Re: [ALSC-Forum] ALSC Final Report

[Adam PEAKE]

Denise, the final report posted in html on the web seems to be
incomplete. Looks like the footnotes are missing.  As these probably
provide useful information (iii may link to information that supports
the claim that the majority of names are held by "individuals or
enterprises with less than ten employees") it would be very helpful to
see them.  

Could you post the footnotes to the study forum list please.

Thanks,

Adam

Adam Peake
GLOCOM  Tokyo





Denise Michel wrote:
> 
> The ALSC's "Final Report on ICANN At-Large Membership" has been submitted to
> the Board and is being posted at www.atlargestudy.org (our webmaster is
> working on the report and it will be posted today; the transmittal letter
> and executive summary are included below).  The Board has scheduled a public
> forum to discuss the report on Monday, November 12 from 18:00 to 20:00 (see
> http://www.icann.com/mdr2001/#schedule for further details).
> 
> Denise Michel
> Executive Director
> At Large Study Committee
> dmichel@atlargestudy.org
> 
> [Excerpt from ALSC's "Final Report on ICANN At-Large Membership"]
> 
> Letter to the ICANN Board,
> 
> In August, the At Large Study Committee presented for discussion its draft
> final report on the question of including an At-Large Membership in ICANN's
> governance structure. Now, in accordance with the schedule established early
> this year, and after further discussions and comments on our draft report,
> we submit our final report.
> 
> Established only three years ago, the Internet Corporation for Assigned
> Names and Numbers (ICANN) has been entrusted with the important tasks of
> promoting the Internet's stability and dynamism as it rapidly evolves as the
> world's most important infrastructure.
> 
> Its governance structure, however, has remained uncertain in important
> aspects. There has been constant controversy surrounding the question of the
> composition of the ICANN Board, and primarily the question of whether there
> should be representatives of the Internet At-Large community. This
> controversy has the potential of impairing ICANN's ability to concentrate on
> the critical tasks it has been entrusted with.
> 
> We remain firmly convinced that the basic concept behind ICANN is a good
> one, and we conclude that it has become firmly rooted in the wider community
> of the Internet's stakeholders. We are, however, of the opinion that it is
> an urgent task for the stability of the organisation to ensure that a
> mechanism for the At-Large community to express its views be agreed to and
> implemented.
> 
> The ALSC has spent the past eight months exploring numerous alternatives,
> listening to different opinions and trying to stimulate a debate on these
> important issues within the wider Internet community. We have sought to
> facilitate different independent studies, and posted discussion papers and
> options in order to encourage dialogue. Following the publication of the
> draft report, the ALSC, collectively and as individual members, has engaged
> in wide-ranging debates on these issues, and has benefited from the comments
> received.
> 
> Despite extensive efforts, however, the ALSC has found it difficult to
> generate a very high degree of interest in these issues. We have concluded
> that the main interest of the wider Internet community is in the stability
> and reliability of the Internet itself, and that a structure for At-Large
> participation and representation that is seen as creating the best
> possibilities for this would meet with the community's tacit approval.
> 
> Although outside our mandate, the ALSC has discussed whether the tasks now
> assigned to ICANN could be handled better or equally well by an
> intergovernmental organization, thus potentially securing the legitimacy of
> the process, ensuring a degree of public participation through regular
> governmental mechanisms, as well as assuring the stability of the policy and
> decision-making system.
> 
> We have found, however, that such an approach has several serious drawbacks.
> ICANN represents an effort at global self-regulation that, if successful,
> has great merit in a number of different ways. Engaging developers of
> Internet standards and providers of the domain name and address system, as
> well as seeking to create a voice for Internet users, results in a system
> that contributes both to the stability of the Internet and to its constant
> evolution. We do not believe that an intergovernmental system would be able
> to do this in the same way.
