Page History
Link to Request for Proposal - RFP Overview Document. Click here to view
Contact information for ICANN support Team and Review Working Party: Click here to view
RSSAC Review Request for Proposal (RFP): Click here to view
Board Resolution to Initiate RSSAC Review: Click here to view
RSSAC Self-Assessment: Click here to view
RSSAC Interviews Outline: Click here to view
RSSAC Draft Survey Questions: Click here to view
Scope of the Review:
As part of ICANN's ongoing commitment to its evolution and improvement, Article IV, Section 4.4 of ICANN's Bylaws contains provisions for “periodic review of the performance and operation of each Supporting Organization, each Supporting Organization Council, each Advisory Committee (other than the Governmental Advisory Committee), and the Nominating Committee […]by an entity or entities independent of the organization under review.”
These periodic reviews present ICANN structures with opportunities for continuous improvement through consistent application of compliance audit principles to objectively measure performance relative to specific and quantifiable criteria developed by ICANN based on the unique nature of its structures. The resulting implementation of improvements and the systematic means of measuring performance and validating effectiveness of implementation are of utmost importance to the ongoing legitimacy of ICANN.
According to Article 12.1 of the ICANN Bylaws: “The Board may create one or more "Advisory Committees" in addition to those set forth in this Article 12. Advisory Committee membership may consist of Directors only, Directors and non-directors, or non-directors only, and may also include non-voting or alternate members. Advisory Committees shall have no legal authority to act for ICANN, but shall report their findings and recommendations to the Board.”
Article 12.2(c) of ICANN Bylaws provides for the Root Server System Advisory Committee, whose role “is to advise the ICANN community and Board on matters relating to the operation, administration, security, and integrity of the Internet's Root Server System.”
The RSSAC is a committee whose members are appointed by the ICANN Board, and led by two co-chairs. RSSAC appointments are for three-year terms, and there are no limits on the number of terms an RSSAC member may serve (see also Article 12 Section 12.2(c) of the ICANN Bylaws). The RSSAC is responsible to:
(A) Communicate on matters relating to the operation of the Root Servers and their multiple instances with the Internet technical community and the ICANN community. The RSSAC shall gather and articulate requirements to offer to those engaged in technical revision of the protocols and best common practices related to the operation of DNS servers.
(B) Communicate on matters relating to the administration of the Root Zone with those who have direct responsibility for that administration. These matters include the processes and procedures for the production of the Root Zone File.
(C) Engage in ongoing threat assessment and risk analysis of the Root Server System and recommend any necessary audit activity to assess the current status of root servers and the root zone.
(D) Respond to requests for information or opinions from the Board.
(E) Report periodically to the Board on its activities.
(F) Make policy recommendations to the ICANN community and Board.
Section 4.4 of the Bylaws addresses the periodic review of ICANN’s structures and operations:
The Board shall cause a periodic review of the performance and operation of each Supporting Organization, each Supporting Organization Council, each Advisory Committee (other than the Governmental Advisory Committee), and the Nominating Committee (as defined in Section 8.1) by an entity or entities independent of the organization under review. The goal of the review, to be undertaken pursuant to such criteria and standards as the Board shall direct, shall be to determine (i) whether that organization, council or committee has a continuing purpose in the ICANN structure, (ii) if so, whether any change in structure or operations is desirable to improve its effectiveness and (iii) whether that organization, council or committee is accountable to its constituencies, stakeholder groups, organizations and other stakeholders.
These periodic reviews shall be conducted no less frequently than every five years, based on feasibility as determined by the Board. Each five-year cycle will be computed from the moment of the reception by the Board of the final report of the relevant review Working Group.
The results of such reviews shall be posted on the Website for public review and comment, and shall be considered by the Board no later than the second scheduled meeting of the Board after such results have been posted for 30 days. The consideration by the Board includes the ability to revise the structure or operation of the parts of ICANN being reviewed by a two-thirds vote of all Directors, subject to any rights of the EC under the Articles of Incorporation and these Bylaws. The outcome of the current review will be factored into ICANN’s strategic planning work and holistic considerations of the ICANN structure.
Review Overview
According to the ICANN Bylaws, the scope of work will include the following key elements:
1. An assessment of whether RSSAC has a continuing purpose within the ICANN structure;
2. An assessment of how effectively RSSAC fulfills its purpose and whether any change in structure or operations is needed to improve effectiveness, in accordance with the ICANN-provided objective and quantifiable criteria; 5
3. An assessment of the extent to which RSSAC as a whole is accountable to the wider ICANN community, its organizations, committees, constituencies, and stakeholder groups to make effective selections.
