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→Past Reviews
==Specific Reviews==
==Specific Reviews==
ICANN's operations are subject to periodic '''Specific Reviews''', enumerated in Article 4.6 of the bylaws:<ref name="specrvw">[https://www.icann.org/resources/reviews/specific-reviews ICANN.org - Specific (Article 4.6) Reviews]</ref>
===History===
ICANN's operations are subject to periodic '''Specific Reviews''', enumerated in Article 4.6 of the bylaws.<ref name="specrvw">[https://www.icann.org/resources/reviews/specific-reviews ICANN.org - Specific (Article 4.6) Reviews]</ref> These reviews are the result of ICANN's 2009 [[Affirmation of Commitments]] (AoC) with the [[United States Department of Commerce]]. Prior to 2016, specific reviews were conducted to fulfill ICANN's promise to review its performance relative to the commitments contained in the AoC. The bylaws were amended in October 2016 to incorporate the commitments and the review process described in the AoC into the bylaws as Article 4.6.<ref>[https://www.icann.org/resources/pages/bylaws-2016-09-30-en#article4 ICANN.org Archive - Bylaws as adopted October 1, 2016</ref> The specific reviews address adherence to the following commitments:
*Accountability and Transparency (ATRT) - focused on ICANN operations<ref>[https://www.icann.org/resources/reviews/specific-reviews/atrt ICANN.org - Accountability & Transparency Review]</ref>
*Accountability and Transparency (ATRT) - focused on ICANN operations<ref>[https://www.icann.org/resources/reviews/specific-reviews/atrt ICANN.org - Accountability & Transparency Review]</ref>
*Security, Stability, & Resiliency (SSR) - focused on the DNS<ref>[https://www.icann.org/resources/reviews/specific-reviews/ssr ICANN.org - Security, Stability, & Resiliency Review]</ref>
*Security, Stability, & Resiliency (SSR) - focused on the DNS<ref>[https://www.icann.org/resources/reviews/specific-reviews/ssr ICANN.org - Security, Stability, & Resiliency Review]</ref>
==Organizational Reviews==
==Organizational Reviews==
Each [[Supporting Organizations|supporting organization]] and [[Advisory Committee|advisory committee]], as well as the [[Nominating Committee]] is periodically reviewed pursuant to Article 4.4 of the Bylaws.<ref name="orgrvw">[https://www.icann.org/resources/reviews/org ICANN.org - Organizational Reviews]</ref> The [[Governmental Advisory Committee|GAC]] is exempted from Article 4.4, although it is charged to implement and deploy its own review processes.<ref name="art44">[https://www.icann.org/resources/pages/governance/bylaws-en/#article4.4 ICANN Bylaws], Article 4.4</ref>
Each [[Supporting Organizations|supporting organization]] and [[Advisory Committee|advisory committee]], as well as the [[Nominating Committee]] is periodically reviewed pursuant to Article 4.4 of the Bylaws.<ref name="orgrvw">[https://www.icann.org/resources/reviews/org ICANN.org - Organizational Reviews]</ref> The [[Governmental Advisory Committee|GAC]] is exempted from Article 4.4, although it is charged to implement and deploy its own review processes.<ref name="art44">[https://www.icann.org/resources/pages/governance/bylaws-en/#article4.4 ICANN Bylaws], Article 4.4</ref>
===History===
Article 4.4 was first added to the [[ICANN Bylaws]] in December 2002, following the [[2002 Evolution and Reform Process]].<ref name="2002bylaws">[https://www.icann.org/resources/unthemed-pages/bylaws-2002-12-15-en#IV ICANN.org Archive - Bylaws as amended December 15, 2002</ref>. As originally formulated, Article 4.4 posed two questions for review: "(i) whether that organization has a continuing purpose in the ICANN structure, and (ii) if so, whether any change in structure or operations is desirable to improve its effectiveness."<ref name="2002bylaws" /> In October 2016, Article 4 was revised to include specific reviews, and at that time Article 4.4 was amended to include the third foundational question of organizational reviews: "(iii) whether that organization, council or committee is accountable to its constituencies, stakeholder groups, organizations and other stakeholders."<ref>[https://www.icann.org/resources/pages/bylaws-2016-09-30-en#article4 ICANN.org Archive - Bylaws as amended October 1, 2016]</ref> Article 4.4 has remained functionally unchanged since its revision in 2016.