> 
> The developers and providers, now grouped in three Supporting Organizations,
> have a critical role in the overall system. We have discussed whether ICANN
> could be entrusted solely to them, thus eliminating the very profound
> challenges associated with an At-Large membership. However, the concerns of
> users are equally important to the success of ICANN's mission, thus
> requiring that an effective mechanism for their participation and
> representation in ICANN processes be found.
> 
> Based on our view of ICANN as a balance among developers, providers and
> users, we recommend that the At-Large membership select a third of ICANN's
> Board. In the dialogue over the months since the publication of our draft
> report, we have found that this proposal has wide, although not unanimous,
> support. There are voices calling for, at the least, half of the members of
> the ICANN Board being elected by an At-Large membership.  We do see distinct
> drawbacks with this, and we must also note that this proposal is very
> unlikely to get sufficient support within the wider ICANN community.
> 
> We have noted the concerns expressed that a system whereby a third of the
> seats on the ICANN Board is selected by an At-Large membership would open up
> the possibility for the remaining two thirds of the ICANN Board to change
> the bylaws regarding At-Large representation, including, as an extreme case,
> the abolition of At Large membership. Although the likelihood of sharp
> divisions of this sort is unprecedented, we do believe it is important to
> ensure that changes in the governance structure of ICANN, after an At-Large
> structure is established, would require a supermajority of the Board's
> members.
> 
> We have spent a considerable amount of time looking at different
> alternatives for selecting the proposed At-Large members of the ICANN Board.
> We are dealing with a unique organization, with unique functions and a truly
> unique structure. There are no models to follow.
> 
> In spite of our efforts, we have failed to find any system for the selection
> of At-Large Directors that is completely failsafe from every possible point
> of view.
> Using e-mail addresses as the basis for voting rights, as tested last year,
> has significant drawbacks, and is obviously open to national capture.
> 
> More importantly, we have not found any way of conducting a pure online
> election involving e-mail address holders with even moderate confidence that
> capture or fraud has been prevented, thus creating the need for a
> combination of online and mail processes which not only is complicated, but
> which also risks totally undermining the finances of ICANN. In spite of
> being superficially attractive, closer scrutiny makes clear that this is not
> a viable option.
> 
> We have thus decided to recommend a system with voting rights based on
> domain names, and we have proposed the creation of a system in which those
> domain name holders wishing to be part of the process also become part of
> the process of setting up an At-Large Supporting Organization (ALSO).
> 
> In the discussions of the past few months, we have found wide support for
> the proposal to set up an ALSO. It is widely felt that an ALSO would greatly
> facilitate the articulation of wider issues in the ICANN process and promote
> sustained involvement, thus also strengthening the role of the At-Large
> members between the elections.
> 
> There have been concerns expressed that an election system based on
> individual domain name holders will use too narrow of an electorate.
> Although we are talking about a possible electorate numbering tens of
> million of persons around the world, we do feel that one should continue to
> seek ways in which the possibility of becoming part of the ALSO and the
> elections are widened. Our committee has discussed several such options, and
> we hope more will emerge.
> 
> As we present our recommendations, the attention has shifted to all the
> issues connected with the stability and security of the Internet in the wake
> of the Sept 11 attacks, and the global need to confront the evil of
> international terrorism. We do believe, however, that this very clearly
> reinforces the case for a speedy resolution of the issues surrounding the
> governance of ICANN, and specifically the hitherto controversial issues we
> have been asked to study.
> 
> No one wants an ICANN in continuous turmoil, thrown between one uncertain
> experiment after the other. Now is the time for stability and coherence,
> allowing ICANN to address the vital technical and related issues, often of
> profound public importance, that it has been entrusted with.
> 
> Therefore, we urge that several significant steps be taken by the Board at
> its annual meeting in Marina del Rey that will enable timely progress on
> initial steps to implement our At-Large recommendations, while providing
> time for additional Board and public consideration of the report.
> Specifically, the ALSC recommends that on November 15, 2001, the ICANN Board
> adopt the following recommendations concerning At-Large participation and
> representation:
> 
> (1) The Board affirms that individual Internet users have a significant
> stake in ICANN's activities and should have the opportunity of fully
> participating in ICANN.
