[ARIN-consult] Proposed Revision to the ARIN Policy Development Process

[Scott Leibrand]

Has Appendix A been published yet?  I'd like to review the PDP flow diagram
to better understand the timeline implications of part two sections 5 and 6.

Thanks,
Scott

On Fri, Sep 30, 2011 at 10:43 AM, ARIN <info at arin.net> wrote:

> ARIN is consulting with the community with regards to the attached Revised
> Policy Development Process (PDP) for policy development in the ARIN region.
> This revision to the PDP includes extensive restructuring of the material
> for improved readability, and as such the use of change marking is not
> possible.
>
> Significant changes in this revision of the PDP include:
>
>  - Improved definition of the scope of the PDP process
>  - Clarified principles for good number resource policy
>  - Clarified Board criteria for ratification of developed policies
>  - Have added a role for the ARIN Advisory Council (AC) to performing an
> initial review of each new policy proposal to confirm that it is in scope of
> the PDP
>  - Have changed the process so all in-scope policy proposals become draft
> policies upon successful initial review
>  - Have defined a single first-in/first-out flow control for AC Chair to
> allow deferral of all incoming proposals if AC docket is overloaded
>  - Added requirement for the AC to provide a full explanation of any policy
> action taken
>  - Provides for the AC to select the set of draft policies which are to be
> presented in detail for discussion at the Public Policy Meeting (PPM)
>  - Excludes ARIN Staff & Board from initiating or supporting petitions
>  - One petition per policy action; if successful, petitioners mutually
> select the presenter of the draft policy at PPM
>
> There are three documents: Part 1 is the goals of the PDP, Part 2 is the
> PDP itself, and Part 3 is the PDP Petition Process.
>
> Please provide comments to arin-consult at arin.net. You can subscribe to
> this mailing list at:
> http://lists.arin.net/mailman/**listinfo/arin-consult<http://lists.arin.net/mailman/listinfo/arin-consult>
> .
>
> Discussion on arin-consult at arin.net will close on 28 October 2011. ARIN
> seeks clear direction through community input, so your feedback is
> important. If you have any questions, please contact us at
> info at arin.net.
>
> Regards,
>
> Communications and Member Services
> American Registry for Internet Numbers (ARIN)
>
>
> ## * ##
>
>
> PART ONE – ARIN POLICY DEVELOPMENT PROCESS GOALS
>
> 1.      Purpose
>
> This document describes the ARIN Policy Development Process (PDP). The ARIN
> PDP is the process by which policies for the management of Internet number
> resources in the ARIN region are developed by the community. These Internet
> number resource policies are developed in an open and transparent manner
> that allows anyone to participate in the process.
>
> The PDP is designed to bring forth clear, technically sound and useful
> policies for ARIN to use in the management and administration of Internet
> number resources. To accomplish this goal, the PDP charges the
> community-elected ARIN Advisory Council (AC) as the primary policy
> development body with appropriate checks and balances on its performance in
> that role.
>
> Part I of this document provides the underlying goals for the Policy
> Development Process (including its purpose, scope, principles, and criteria
> for policy changes) and Part II details the specific Policy Development
> Process used for development of changes to Internet number resource policy.
>  Part III details the processes for petitioning specific aspects of the
> Policy Development Process.
>
> 2.      Definitions
>
> Internet Number Resources
> Internet number resources consist of Internet Protocol version 4 (IPv4)
> address space, Internet Protocol version 6 (IPv6) address space, and
> Autonomous System (AS) numbers.
>
> Policy Proposal
> An idea for a policy that is submitted to the policy development process.
>  ARIN staff work with idea proposers to insure clarity of the policy
> proposals, and the ARIN Advisory Council confirms the policy proposal is in
> scope (per Section 3) of the Policy Development Process.