===Timing & Process===
===Timing & Process===
An Independent Examiner is contracted to perform the fact finding, assessment, reporting, and recommendations of the review process. The examiner is selected through a competitive bid process.<ref name="orflow">[https://www.icann.org/en/system/files/files/org-reviews-process-flowchart-31aug17-en.pdf ICANN.org - Organizational Review Process Flowchart], August 31, 2017 (PDF)</ref> The review timeline for organization reviews can stretch between three to five years.<ref name="orgrvw" /> Like specific reviews, the process has multiple stages of public comment, as well as interaction and comment between the organization being reviewed and the Independent Examiner.<ref name="orflow" />
An Independent Examiner is contracted to perform the fact finding, assessment, reporting, and recommendations of the review process. The examiner is selected through a competitive bid process.<ref name="orflow">[https://www.icann.org/en/system/files/files/org-reviews-process-flowchart-31aug17-en.pdf ICANN.org - Organizational Review Process Flowchart], August 31, 2017 (PDF)</ref> The review timeline for organization reviews can stretch between three to five years.<ref name="orgrvw" /> Like specific reviews, the process has multiple stages of public comment, as well as interaction and comment between the organization being reviewed and the Independent Examiner.<ref name="orflow" />
===Board Review===
During the initiation of the first round of organizational reviews, the [[ICANN Board]] determined that it would be good for the organization if it also participated in a review process under the organizational review model. The [[ICANN Board Review]] occurred between 2007 and 2010, but was not repeated.<ref>[https://www.icann.org/resources/reviews/org/board ICANN Board Review Dashboard]</ref> The [[Organizational Effectiveness Committee|Structural Improvements Committee]] (now known as the Organizational Effectiveness Committee) was tasked with presenting a set of actions and improvements based on the report of the board review working group.<ref>[https://www.icann.org/resources/board-material/resolutions-2010-06-25-en#1.4 Resolution of the Board], June 25, 2010</ref> Other mechanisms exist for review of the board, as well as the review of board decisions, within the ICANN Bylaws.<ref>[https://www.icann.org/resources/pages/governance/bylaws-en/#article4 Article 4] provides for review mechanisms for board actions; [https://www.icann.org/resources/pages/governance/bylaws-en/#article5 Article 5] establishes the Ombudsman's office.</ref>
===Technical Liaison Group Review===
As with the Article 4-style ICANN Board review, the board determined during the first round of organizational reviews that it would be beneficial if the [[Technical Liaison Group]] engaged in an organizational review process.<ref name="tlgdash">[https://www.icann.org/resources/reviews/org/tlg TLG Review Dashboard], last updated August 25, 2011</ref> The [[Technical Liaison Group Review]] was initiated by the board at [[ICANN 37]] in Nairobi in March 2010,<ref>[https://www.icann.org/resources/board-material/resolutions-2010-03-12-en#1.5 Resolution of the Board], March 12, 2010</ref> and continued through 2011.<ref name="tlgdash" /> As with ICANN Board review, the experiment was not repeated.
==Past Reviews==
==Past Reviews==
<gallery>
File:First Org Reviews.jpeg|Timeline - First Organizational Reviews
File:Review Overlap.jpeg|Review Overlap Visualization
</gallery>
===Specific Reviews===
===Specific Reviews===
{| class="wikitable"
{| class="wikitable"
| October 1, 2015
| October 1, 2015
|
|
| [[First Competition, Consumer Trust, and Consumer Choice Review|CCT1]]
| [[First Competition, Consumer Trust, and Consumer Choice Review|CCT 1]]
| [https://www.icann.org/en/system/files/files/cct-final-08sep18-en.pdf CCT1 Final Report - PDF]
| [https://www.icann.org/en/system/files/files/cct-final-08sep18-en.pdf CCT1 Final Report - PDF]
|-
|-
| January 11, 2010
| January 11, 2010
| January 29, 2013
| January 29, 2013
| [[First Accountability and Transparency Review|ATRT1]]
| [[First Accountability and Transparency Review|ATRT 1]]
| [https://www.icann.org/en/system/files/files/final-recommendations-31dec10-en.pdf ATRT1 Final Report - PDF]<br /> [https://www.icann.org/en/system/files/files/atrt-implementation-report-29jan13-en.pdf ATRT1 Implementation Report - PDF]
| [https://www.icann.org/en/system/files/files/final-recommendations-31dec10-en.pdf ATRT1 Final Report - PDF]<br /> [https://www.icann.org/en/system/files/files/atrt-implementation-report-29jan13-en.pdf ATRT1 Implementation Report - PDF]
|-
|-
| October 5, 2012
| October 5, 2012
| December 31, 2015
| December 31, 2015