The scope of the review should include years from 2011 to the present.
ICANN will supply the criteria to be used in conducting the RSSAC Review, which were developed in collaboration with the RSSAC Review Working Party. These criteria include but are not limited to the categories listed below. To further elaborate on the criteria, several questions are included within relevant categories, possibly for inclusion by the independent examiner into interviews or surveys, as applicable: In addition, the RSSAC will perform a self-review prior to the start of the review that is to inform the examiner’s work.
Scope of Work for 2017/18 RSSAC Review – High-Level
1. An assessment of the implementation state of RSSAC’s prior review. This includes a status report of the implementations approved by the ICANN Board from the first RSSAC Review, and an assessment of the effectiveness of these implementations.
2. An assessment of whether RSSAC has a continuing purpose within the ICANN structure. Examination of RSSAC’s chartered purpose, to advise the ICANN community and Board on matters relating to the operation, administration, security, and integrity of the Internet's Root Server System, and how well it is fulfilled, will help assess the RSSAC’s continuing purpose within the ICANN structure.
3. An assessment of how effectively RSSAC fulfills its purpose and whether any change in structure or operations is needed to improve effectiveness, in accordance with the ICANN-provided objective and quantifiable criteria. The assessment of RSSAC structure and operations may include an assessment of RSSAC’s makeup, its current level of participation in, but not limited to, ICANN’s specific review team, and crosscommunity efforts, the RSSAC’s representation and effectiveness within ICANN, the effectiveness of its communications (both internal and external towards ICANN and other SO/ACs), and the alignment of its charter with ICANN’s mission. Other points to examine include RSSAC’s decision-making methodology, transparency, processes, procedures, and competencies.
4. An assessment of the extent to which RSSAC as a whole is accountable to the wider ICANN community, its organizations, committees, constituencies, and stakeholder groups to make effective selections. Determine if the RSSAC is sufficiently accountable regarding the operation, administration, security, and integrity of the Internet's Root Server System, according to its chartered mandate.
Suggested Questions to be addressed – Non-exhaustive
A. Fulfilment of mission, adherence to policies and procedures, and organizational support
- Has RSSAC considered its current level of participation and effectiveness within ICANN, and potential for improvements?
- What developments can RSSAC bring about to enhance communication and understanding of its purpose within ICANN?
- How do RSSAC’s operations enhance ICANN’s mission? Are the decision-making procedures of RSSAC consistent over the years – if not, why is flexibility important and which procedures (if any) should remain constant?
- Other elements to assess
- Appropriate procedures, competencies and support in place
- Participation and representation of RSSAC within ICANN
- Continuous development
- Alignment with ICANN’s mission (as per Bylaws)
B. Accountability and transparency
- How can RSSAC’s processes be improved, including but not limited to transparency and accountability?
- Determine if RSSAC has clearly defined its stakeholders with respect to ICANN, and if it is accountable to them.
C. RSSAC composition, membership processes, and participation
- Is any change in structure or operations desirable to improve RSSAC’s effectiveness?
- RSSAC Caucus o Liaison representation
- Is RSSAC operating optimally within ICANN based on the needs of the ICANN community?
- Does the RSSAC Caucus enhance the work of RSSAC? If so, how? If not, how could it be improved?
- Are RSSAC operations performed at a standard that is consistent throughout the Committee?
- Considering the nature of RSSAC’s mission and the scope of its work, does representation in the current RSSAC structure appropriately match ICANN’s core value of diversity, as stated in Article 3.1 of the Bylaws?
- Should there be a limit to the number of terms an RSSAC member may serve?
D. Communication
- Do RSSAC communications regarding the operation, administration, security, and integrity of the Internet’s root server system satisfy the needs of the ICANN Board, and the larger ICANN community
- Are RSSAC’s communications and its community channels – both among its members about its internal processes, and among the ICANN community about its role and function – adequate to assure understanding and legitimacy of its action? If not, how can it be improved?
- Does RSSAC invite/permit/allow stakeholder communications on topics of mutual import to the root server system and ICANN?
- Is RSSAC operating in such a way that interested parties may easily locate and retrieve details of its standards, procedures, and safeguards?