>
> Draft Policy
> A policy proposal that is under active consideration by the Advisory
> Council.  A draft policy results from a policy proposal being accepted by
> the Advisory Council for further development. The Advisory Council accepts
> additional policy proposals when the AC Chair determines that the Advisory
> Council has sufficient available resources to undertake additional
> development work.
>
> Recommended Draft Policy
> A draft policy that has been recommended for adoption by the Advisory
> Council.  Policies are recommended for adoption once the Advisory Council
> determines the draft policy meets ARIN’s Principles of Internet number
> resource policy as specified in Section 4.
>
> Adopted Policy
> A policy that has been adopted by the ARIN Board of Trustees.  Adopted
> policies are incorporated into the Network Resource Policy Manual (NRPM)
>
> Public Policy Mailing List (PPML)
> The ARIN public mailing list for discussion of Internet number resource
> policy.
>
> Public Policy Meeting (PPM)
> ARIN meetings open to the public for discussion of Internet number resource
> policy.
>
> Petition
> An action initiated by any member of the community (including a proposal
> originator) if they are dissatisfied with the action taken by the Advisory
> Council regarding a specific policy proposal or draft policy.
>
> 3.      Scope of Internet Number Resource Policies
>
> 3.1.     Policies, not Processes, Fees, or Services
> Internet number resource policies developed through the PDP describe the
> policies and guidelines to be followed in number resource management, not
> the procedures that ARIN staff will use to implement the policies. ARIN
> staff develops appropriate procedures to implement policies after they are
> adopted.
>
> Internet number resource policies are also distinctly separate from ARIN
> general business practices. ARIN's general business processes, fees, and
> services are not within the purview of the Policy Development Process, and
> policies developed through the PDP cannot define or establish ARIN fees or
> service offerings. All matters concerning fees and service offerings are
> part of the fiduciary responsibility of the Board of Trustees.  Note that
> the ARIN Consultation and Suggestion Process (ARIN ACSP) may be used to
> propose changes in non-policy areas.
>
> 3.2.     Relevant and applicable within the ARIN region
> Policies developed through the PDP are community self-regulatory statements
> that govern ARIN’s actions in the management of Internet number resources.
> Policy statements must be applicable to some portion of the community or
> number resources managed within the ARIN region, and proposals to change
> policy must address a clearly defined and existing problem with number
> resource policy in the region.
>
> Note that the policy development process for global policies follows a
> similar process within each RIR region with the additional process of
> ratification by the Internet Corporation for Assigned Names and Numbers
> (ICANN).  The global policy development process is separately documented and
> facilitated by the Address Supporting Organization Address Council (ASO AC).
>
> 4.      Principles of Internet Number Resource Policy
>
> Internet Number resource policy recommended for adoption must satisfy three
> important principles, specifically:  1) enabling fair and Impartial number
> resource administration, 2) technically sound (providing for uniqueness and
> usability of number resources), and 3) supported by the community.
>
> 4.1.    Enabling Fair and Impartial Number Resource Administration
> Internet number resources must be managed with appropriate stewardship and
> care. Internet number resource policy must conserve resources and provide
> for fair and impartial distribution of resources according to unambiguous
> processes and criteria. All policy statements must be clear, complete, and
> concise, and any criteria that are defined in policy must be simple and
> obtainable. Policies must be unambiguous and not subject to varying degrees
> of interpretation.
>
> 4.2.     Technically Sound
> Policies for Internet number resources management must be evaluated for
> soundness against three overarching technical requirements: conservation,
> aggregation and registration.  More specifically, policies for managing
> Internet number resources must:
> •       Support both conservation and efficient utilization of Internet
> number resources to the extent feasible. Policy should maximize number
> resource availability while respecting the significant cost to the Internet
> community resulting from number resource depletion.
> •       Support the aggregation of Internet number resources in a
> hierarchical manner to the extent feasible.  Policy should permit the
> routing scalability that is necessary for continued Internet growth.  (Note
> that neither ARIN, nor its policies, can guarantee routability of any
> particular Internet number resource as that is dependent on the actions of
> the individual Internet operators.)