| [[Second Accountability and Transparency Review|ATRT2]]
| [[Second Accountability and Transparency Review|ATRT 2]]
| [https://www.icann.org/en/system/files/files/final-recommendations-31dec13-en.pdf ATRT1 Final Report - PDF]<br />[https://community.icann.org/display/atrt/ATRT2+Implementation+Program ATRT2 Implementation Report - PDF]
| [https://www.icann.org/en/system/files/files/final-recommendations-31dec13-en.pdf ATRT1 Final Report - PDF]<br />[https://community.icann.org/display/atrt/ATRT2+Implementation+Program ATRT2 Implementation Report - PDF]
|-
|-
| January 31, 2017
| January 31, 2017
|
|
| [[Third Accountability and Transparency Review|ATRT3]]
| [[Third Accountability and Transparency Review|ATRT 3]]
| [https://www.icann.org/en/system/files/files/atrt3-report-29may20-en.pdf ATRT3 Final Report]
| [https://www.icann.org/en/system/files/files/atrt3-report-29may20-en.pdf ATRT3 Final Report]
|-
|-
| June 1, 2010
| June 1, 2010
| December 31, 2015
| December 31, 2015
| [[First Registration Directory Service Review|RDS1]]
| [[First Registration Directory Service Review|RDS 1]]
| [https://www.icann.org/en/system/files/files/final-report-11may12-en.pdf RDS1 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/implementation-action-08nov12-en.pdf RDS1 Implementation Report (PDF)]
| [https://www.icann.org/en/system/files/files/final-report-11may12-en.pdf RDS1 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/implementation-action-08nov12-en.pdf RDS1 Implementation Report (PDF)]
|-
|-
| October 28, 2016
| October 28, 2016
|
|
| [[Second Registration Directory Service Review|RDS2]]
| [[Second Registration Directory Service Review|RDS 2]]
| [https://www.icann.org/zh/system/files/files/rds-whois2-review-03sep19-en.pdf RDS2 Final Report (PDF)]
| [https://www.icann.org/zh/system/files/files/rds-whois2-review-03sep19-en.pdf RDS2 Final Report (PDF)]
|-
|-
| June 1, 2010
| June 1, 2010
| December 31, 2015
| December 31, 2015
| [[First Security, Stability, and Resiliency Review|SSR1]]
| [[First Security, Stability, and Resiliency Review|SSR 1]]
| [https://www.icann.org/en/system/files/files/final-report-20jun12-en.pdf SSR1 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/ssr-review-implementation-30jun15-en.pdf SSR1 Implementation Report (PDF)]
| [https://www.icann.org/en/system/files/files/final-report-20jun12-en.pdf SSR1 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/ssr-review-implementation-30jun15-en.pdf SSR1 Implementation Report (PDF)]
|-
|-
| June 30, 2016
| June 30, 2016
|
|
| [[Second Security, Stability, and Resiliency Review|SSR2]]
| [[Second Security, Stability, and Resiliency Review|SSR 2]]
| [https://www.icann.org/en/system/files/files/ssr2-review-team-final-report-25jan21-en.pdf SSR2 Final Report (PDF)]
| [https://www.icann.org/en/system/files/files/ssr2-review-team-final-report-25jan21-en.pdf SSR2 Final Report (PDF)]
|-
|-
| January 23, 2008
| January 23, 2008
| June 14, 2012
| June 14, 2012
| [[First ALAC Organizational Review|At-Large1]]
| [[First ALAC Organizational Review|At-Large 1]]
| [https://www.icann.org/en/system/files/files/final-report-alac-review-09jun09-en.pdf At-Large1 Final Report (PDF)]<br />[https://community.icann.org/download/attachments/34603644/ALAC%20At-Large%20Improvements%20Implementation%20Project%20-%20Final%20Report%2014%20June%202012.pdf At-Large1 Implementation Project Final Report (PDF)]
| [https://www.icann.org/en/system/files/files/final-report-alac-review-09jun09-en.pdf At-Large1 Final Report (PDF)]<br />[https://community.icann.org/download/attachments/34603644/ALAC%20At-Large%20Improvements%20Implementation%20Project%20-%20Final%20Report%2014%20June%202012.pdf At-Large1 Implementation Project Final Report (PDF)]
|-
|-
| January 6, 2016
| January 6, 2016
| December 18, 2020
| December 18, 2020
| [[Second ALAC Organizational Review|At-Large2]]
| [[Second ALAC Organizational Review|At-Large 2]]
| [https://www.icann.org/en/system/files/files/atlarge-review-final-02may17-en.pdf At-Large2 Final Report (PDF)]<br />[https://community.icann.org/download/attachments/102145404/At-Large%20Review%20Implementation%20Status%20Update%20-%20December%202020.pdf At-Large2 Implementation Status Report (PDF)]
| [https://www.icann.org/en/system/files/files/atlarge-review-final-02may17-en.pdf At-Large2 Final Report (PDF)]<br />[https://community.icann.org/download/attachments/102145404/At-Large%20Review%20Implementation%20Status%20Update%20-%20December%202020.pdf At-Large2 Implementation Status Report (PDF)]
|-
|-
| Complete
| Complete
| December 12, 2010
| December 12, 2010
| November 27, 2013
| November 17, 2014
| [[First ASO Organizational Review|ASO1]]
| [[First ASO Organizational Review|ASO 1]]