- Does RSSAC have the necessary resources, knowledge, and processes in place to effectively engage with the ICANN Board and ICANN community?
E. Governance and management, effectiveness of execution
- Does the ICANN Board provide timely responses regarding new RSSAC appointees?
- Should the process for defining prospective RSSAC Caucus candidates be modified?
F. Evaluation and measurement of outcomes
- Are RSSAC processes and membership adequate to properly advise ICANN regarding the root server system?
G. Effectiveness of implementation of prior review recommendations
- Have implementation steps been completed, or initiated, from the prior review? If not, why not?
- Has implementation been completed to a degree that allows/permits effectiveness assessment? If so, have the implemented recommendations from previous review efforts led to the desired improvements?
Timeline
September - Start Review*
September - Work plan + timeline
September - Initial Meeting (via conference call) with RSSAC Review Working party
September - Interview plan
In-person: RSSAC October Workshop (subject to RSSAC approval), ICANN60, remote: as needed - Interviews conducted
October - Survey(s) plan
Prior to ICANN60: remain open for ≥30 days - Survey goes online*
28 Oct- 3 Nov 2017 - ICANN60*
January 2018 - Deliver Assessment Report
January / February 2018 - Public Consultation, e.g. webinar*
10-15 March 2018 - ICANN61*
March 2018 - Deliver Draft Final Report
April 2018 - Public Comment (run by ICANN)
June 2018 - Deliver Final Report
* fixed dates
|
Background
Current Review
The timing of the current RSSAC Organizational Review is in accordance with the July 2015 ICANN Board resolution on Proposed Schedule and Process / Operational Improvements for AoC and Organizational Reviews, setting the second review of the Root Server System Advisory Committee for April 2017. In preparation for the 2017 RSSAC Review, the current RSSAC has established a Review Working Party to serve as a liaison between the independent examiner, the wider Community, the current RSSAC and the Organizational Effectiveness Committee of the ICANN Board (OEC) who is responsible for the oversight of Organizational Reviews, including this RSSAC Review. The role of the RSSAC Review Working Party is to provide input on review criteria and the RSSAC assessment, coordinate interviews and objectively supply clarification and responses to the Assessment Report and the Final Report as well as any intermediary findings. Once the Final Report is issued, the RSSAC Working Party is expected to coordinate with the RSSAC to prepare a Feasibility Assessment and Initial Implementation Plan based on the Final Report. Subsequently, both reports will be sent to the ICANN Board’s OEC for its consideration.
Previous Review
The RSSAC Review Working Group formed in June 2008 was charged with addressing recommendations in the independent examiner’s Final Report, to consider named improvements. In October 2008, the ICANN Board of Directors appointed Westlake Consulting Limited to undertake the independent review of the RSSAC. This was the first RSSAC Review, and it focused on how well RSSAC has performed its function, and whether there were general or specific ways to enhance its effectiveness. The Final Report, summarizing findings from the independent review and containing proposals for action, was published on 24 February 2009. Public Comment on Draft Independent Review of Root Server System Advisory Committee by Westlake Consulting Limited was open from 25 February 2009 to 17 April 2009.
The RSSAC Review Working Group (RWG), which at the time was a subgroup of the ICANN Board, and following a process that is no longer in practice, presented its report for public comment to help ensure that the Review Working Group report contained sufficient and accurate information and to advise the Board on the changes recommended for RSSAC. The public comment period closed 5 June 2010, and the Final Report was presented to the ICANN Board on 8 June 2010. The RSSAC RWG’s report included eight recommendations. Pursuant to its Charter, the report was presented to the Structural Improvements Committee (SIC), currently the Organizational Effectiveness Committee (OEC). After the SIC reviewed the report, and developed implementation steps, the OEC recommended that the ICANN Board approve them.
The report was adopted in January 2011. The Board resolution can be found here: https://www.icann.org/resources/board-material/resolutions-2011-01-25- en?routing_type=path#1.j The latest details of the implementation of all recommendations from the 2008 Review were published on 1 December 2010.
Additional information about the first RSSAC Review is available at: https://www.icann.org/resources/reviews/org/rssac
The Final Report of the RSSAC Review Working Group is available at: https://www.icann.org/en/system/files/files/rssac-review-final-report-08jun10-en.pdf
The public comment on the RWG-RSSAC Review Draft Report, is available at: https://www.icann.org/resources/pages/rssac-wg-report-2010-04-27-en