> •       Support the unique registration of Internet number resources.
>  Policy should prevent to the extent feasible any duplicate use of Internet
> number resources that would disrupt Internet communications.
> The ARIN AC considers these requirements in assessing changes to policy and
> only recommends those policies that achieve a technically sound balance of
> these requirements.  The ARIN AC documents its technical assessment for
> consideration by the community.
>
> 4.3.     Supported by the Community
> Changes to policy must be shown to have a strong level of support in the
> community in order to be adopted. The determination of support is most
> commonly done after discussion of the draft policy at the Public Policy
> Meeting (PPM) or via online poll after discussion on the Public Policy
> Mailing List (PPML).
>
> A strong level of community support for a policy change does not mean
> unanimous; it may be supported by only a subset of the community, as long as
> the policy change enjoys substantially more support than opposition in the
> community active in the discussion.  Furthermore, any specific concerns
> expressed by a significant portion of the community must have been
> explicitly considered by the ARIN AC in their assessment of the policy
> change.
>
> 5.      ARIN Board Criteria for Policy Changes
>
> In order to maintain fidelity to the duty performed by ARIN on behalf of
> the Internet community, changes to Internet resource numbering policy must
> meet two specific criteria before being adopted by the ARIN Board of
> Trustees:  1) in compliance with law and ARIN’s mission, and 2) developed
> via open and transparent processes
>
> 5.1.     In Compliance with Law and ARIN’s Mission
> Policies developed through the PDP must advance ARIN’s mission, not create
> unreasonable fiduciary or liability risk, and must be consistent with ARIN's
> Articles of Incorporation, Bylaws, and all applicable laws and regulations.
>
> 5.2.     Developed by Open & Transparent Processes
> Changes to policy must be developed via open and transparent processes that
> provide for participation by all.  Policies must be considered be in open,
> publicly accessible forum as part of the adoption process. Policy
> discussions in the ARIN region are conducted on the Public Policy Mail List
> (PPML) and in the Public Policy Meeting (PPM). There are no qualifications
> for participation other than following the specified rules of decorum
> necessary for constructive discussion. Anyone interesting in participating
> in the process may subscribe to the PPML and anyone interested may attend a
> PPM in person or via remote participation methods.
>
> All aspects of the PDP are documented and publicly available via the ARIN
> website. The PPML is archived. The proceedings of each PPM are published.
> All policies are documented in the Number Resource Policy Manual (NRPM). All
> draft policies are cross referenced to the original policy proposal, the
> archives of the PPML, all related PPM proceedings, and the minutes of the
> appropriate Advisory Council and the ARIN Board of Trustees meetings. The
> procedures that are developed to implement the policy are documented,
> publicly available, and followed by the ARIN staff.
>
>
> PART TWO – THE POLICY DEVELOPMENT PROCESS
> This section provides the details of the ARIN Policy Development Process.
> All references to “days” are business days unless otherwise specified.
>
> 1. The Policy Proposal
> Policy proposals may be submitted to the ARIN Policy Development process by
> anyone in the global Internet community except for members of the ARIN Board
> of Trustees or the ARIN staff. Policy proposals may be submitted any time by
> completing the online policy proposal form on the ARIN web site or by
> sending text copy of the form to policy at arin.net. ARIN staff will work
> with the originator as described below to prepare the policy proposal and
> make it available for consideration by the Advisory Council.
>
> Upon receipt of a policy proposal form, the ARIN staff will work with the
> proposal originator by providing feedback within 10 days regarding the
> clarity and understanding of the proposal text. The merits of the policy
> proposal itself are not evaluated at this time; the purpose of this step is
> to insure that the proposal text will be clear and understandable to the
> ARIN staff and community, and to receive any staff comments regarding
> potential scope considerations of the policy proposal.