| [https://www.nro.net/wp-content/uploads/ASO-Review-Report-2012.pdf ASO1 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/correspondence/wilson-to-plzak-27nov13-en.pdf Letter Re: Finalization of ASO1 Implementation (PDF)]
| [https://www.nro.net/wp-content/uploads/ASO-Review-Report-2012.pdf ASO1 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/correspondence/wilson-to-plzak-27nov13-en.pdf Letter Re: Finalization of ASO1 Implementation (PDF)]
|-
|-
| November 18, 2016
| November 18, 2016
| August 31, 2017
| August 31, 2017
| [[Second ASO Organizational Review|ASO2]]
| [[Second ASO Organizational Review|ASO 2]]
| [https://www.nro.net/wp-content/uploads/ASO-Review-Report-2017.pdf ASO2 Final Report (PDF)]
| [https://www.nro.net/wp-content/uploads/ASO-Review-Report-2017.pdf ASO2 Final Report (PDF)]
|-
| ICANN Board Review
| Complete
| September 20, 2007
| June 25, 2010
| [[ICANN Board Review]]
| [https://www.icann.org/en/system/files/files/board-review-final-26jan10-en.pdf ICANN Board Review Final Report (PDF)]
|-
|-
| ccNSO #1
| ccNSO #1
| June 26, 2009
| June 26, 2009
| September 11, 2013
| September 11, 2013
| [[First ccNSO Organizational Review|ccNSO1]]
| [[First ccNSO Organizational Review|ccNSO 1]]
| [https://www.icann.org/en/system/files/files/ccnso-review-wg-final-report-04mar11-en.pdf ccNSO2 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/improvements-implementation-plan-11sep13-en.pdf ccNSO2 Implementation Status Report (PDF)]
| [https://www.icann.org/en/system/files/files/ccnso-review-wg-final-report-04mar11-en.pdf ccNSO2 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/improvements-implementation-plan-11sep13-en.pdf ccNSO2 Implementation Status Report (PDF)]
|-
|-
| April 6, 2017
| April 6, 2017
|
|
| [[Second ccNSO Organizational Review|ccNSO2]]
| [[Second ccNSO Organizational Review|ccNSO 2]]
| [https://www.icann.org/en/system/files/files/ccnso-review-assessment-recs-final-29aug19-en.pdf ccNSO2 Final Report (PDF)]
| [https://www.icann.org/en/system/files/files/ccnso-review-assessment-recs-final-29aug19-en.pdf ccNSO2 Final Report (PDF)]
|-
|-
| March 30, 2007
| March 30, 2007
| November 3, 2008
| November 3, 2008
| [[First GNSO Organizational Review|GNSO1]]
| [[First GNSO Organizational Review|GNSO 1]]
| [https://archive.icann.org/en/topics/gnso-improvements/gnso-improvements-report-03feb08.pdf GNSO1 Final Report (PDF)]
| [https://archive.icann.org/en/topics/gnso-improvements/gnso-improvements-report-03feb08.pdf GNSO1 Final Report (PDF)]
|-
|-
| January 1, 2014
| January 1, 2014
| January 27, 2019
| January 27, 2019
| [[Second GNSO Organizational Review|GNSO2]]
| [[Second GNSO Organizational Review|GNSO 2]]
| [https://www.icann.org/zh/system/files/files/gnso-review-final-summary-15sep15-en.pdf GNSO2 Final Report (PDF)]<br />[https://gnso.icann.org/sites/default/files/file/field-file-attach/gnso2-review-implementation-30jul18-en.pdf GNSO2 Implementation Final Report (PDF)]
| [https://www.icann.org/zh/system/files/files/gnso-review-final-summary-15sep15-en.pdf GNSO2 Final Report (PDF)]<br />[https://gnso.icann.org/sites/default/files/file/field-file-attach/gnso2-review-implementation-30jul18-en.pdf GNSO2 Implementation Final Report (PDF)]
|-
|-
| March 30, 2007
| March 30, 2007
| March 1, 2012
| March 1, 2012
| [[First NomCom Organizational Review|NomCom1]]
| [[First NomCom Organizational Review|NomCom 1]]
| [https://www.icann.org/en/system/files/files/report-23oct07-en.pdf NomCom1 Final Report of Independent Examiner (PDF)]<br />[https://www.icann.org/en/system/files/files/nomcom-review-finalization-wg-final-report-29jan10-en.pdf NomCom1 Finalization WG Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/nomcom-improvements-implementation-plan-01mar12-en.pdf NomCom1 Implementation Final Report (PDF)]
| [https://www.icann.org/en/system/files/files/report-23oct07-en.pdf NomCom1 Final Report of Independent Examiner (PDF)]<br />[https://www.icann.org/en/system/files/files/nomcom-review-finalization-wg-final-report-29jan10-en.pdf NomCom1 Finalization WG Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/nomcom-improvements-implementation-plan-01mar12-en.pdf NomCom1 Implementation Final Report (PDF)]
|-
|-
| September 13, 2016
| September 13, 2016
| December 21, 2020
| December 21, 2020
| [[Second NomCom Organizational Review|NomCom2]]
| [[Second NomCom Organizational Review|NomCom 2]]
| [https://www.icann.org/en/system/files/files/nomcom-review-final-05jun18-en.pdf NomCom2 Final Report (PDF)]<br />[https://community.icann.org/download/attachments/126421307/NomComRIWG%20Progress%20and%20Implementation%20Status%20Report%20%232%20-%2022%20December%202020.pdf NomCom2 Implementation Status Report (PDF)]
