May 14, 2018</ref> and a follow-up "Next Steps on Reviews" document.<ref>[https://www.icann.org/public-comments/reviews-next-steps-2018-09-05-en ICANN Public Comment Archive - Next Steps on Reviews]</ref>
In October 2018, the board approved a resolution to instruct ATRT3 to begin work, encouraging them to promptly submit their work plan and begin substantive work in January 2019. It also appointed [[Maarten Botterman]] to the ATRT3 team.<ref name="launchres" />
In October 2018, the board approved a resolution to instruct ATRT3 to begin work, encouraging them to promptly submit their work plan and begin substantive work in January 2019. It also appointed [[Maarten Botterman]] to the ATRT3 team.<ref name="launchres" />
===Findings and Recommendations===
==Review Team==
The ATRT3 review team held its first in-person meeting in April 2019 to set the scope of the review and establish its work plan.<ref name="workplan">[https://www.icann.org/en/system/files/correspondence/kane-langdon-orr-to-icann-board-14jun19-en.pdf ATRT3 Terms of Reference and Work Plan], June 14, 2018.</ref> Unlike previous ATRT reviews, the review team did not identify a need for an independent expert to consult. Instead, they identified four top-level issues for the review team's work parties to address:
The ATRT3 review team held its first in-person meeting in April 2019 to set the scope of the review and establish its work plan.<ref name="workplan">[https://www.icann.org/en/system/files/correspondence/kane-langdon-orr-to-icann-board-14jun19-en.pdf ATRT3 Terms of Reference and Work Plan], June 14, 2018.</ref> Unlike previous ATRT reviews, the review team did not identify a need for an independent expert to consult. Instead, they identified four top-level issues for the review team's work parties to address:
# Board governance and community interaction;
# Board governance and community interaction;
# GAC interaction with the board and the broader community;
# GAC interaction with the board and the broader community;
# Review processes - how ICANN receives public input, as well as a review of implementation of recommendations from [[Second Accountability and Transparency Review|ATRT2]];
# Review processes - how ICANN receives public input, as well as a review of implementation of recommendations from [[Second Accountability and Transparency Review|ATRT2]];
# The impact of ICANN's decision-making process as it relates to the broader Internet community, and the effectiveness of ICANN's policy development process in fostering cross community particiipation.<ref name="workplan" />
# The impact of ICANN's decision-making process as it relates to the broader Internet community, and the effectiveness of ICANN's policy development process in fostering cross community participation.<ref name="workplan" />
The four work parties presented findings that were consolidated into a draft report and recommendations, published for public comment on December 14, 2019.<ref>[https://www.icann.org/en/system/files/files/draft-report-atrt3-summary-16dec19-en.pdf ATRT3 - Draft Report for Public Comment], December 16, 2019.</ref> The draft report received comments from many ICANN bodies, as well as the board.<ref>[https://www.icann.org/en/system/files/files/report-comments-atrt3-draft-report-14feb20-en.pdf Staff Report on Public Comment Proceeding], February 14, 2020</ref> The review team analyzed and incorporated the comments into the final version of its report, which was delivered to the board in May 2020.<ref>[https://www.icann.org/en/system/files/files/atrt3-report-29may20-en.pdf ATRT3 - Final Report], May 29, 2020</ref>
===Methodology===
The ATRT3 team utilized a number of fact-finding methods in order to gain a picture of the current state of ICANN's accountability and transparency initiatives:
* Review and assessment of ATRT2 implementation;
* Within each topic area, the work parties devised questions for a survey that was issued to the ICANN community, with specific invitations to ICANN structures ([[Advisory Committee|ACs]], [[Supporting Organizations|SOs]], [[GNSO Houses|GNSO constituencies]], and [[Regional At-Large Organization|RALOs) to participate;
* Conducted interviews, public meetings, and workshops at [[ICANN 65]] and [[ICANN 66]];
* Received briefings from various groups, including ICANN org's Public Participation team and the [[Second NomCom Organizational Review|NomCom2]] implementation working group;
* Reviewed the [[ICANN Accountability Indicators]] in detail;
* Reviewed many ICANN documents; and
* Requested and received numerous clarifications and details from ICANN org and staff<ref name="draftrep">[https://www.icann.org/en/system/files/files/draft-report-atrt3-16dec19-en.pdf ATRT3 - Draft Report for Public Comment], December 16, 2019.</ref>
The sessions at ICANN Meetings generated many comments from The survey received 88 individual responses (with 50 of those responsed completing the majority of the survey) and responses from 14 of the 17 specifically invited ICANN groups.<ref name="draftrep" />
===Draft Report===
The four work parties presented findings that were consolidated into a draft report, published for public comment on December 14, 2019.<ref name="draftrep" /> The draft report proposed substantial changes to ICANN's processes around specific and organizational reviews, prioritization of improvements, and public participation.
====Findings====
The draft report received comments from many ICANN bodies, as well as the board.<ref>[https://www.icann.org/en/system/files/files/report-comments-atrt3-draft-report-14feb20-en.pdf Staff Report on Public Comment Proceeding], February 14, 2020</ref> The review team analyzed and incorporated the comments into the final version of its report, which was delivered to the board in May 2020.<ref>[https://www.icann.org/en/system/files/files/atrt3-report-29may20-en.pdf ATRT3 - Final Report], May 29, 2020</ref>
The final report generated substantial dissenting opinions in the public comment period.<ref name="comments">[https://www.icann.org/en/system/files/files/report-comments-atrt3-final-report-31aug20-en.pdf Staff Report on Public Comment Proceeding], August 31, 2020</ref> In particular, the recommendations to suspend certain specific reviews until after the next cycle of the ATRT review was met with strong opposition from some constituencies.<ref name="comments" /> Following the public comment period, in November 2020, the ICANN Board approved a set of recommendations from the final report, "subject to prioritization."<ref>[https://www.icann.org/en/system/files/files/resolutions-atrt3-final-recs-board-action-scorecard-30nov20-en.pdf ICANN Resolution Archive - ATRT3 Recommendations Scorecard]</ref><ref>[https://www.icann.org/resources/board-material/resolutions-2020-11-30-en#1.a Resolution of the Board], November 30, 2020</ref>
The final report generated substantial dissenting opinions in the public comment period.<ref name="comments">[https://www.icann.org/en/system/files/files/report-comments-atrt3-final-report-31aug20-en.pdf Staff Report on Public Comment Proceeding], August 31, 2020</ref> In particular, the recommendations to suspend certain specific reviews until after the next cycle of the ATRT review was met with strong opposition from some constituencies.<ref name="comments" /> Following the public comment period, in November 2020, the ICANN Board approved a set of recommendations from the final report, "subject to prioritization."<ref>[https://www.icann.org/en/system/files/files/resolutions-atrt3-final-recs-board-action-scorecard-30nov20-en.pdf ICANN Resolution Archive - ATRT3 Recommendations Scorecard]</ref><ref>[https://www.icann.org/resources/board-material/resolutions-2020-11-30-en#1.a Resolution of the Board], November 30, 2020</ref>