> 
> (2) While the ALSC's final report remains open for comment and
> consideration, the Board acknowledges that the following basic principles
> should guide expedited action on At-Large:
> 
> (a) Create an At-Large Supporting Organization (ALSO) as a regionally-based
> framework for informed participation of any interested individual and for
> At-Large involvement in ICANN policy and decision-making (including
> mechanisms to foster discussion among individuals and with ICANN's
> decision-making bodies);
> 
> (b) Focus At-Large membership on an identifiable and vested community (an
> ALSO electorate) to provide a practical mechanism for voter registration and
> self-funding (e.g. The ALSC recommends that membership be based on
> individual domain name holders and efforts continue to be made to identify
> a n additional  membership option with a reasonable level of verification.
> This recommendation is under consideration by the Board, but need not delay
> initial At-Large organizing efforts.);
> 
> (c) Provide a proportionate role for At-Large members in selecting ICANN's
> Board (along with other ICANN constituencies) (e.g. The ALSC recommends 6
> At-Large Directors in a 19 member Board. This recommendation is under
> consideration by the Board, but need not delay initial At-Large organizing
> efforts.);
> 
> (3) The Board requests that the ICANN CEO solicit expressions of interest to
> determine the degree of interest in creating local and regional ALSO
> entities that would support informed participation of interested individuals
> and At-Large involvement in ICANN, and report the results to the Board at
> the March 2002 ICANN meeting.
> 
> (4) The Board authorizes the extension of the ALSC until March 31, 2002 to
> work with the Supporting Organizations, other interested parties, and ICANN
> staff on proposing detailed plans for an At-Large membership, voter
> registration, and a regionally based, self-supporting ALSO.
> 
> We believe that this is necessary in order to meet the objective of having a
> complete ICANN Board in place towards the end of the next year. We do
> understand that there will be further issues that must be discussed, and the
> ALSC has offered to remain operative until final decisions are taken at the
> ICANN Board meeting planned for March of next year.  We look forward to
> assisting you.
> 
> Sincerely,
> The At-Large Membership Study Committee:  Carl Bildt (Chair), Chuck Costello
> (Vice Chair), Pierre Dandjinou, Esther Dyson, Olivier Iteanu, Ching-Yi Liu,
> Thomas Niles, Oscar Robles, and Pindar Wong (Vice Chair).
> 
> -------------------------------
> 
> Executive Summary
> 
> The At-Large Membership Study Committee (ALSC) is pleased to present this
> report and accompanying recommendations to the ICANN Board in fulfillment of
> the provisions of its charter. We are unanimous in our belief that the
> report meets the request of the Board that the Committee find "an effective
> means by which the diverse global Internet communities and stakeholders may
> participate in ICANN's policy development, deliberations, and actions."
> 
> As a result of the Committee's extensive outreach to the community over the
> past eight months, in meetings and online, and the consideration of over
> 1163 forum comments, input from 16 outreach events worldwide, and a
> substantial number of studies and research papers, we have identified five
> basic principles which we believe have broad support:
> 
> · Individual Internet users have a significant stake in ICANN's activities
> and should have the opportunity to fully participate in ICANN;
> · Representation should accompany participation for informed, sustained
> involvement of interested individuals, and for At-Large involvement in ICANN
> policy and decision-making;
> · The At-Large electorate should comprise an identifiable and vested
> community of individual Internet users;
> · At-Large members should have a role in selecting members of ICANN's Board
> (along with other ICANN constituencies);
> · It is time to move At-Large participation beyond the discussion phase and
> determine the degree of real interest among individual Internet users and
> relevant groups in creating an organization for their sustained involvement
> in ICANN.
> 
> Building on these principles, the ALSC offers ICANN's Board the following
> recommendations that we believe are practical, executable, effective, and
> most likely to gain consensus support:
> 
> · Create an "ALSO Organizing Committee" to work with ICANN and others to
> help establish a new, (financially) self-supporting At-Large Supporting
> Organization (ALSO), and help carry out the recommendations contained in
> this report, with priority attention focused on an At-Large election.