| [https://www.icann.org/en/system/files/files/nomcom-review-final-05jun18-en.pdf NomCom2 Final Report (PDF)]<br />[https://community.icann.org/download/attachments/126421307/NomComRIWG%20Progress%20and%20Implementation%20Status%20Report%20%232%20-%2022%20December%202020.pdf NomCom2 Implementation Status Report (PDF)]
|-
|-
| June 26, 2008
| June 26, 2008
| December 1, 2010
| December 1, 2010
| [[https://icannwiki.org/Root_Server_System_Advisory_Committee#2008-9_Independent_Review_of_RSSAC_by_Westlake_Consulting_Limited|RSSAC1]]
| [[First RSSAC Organizational Review|RSSAC 1]]
| [https://www.icann.org/en/system/files/files/rssac-review-final-report-08jun10-en.pdf RSSAC1 Final Report (PDF)]</br>[https://www.icann.org/en/system/files/files/rssac-review-implementation-steps-01dec10-en.pdf RSSAC1 Implementation Report (PDF)]
| [https://www.icann.org/en/system/files/files/rssac-review-final-report-08jun10-en.pdf RSSAC1 Final Report (PDF)]</br>[https://www.icann.org/en/system/files/files/rssac-review-implementation-steps-01dec10-en.pdf RSSAC1 Implementation Report (PDF)]
|-
|-
| April 19, 2017
| April 19, 2017
| December 9, 2020
| December 9, 2020
| [[https://icannwiki.org/Root_Server_System_Advisory_Committee#2017-19_Independent_Review_of_RSSAC_by_Interisle_Consulting_Group.2C_LLC|RSSAC2]]
| [[Second RSSAC Organizational Review|RSSAC 2]]
| [https://www.icann.org/en/system/files/files/rssac-review-final-02jul18-en.pdf RSSAC2 Final Report]<br />[https://icann.org/en/system/files/files/rssac2-org-review-implementation-report-09dec20-en.pdf RSSAC2 Implementation Progress Report (PDF)]
| [https://www.icann.org/en/system/files/files/rssac-review-final-02jul18-en.pdf RSSAC2 Final Report]<br />[https://icann.org/en/system/files/files/rssac2-org-review-implementation-report-09dec20-en.pdf RSSAC2 Implementation Progress Report (PDF)]
|-
|-
| June 26, 2008
| June 26, 2008
| June 25, 2010
| June 25, 2010
| [[First SSAC Organizational Review|SSAC1]]
| [[First SSAC Organizational Review|SSAC 1]]
| [https://www.icann.org/en/system/files/files/ssac-review-wg-final-report-29jan10-en.pdf SSAC1 Final Report (PDF)]
| [https://www.icann.org/en/system/files/files/ssac-review-wg-final-report-29jan10-en.pdf SSAC1 Final Report (PDF)]
|-
|-
| May 18, 2017
| May 18, 2017
| March 25, 2021
| March 25, 2021
| [[Second SSAC Organizational Review|SSAC2]]
| [[Second SSAC Organizational Review|SSAC 2]]
| [https://www.icann.org/en/system/files/files/ssac-review-final-17dec18-en.pdf SSAC2 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/ssac2020-13-03dec20-en.pdf SSAC2 Final Implementation Report (PDF)]
| [https://www.icann.org/en/system/files/files/ssac-review-final-17dec18-en.pdf SSAC2 Final Report (PDF)]<br />[https://www.icann.org/en/system/files/files/ssac2020-13-03dec20-en.pdf SSAC2 Final Implementation Report (PDF)]
|-
| Technical Liaison Group Review
| Complete
| August 1, 2010
| August 25, 2011
| [[Technical Liaison Group Review]]
| [https://www.icann.org/en/system/files/files/board-technical-relations-wg-final-report-22aug11-en.pdf Final Report, Board-Technical Relations Working Group (PDF)]
|}
|}
==Efforts to Improve & Streamline the Review Process==
==Efforts to Improve & Streamline the Review Process==
===2009 Systematization Paper===
In May 2009, the Board approved the posting of a [[Organizational Effectiveness Committee|Structural Improvements Committee]] paper, "Proposals for the Systematization of ICANN’s Organizational Review Processes," for public comment.<ref>[https://www.icann.org/resources/board-material/minutes-2009-05-21-en Resolution (2009.11) of the Board], May 21, 2009</ref> As implied by the title, the paper<ref name="syspaper">[https://www.icann.org/en/committees/improvements/proposals-systematization-of-or-processes-apr09.pdf "Proposals for the Systematization of ICANN's Organizational Review Processes,"], April 2009</ref> largely focused on the administrative processes currently in place for each organizational review phase, and identified opportunities to streamline the decision making and production processes for each phase. The paper received two public comments, from the ALAC and from [[Michael Palage]].<ref name="syspc">[https://forum.icann.org/lists/review-processes/pdfu0vl76VAfW.pdf Staff Report on Public Comment Proceeding], October 1, 2009</ref> Palage and the ALAC both noted that the streamlining of decision flowcharts only improved the current review process, and did not focus on finding a "holistic approach" to organizational reviews.<ref name="syspc" /> In September 2009, the ICANN Board approved an amendment to the Bylaws proposed by Michael Palage, that organizational reviews "shall be conducted no less frequently than every five years."<ref>[https://www.icann.org/resources/board-material/prelim-report-2009-09-30-en Preliminary Report of Board Meeting], September 30, 2009</ref>
===2014-15 Standardization Efforts===
===="Audit" Approach and First Steps====
At the beginning of 2014, the [[Organizational Effectiveness Committee|Structural Improvements Committee (SIC)]] (as it was named at the time) investigated the possibility of unifying the process for Article 4 reviews, so that each review, regardless of organization, followed a predictable path. The proposal from the chair included the adoption of an "audit" approach to reviews:
<blockquote>The Chair discussed elements of different types of audits (outcome, structural and process element audits), and how they may be used to assist the overall effectiveness of the organization. The SIC considered potential elements of an audit or review mechanism, including the methods and tools, and qualitative and quantitative metrics. The Chair noted that the outputs could be fed into the work of other Board committees, such as the Audit Committee or the Risk Committee. The members of the SIC discussed whether the proposed approach would overlap with the overall organizational assessment that is part of the ATRT review. The SIC also discussed the implications of using the term "audit" to identify the structural review, and discussed the importance of ensuring that any review (or "audit") meets the requirements in the Bylaws.<ref name="febsic">[https://www.icann.org/resources/board-material/minutes-bsic-2014-02-06-en Meeting Minutes, Structural Improvements Committee], February 6, 2014</ref> </blockquote>
Committee members expressed some concern about the term "audit," which in both definition and practice is distinct from a "review,"<ref>''See e.g.'' the Government Accountability Office's "[https://www.gao.gov/products/113596 Audit and Evaluation: Is there a difference?]" - October 6, 1980</ref> and noted that any review/audit process must comply with the ICANN Bylaws. Committee members also noted community concerns about the number of reviews underway.<ref name="febsic" />
====Impact on GNSO2====
The introduction of the "audit" concept coincided with the initiation of the [[Second GNSO Organizational Review]], and appears to have influenced the scope described in the RFP for that review. Notably, there is no indication that the ICANN Board reviewed or approved a Terms of Reference document regarding GNSO2.<ref>[https://www.icann.org/resources/reviews/org/gnso GNSO Organizational Review Dashboard] (Note that GNSO2 was "initiated" and a "Terms of Reference approved" by the board, with no citation to a source document or to meeting minutes.)</ref> In March 2014, both the "audit" concept and GNSO2 were on the agenda at the SIC meeting.<ref name="marchsic">[https://www.icann.org/resources/board-material/minutes-bsic-2014-03-21-en Meeting Minutes, Structural Improvement Committee], March 21, 2014</ref> Although the term "audit" had disappeared, the discussion of a "review accountability framework" included similar categories to those discussed in February: "process reviews, process element reviews, outcome reviews, and structure reviews."<ref name="marchsic" /> ICANN staff was directed to:
<blockquote>provide a comprehensive view of how the different review mechanisms correlate and what assurances they provide; identify standards and criteria used by the previous review; and identify opportunities to streamline review mechanisms and processes for increased efficiency and effectiveness.<ref name="marchsic" /></blockquote>
In the discussion of GNSO2, meanwhile, the presentation emphasized the intentionally limited scope and process of the review, echoing comments made in concurrent presentations to the GNSO and the public.<ref name="marchsic" /> In particular, GNSO2 would ignore the first question of Article 4.4 - whether the GNSO served a continuing purpose in the ICANN structure.<ref>For more background, see ICANNWiki's article on the [[Second GNSO Organizational Review]]</ref>
====Shift from "Audit" to "Unified Approach"====
At the June meeting of the SIC, a representative from [[Moss Adams]] provided a report on their engagement to conduct an inventory and mapping of reviews with ICANN and their existing processes, for the following purposes: "(a) to identify how the different review mechanisms correlate and what assurances they provide; (b) to identify standards and criteria used by prior reviews; and (c) to identify gaps and/or redundancies between the reviews."<ref>[https://www.icann.org/resources/board-material/minutes-bsic-2014-06-20-en Meeting Minutes, Structural Improvement Committee], June 20, 2014</ref> While efficiency concerns were an aspect of the Moss Adams study, the primary thrust was now compliance with the requirements of the bylaws, and establishing baseline operational standards for past reviews.