> · Create an ALSO to foster At-Large participation and representation.  An
> ALSO will have "participants" comprised of anyone interested in
> participating in open discussion forums, and "members" comprised of a
> verifiable, vested community of users to elect ALSO leadership and At-Large
> Directors every three years.  An ALSO will promote informed participation of
> any interested individual in ICANN (including mechanisms to foster
> discussion among individuals and with ICANN's decision-making bodies), and
> foster At-Large involvement in ICANN policy and decision-making with
> specific responsibility for providing an "individual user" perspective on
> relevant issues within ICANN's mission.
> · Initially define "At-Large members"(which will comprise the ALSO
> electorate) as an "individual domain name holders."
> · Direct the ALSO Organizing Committee to solicit input on, and report to
> the Board about, any additional mechanisms that would enable individual
> Internet users with an interest in ICANN's mission to opt-in to At-Large
> membership with a reasonable level of verification (without the requirement
> to hold a domain name).
> · Conduct a geographically-based ALSO member election, initially guided by
> the ALSO Organizing Committee, to simultaneously provide members for six
> directly-elected Regional At-Large Councils and one (international) At-Large
> Council, and six directly-elected At-Large Directors to serve on ICANN's
> Board, to be seated, if possible, by year-end 2002.  The ALSC views its
> suggested division of the existing Asia-Pacific region as straightforward,
> but if there are contrary expectations and the creation of a new region
> threatens to significantly delay At-Large implementation, the ALSC
> recommends the election of two At-Large Directors from two different
> countries in the existing Asia/Pacific region.
> · Build a self-sustaining, transparent ALSO that would serve as a local and
> regional-based framework for collecting and defining views, engaging
> members, enabling consensus decision-making, and working closely with other
> Supporting Organizations on policy development. Ultimately the ALSO will be
> managed by the At-Large Councils.
> · After adopting plans for At-Large representation and participation, modify
> ICANN' bylaws to require a supermajority to make future substantive changes
> in ICANN's governance structure.
> 
> In our judgment, these recommendations, discussed in detail in this report,
> are a reasonable compromise between those who support retaining nine
> At-Large Board seats and e-mail-based, ICANN-funded global direct elections,
> and those who advocate no direct global elections and fewer, if any,
> At-Large Board seats.  Rather, we have presented an approach that we believe
> has the potential for a consensus.  We would urge those who are interested
> in the fate of At-Large and in actually establishing an engaged, sustainable
> At-Large membership to move beyond re-stating their positions and work with
> all interested parties to find a reasonable, workable compromise based on
> this approach.  We are eager to work with all parties over the next few
> months to refine implementation details and garner practical support in
> carrying out these recommendations.
> 
> Background
> 
> The ALSC has spent the last eight months studying At-Large issues and
> seeking input from all interested parties, and is committed to helping the
> Board achieve a broad consensus on effective means by which individual
> Internet users may participate in ICANN's policy formulation and
> decision-making. We have worked without preconceptions about the outcome and
> have carefully considered the full spectrum of potential At-Large
> participatory and representational mechanisms - from zero to 100 percent of
> the Board seats selected by an At-Large membership - and from an
> inter-governmental model representing individuals to directly involving all
> of the world's e-mail-address holders.
> 
> We found there to be great value in ICANN's existing bottom-up approach and
> in the involvement of At-Large members to strengthen the focus on Internet
> users' interests.  However, we do not accept the notion that interests of
> the public, or individual users are somehow exclusively or even best
> protected by selecting half of the Board's Directors.  The "White Paper,"
> issued by the U.S. Department of Commerce authorizing creation of ICANN, set
> forth general principles for representation of all stakeholders and
> recognized that ICANN's evolution would require change (as did follow-on
> documents).  We believe actions of the three existing Supporting
> Organizations and the Directors they selected have demonstrated that they
> also serve the public (or user) interest by contributing to the stable
> operation of the Internet.  However, recognizing that the perspectives of
> At-Large Directors are important to the governance of ICANN, we also believe
> that their support should be required to make future substantive changes in
> ICANN's At-Large governance structure after plans for At-Large
> representation and participation are enacted.