At the SIC meeting in October 2014, staff presented the outcomes of the study:
<blockquote>Staff provided the SIC with an update on the inventory and mapping of the reviews within ICANN performed by Moss Adams. The purpose of the report is to identify gaps, overlaps and dependencies within the structural reviews and Affirmation of Commitments reviews. A few recommendations were provided, including development of overall review management procedures and centralized tracking, as well as development of primers for independent examiners to allow for greater consistency.<ref name="octsic">[https://www.icann.org/resources/board-material/minutes-bsic-2014-10-12-en Meeting Minutes, Structural Improvements Committee], October 12, 2014</ref> Staff was instructed to generate topic areas for discussion, as well as a plan for productively engaging those topic areas at the next SIC meeting.<ref name="octsic" /></blockquote>
In February 2015, staff proposed three "buckets" for discussion and potential improvements to the SIC: "process improvements, oversight and coordination, and a more strategic look at the "structures" within ICANN as a whole."<ref name="feb15sic">[https://www.icann.org/resources/board-material/minutes-bsic-2015-02-06-en Meeting Minutes, Structural Improvement Committee], February 6, 2015</ref> Staff was instructed to begin work on policy and procedures documents, as well as a tracking model, with an eye toward standardization of process across Article 4 reviews.<ref name="feb15sic" /> Also in February, at [[ICANN 52]], the schedule for both the "[[Affirmation of Commitments]]" reviews and organizational reviews was discussed, along with the ongoing efforts to bring standardization to the review process.<ref>[https://archive.icann.org/meetings/singapore2015/en/schedule/mon-aoc-org-reviews.html AoC and Organizational Reviews: Supporting ICANN Accountability], ICANN 52, February 9, 2015</ref>
====Process Improvement Options at ICANN 53====
After a particularly full agenda precluded discussion in April, the committee next addressed the review framework at [[ICANN 53]] in Buenos Aires. At the SIC meeting during ICANN 53, staff proposed several areas for potential process improvements:
* Standard Review Process and Methodology
* Relevance to Each Organization
* Adoption and Application of Standards
* Increased Effectiveness and Impact
* Creating Alternate Process for Strategic Reviews<ref name="53sic">[https://www.icann.org/resources/board-material/minutes-bsic-2015-06-19-en Meeting Minutes, Structural Improvements Committee], June 19, 2015</ref> The other buckets - oversight and holistic approaches to ICANN's structural issues - were wrapped into the [[ICANN 53]] session on review efficiencies, and a public comment period was still open at the time of the meeting.<ref name="53sic" /> Public comments on issues surrounding reviews were wide-ranging, but it is notable that multiple commenters objected to the exclusion of structural considerations from the GNSO2 review.<ref>[https://www.icann.org/en/system/files/files/report-comments-aoc-org-reviews-05aug15-en.pdf Staff Report on Public Comment Proceeding - AoC and Org Reviews], August 5, 2015</ref>
====Proceeses Proposed, Attention Wanes====
In September 2015, the [[Organizational Effectiveness Committee#History|newly-renamed]] Organizational Effectiveness Committee acknowledged that lessons learned from the last series of reviews could be refined into process improvements applicable to all reviews within ICANN.<ref name="septoec">[https://www.icann.org/resources/board-material/minutes-oec-2015-09-28-en Meeting Minutes, Organizational Effectiveness Committee], September 28, 2015</ref> The discussion and commitment to engage in such refinemnent appeared to mark the end of work in regards to the "process improvements" bucket.
With regard to a "review framework," the October 2015 meeting of the OEC resulted in the following two-phase plan:
<blockquote> '''Phase 1: Systematization of Reviews, based on current mandates'''
<ol>
<li> Document the process of conducting Reviews, based on current practices and lessons learned from recent Reviews</li>
<li> Incorporate applicable and relevant standards derived from industry best practices and standards, such as Project Management (Project Management Institute) and Organizational Excellence (EFQM Excellence Model)</li>
<li>Socialize and implement systemization</li></ol>
'''Phase 2: Future of Reviews in the post-transition ICANN'''
<ol start="4">
<li>In alignment with the direction of CCWG-Accountability and other related proposals impacting Reviews, identify key questions for consideration of the future of Reviews as a significant accountability mechanism</li>
<li>OEC discussion</li>
<li>Develop next steps as appropriate<ref name="octoec">[https://www.icann.org/resources/board-material/minutes-oec-2015-10-17-en Meeting Minutes, Organizational Effectiveness Committee], October 17, 2015</ref></li>
</ol></blockquote>
===2019 Operating Standards Updates===