> 
> Defining the Electorate
> 
> We also do not believe that the public (or user) interest can be reliably
> represented through a system based on e-mail addresses to identify
> individuals; such an approach is administratively and financially unworkable
> on a global scale for a sizeable electorate, and fraught with potential
> dangers ranging from capture to outright fraud.  Furthermore, experience has
> already shown that it is costly and difficult to manage and does not
> effectively handle many people in regions that use non-Latin script or have
> inefficient postal systems.  This is a real-world reality that the current
> ICANN must deal with.
> 
> Instead, to create an ALSO electorate, we found the requirement that members
> hold or acquire a domain name and pay a fee to be a useful way of initially
> identifying individuals, reaching them in a decentralized way through
> registrars (further tying the ICANN community together), and ensuring their
> direct interest in the Internet infrastructure that is ICANN's central
> concern. To be sure, this requirement and the accompanying registation
> process are not a foolproof mechanism for verifying identity and preventing
> fraud.  However, we believe that domain name holders' tangible vested
> interest in the domain name system, their completion of financial
> transactions with registrars for domain names (in most cases), verification
> of their domain name registration, and payment for At-Large membership,
> provide a higher (and reasonable) threshold of verification than that
> afforded by unrestricted e-mail voting.
> 
> How Many At-Large Directors
> 
> Rather than dividing the Board between Directors who "serve the public
> interest" versus "functional" Directors, we believe the approach with the
> best chance for broad support is addressing Internet users' interests by:
> · Organizing ICANN's Board along stakeholder interest or functional lines,
> such as developers, providers and users; (We do not expect that Directors
> will always align in these blocs.  On occasion, regional differences may
> matter; on other occasions, technical versus economic considerations may
> matter, etc.);
> · Providing all interested individuals with the opportunity to participate
> in ICANN and for At-Large members to select one-third of the Board; and
> · Initially defining At-Large members -- the ALSO electorate -- as
> "individual domain name holders" -- since they have a strong and tangible
> vested interest in ICANN activities, not just the Internet in general, and
> an overwhelming majority of domain name holders are individuals or
> enterprises with less than ten employees).  (We propose the At-Large user
> "community" include institutions, but only individuals may vote.
> Institutions already play a greater role in the existing Supporting
> Organizations, so this seems an appropriate balance.)
> 
> Obviously, this is only one of many possible approaches; we endeavored to
> find one that could win broad support.
> 
> We recommend that the ALSO framework and elections be based on six
> geographic regions -- Africa, Asia/Pacific, Europe, Latin America/Caribbean,
> North America and Central/West/South Asia (CWSA).  Dividing ICANN's existing
> Asia/Pacific region in two reflects the distribution of population and
> Internet usage for the world's fastest growing region, and we view this as a
> practical, clear-cut action. We recognize, however, that the creation of
> ICANN's existing five regions involved lengthy consideration and
> inter-governmental discussions and that there may be issues involved in
> having SOs with different geographic regions.  Therefore, if creation of a
> new region threatens to significantly delay At-Large implementation, the
> ALSC recommends the ALSO and its election processes initially be based on
> ICANN's existing five regions, and that two At-Large Directors be selected
> from two different countries in the existing Asia/Pacific region.
> 
> We recommend that Directors be elected for three-year terms and that the
> At-Large be re-evaluated after two election cycles.  This would provide
> At-Large with time to develop and give ICANN more stability and an
> opportunity to implement any necessary changes to At-Large participation and
> representation mechanisms based on six years of experience.  Clearly, timely
> outreach, development and management efforts will be necessary to implement
> our recommendations.