Both the ICANN Board and ICANN staff have recently been engaged in efforts to improve the review process for both specific and organizational reviews. In 2019, the Board issued new Operating Standards for Specific Reviews<ref>[https://www.icann.org/en/blogs/details/operating-standards-guiding-icanns-specific-reviews-8-7-2019-en ICANN.org Blog - Operating Standards: Guiding ICANN's Specific Reviews], July 8, 2019</ref> <ref>[https://www.icann.org/en/system/files/files/operating-standards-specific-reviews-23jun19-en.pdf ICANN Operating Standards - Specific Reviews], June 23, 2019 (PDF)</ref> In addition, ICANN staff drafted a process proposal for streamlining organizational reviews in April 2019.<ref>[https://www.icann.org/public-comments/streamlining-org-reviews-proposal-2019-04-30-en ICANN.org - Public Comment Archive], Process Proposal for Streamlining Organization Reviews, April 30, 2019</ref> Public comments on the proposal addressed a much broader range of challenges and difficulties than the proposed streamlining measures.<ref>[https://www.icann.org/en/system/files/files/report-comments-streamlining-org-reviews-proposal-30jul19-en.pdf Staff Report on Public Comment Process], July 30, 2019</ref>
Both the ICANN Board and ICANN staff have recently been engaged in efforts to improve the review process for both specific and organizational reviews. In 2019, the Board issued new Operating Standards for Specific Reviews<ref>[https://www.icann.org/en/blogs/details/operating-standards-guiding-icanns-specific-reviews-8-7-2019-en ICANN.org Blog - Operating Standards: Guiding ICANN's Specific Reviews], July 8, 2019</ref> <ref>[https://www.icann.org/en/system/files/files/operating-standards-specific-reviews-23jun19-en.pdf ICANN Operating Standards - Specific Reviews], June 23, 2019 (PDF)</ref> In addition, ICANN staff drafted a process proposal for streamlining organizational reviews in April 2019.<ref>[https://www.icann.org/public-comments/streamlining-org-reviews-proposal-2019-04-30-en ICANN.org - Public Comment Archive], Process Proposal for Streamlining Organization Reviews, April 30, 2019</ref> Public comments on the proposal addressed a much broader range of challenges and difficulties than the proposed streamlining measures.<ref>[https://www.icann.org/en/system/files/files/report-comments-streamlining-org-reviews-proposal-30jul19-en.pdf Staff Report on Public Comment Process], July 30, 2019</ref>
The Board and staff of ICANN continue to address the issues raised during public comment processes, public meetings, and other communications related to the efficiency and timing of reviews.<ref>[https://www.icann.org/en/blogs/details/enhancing-and-streamlining-icanns-reviews-issues-approaches-and-next-steps-31-10-2019-en ICANN Blog - Enhancing and Streamlining ICANN's Reviews: Issues, Approaches, and Next Steps], October 31, 2019</ref> In November 2019, [[Lars Hoffman]] presented at [[ICANN 66]] on the topic of improving the effectiveness of review recommendations and their implementation.<ref>[https://66.schedule.icann.org/meetings/3K7yWpL4XcKHYPFHn ICANN 66 Archive - Enhancing the Effectiveness of Review Recommendations], November 4, 2019 (registration with ICANN.org required)</ref>
The Board and staff of ICANN continue to address the issues raised during public comment processes, public meetings, and other communications related to the efficiency and timing of reviews.<ref>[https://www.icann.org/en/blogs/details/enhancing-and-streamlining-icanns-reviews-issues-approaches-and-next-steps-31-10-2019-en ICANN Blog - Enhancing and Streamlining ICANN's Reviews: Issues, Approaches, and Next Steps], October 31, 2019</ref> In November 2019, [[Lars Hoffman]] presented at [[ICANN 66]] on the topic of improving the effectiveness of review recommendations and their implementation.<ref>[https://66.schedule.icann.org/meetings/3K7yWpL4XcKHYPFHn ICANN 66 Archive - Enhancing the Effectiveness of Review Recommendations], November 4, 2019 (registration with ICANN.org required)</ref>
===ATRT3===
The [[Third Accountability and Transparency Review]] proposed sweeping alterations to Article 4 review processes. The recommendations on reforming the review process included:
* the creation of a "Holistic Review" intended to assess the continuous improvement of each organization subject to an Article 4.4 organizational review and take a holistic look at the structure and operation of ICANN to determine if there were changes or improvements to be made to better support representation of all of ICANN's diverse constituencies;
* a recommendation to temporarily suspend SSR and RDS reviews until the completion of the next ATRT review, at which point the environment around each of those reviews would have sufficiently matured to allow an evaluation of their necessity, functioning, and ongoing purpose;
* evolution of the Article 4.4 organizational reviews into "continuous improvement" programs with uniform metrics for measuring success, but tailored goals and strategies that reflected the needs of the specific organization. These programs would be annually evaluated, and the evaluations would feed into and inform the Holistic Reviews.
The Board approved all of the ATRT3 recommendations, including those related to reviews, subject to prioritization and resource availability. Because the new proposed framework for reviews would require substantial amendments to Article 4 of the bylaws, the Board proposed the development and implementation of pilot programs to design and test models of the Holistic Review and continuous improvement program. That work is ongoing.
==References==
==References==
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[[Category:Glossary]]