> 
> ALSO
> 
> To assist with the At-Large elections (as a top priority), and to work on
> the implementation details and help launch the ALSO and its membership base,
> we recommend that ICANN create an ALSO Organizing Committee with an
> Elections Subcommittee.  They would develop proposed guidelines, procedures
> and a budget for the At-Large election, building on the ALSC's detailed
> suggestions, and help guide the At-Large elections. As noted above, the
> Committee also would look for other mechanisms to register and authenticate
> voters.  The Committee would propose (and assist with implementation of)
> bylaws, a charter, and organizational and outreach plans and budgets, and
> would develop guidelines to foster an ALSO that can develop and present
> policy advice to the Board (in close consultation with other Supporting
> Organizations) on issues that affect Internet users' interests and that are
> within ICANN's specific technical and administrative mission.
> 
> It is important to note that careful attention to ICANN's constrained
> mission should render it less attractive as a vehicle to "capture" and make
> sure that the public does not expect ICANN to remedy problems or solve
> disputes not within its narrow competence.
> 
> The Committee also would develop guidelines for the creation of a local,
> regional and national ALSO framework, including making recommendations on
> the use of existing organizations to help create the ALSO.
> 
> We think a consensus can form that an ALSO's organized participation
> mechanisms and election processes will fulfill the mission of involving
> individuals and representing their interests in ICANN's policy development
> and decision-making structure and processes.  Individual domain name
> holders, as users, have a significant stake in ICANN's activities and should
> have the opportunity of fully participating in ICANN and helping to select
> its Board.  The creation of elected, geographically diverse At-Large
> Councils with the responsibility to help build a framework for At-Large
> participation and attention to users' voices is essential.  The ALSO also
> should strengthen the link to people who have demonstrated a commitment to
> ICANN's mission and support informed participation in ICANN's technical
> coordination of the Internet's domain name and address system.
> 
> In proposing these recommendations on the role of an At-Large community, our
> intention is to help create a policy and decision-making structure and
> process within ICANN that fosters understanding and accommodation among
> various interests, including individual Internet users.  We believe we are
> recommending such a structure, one that has potential for consensus support
> and will help ensure that ICANN's policies truly reflect the needs,
> interests and rights of all its stakeholders - including those who may not
> agree with some resulting policies but who will ideally feel that at least
> their positions were understood and fairly considered.  Finally, we do
> believe that attention to the interests of all stakeholders is likely to
> produce transparent policies that will indeed sustain the stability of the
> domain name system and attract broader public support over time.
> 
> Balanced, Reasonable Approach
> 
> We have concluded that no system exists for incorporating an "At-Large"
> membership that would fully satisfy all interests, because this is a world
> of limited resources in which compromises must be made and priorities set in
> all spheres of activity.  We also recognize that our recommended approach is
> not foolproof (e.g. vulnerability to capture of a geographic region would
> still exist.)  We recommend that ICANN remain open to new ideas from those
> interested in creating a self-supporting At-Large electorate base that would
> enable the inclusion of individuals who do not own domain names yet are
> actively interested in ICANN's mission.
> 
> We believe that this is the most balanced, reasonable approach currently
> available, and that we are outlining a system that is generally fair and
> that involves those individuals who have an active interest in ICANN's
> activities, or allows them easily to join by registering a domain name and
> paying the membership fee.  It offers a framework for all interested
> individuals' structured participation, focuses At-Large membership
> (electorate) on an identifiable and vested community, provides a reasonable
> mechanism for registration and self-funding, and grants At-Large members a
> proportionate responsibility for selecting ICANN's Board (along with the
> DNSO, ASO, and PSO).
> 
> Our recommendations are submitted to the Board for ICANN's consideration.
> We look forward to working with the Board, Supporting Organizations, other
> interested parties, and ICANN staff to answer questions and propose detailed
> suggestions for an At-Large membership, voter registration, and a regionally
> based, self-supporting ALSO.  Although events may have delayed progress, we
> remain committed to helping ICANN reach final resolution and implementation
> on At-Large membership.
> 
> ALSC Final Report on ICANN At-Large Membership available at
> www.atlargestudy.org
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