>
> The proposal originator may revise (or not) the proposal text based on the
> feedback received, and when the originator indicates satisfaction with the
> proposal text, the ARIN staff assigns it a policy proposal number, posts the
> policy proposal to the public web site, and notifies the Advisory Council of
> a new policy proposal available for initial evaluation.
>
> 2. Policy Proposal Initial Evaluation
> The Advisory Council (AC) performs an initial evaluation of each policy
> proposal in a timely manner to determine if the proposal is within scope of
> the Policy Development Process.  This will include consideration of comments
> received from staff regarding potential scope considerations of the policy
> proposal.  Policy proposals which are determined by the Advisory Council to
> be out of scope or clearly without merit may be rejected at this point, and
> the Advisory Council announces the rejection of a policy proposal along with
> an explanation of its reasoning to the PPML.
>
> The Advisory Council maintains a docket of draft policies under active
> development. Any policy proposals that are not rejected upon initial
> evaluation shall become draft policies on its docket. The AC Chair may defer
> initial evaluation of all new policy proposals if the Chair determines that
> there are insufficient resources available for additional policy development
> work.
>
> 3. Draft Policy Discussion and Development
> The Advisory Council is responsible for the development of draft policies
> on its docket to meet ARIN’s principles of Internet number resource policy
> (as described in Part One of the PDP, Section 4). During this effort, the
> Advisory Council participates in and encourages the discussion of the draft
> policies on the PPML, notes the merits and concerns raised, and then based
> on its understanding of the relevant issues, the Advisory Council may take
> various actions including abandoning, revising or combining the draft policy
> with other draft policies.
>
> The Advisory Council announces any actions taken on draft policies along
> with an explanation of its reasoning to the PPML.  The explanation should
> show a full consideration of the issues leading to the action.. The Advisory
> Council (AC) may have specific AC members or members of the community
> (including the proposal originator) collaborate in the consideration of the
> discussion and preparation of actions for the Advisory Council, but only the
> Advisory Council may revise, combine, or abandon a draft policy.
>
> The Advisory Council may submit a draft policy for a combined staff and
> legal review (and should do so after significant changes to a draft policy).
> This review will be completed within 10 days. Upon receipt of the staff and
> legal review comments, the Advisory Council examines the comments to ensure
> their understanding and resolve any issues that may have been raised. This
> may cause the Advisory Council to revise, combine or abandon the draft
> policy.
>
> 4. Community Discussion at Public Policy Meeting
> The Advisory Council presents reports on the status of all the draft
> policies on its docket at each public policy meeting (PPM).  The list of
> draft policies is set 20 days in advance of the PPM, and no action to add,
> merge or abandon draft policies may be made after that point (In order to
> provide for flexibility but insure discussion of a single draft policy
> version at the PPM, minor revisions to draft policy text may be made by the
> Advisory Council up until 10 days prior to the public policy meeting.)
>
> The AC Chair designates a list of Draft Policies for discussion and these
> are specifically listed in the Draft PPM agenda.  In each Draft Policy
> presentation, members of the Advisory Council will present the arguments for
> and against adoption of the Draft Policy (petitioned items at the PPM are
> handled per PDP Section III: Petition Process) The Advisory Council
> participates in the discussion of the draft policies at the PPM, and notes
> merits and concerns raised in the discussion.
> Within the 30 days following the Public Policy Meeting, the Advisory
> Council reviews all draft policies and, taking into account the discussion
> at the public policy meeting, decides the appropriate next action for each
> one.. Draft policies that are not abandoned remain on the Advisory Council’s
> docket for further development.
>
> 5. Advisory Council Consensus on Recommended Draft Policy
> If the Advisory Council completes its work on a draft policy and believes
> that the draft policy meets ARIN’s principles of Internet number resource
> policy, it may recommend the draft policy to the community.  Upon
> recommendation, the recommended draft policy text and a current staff and
> legal review are published on the PPML for community discussion.
>
> 6. Community Support on Recommended Draft Policy
> The Advisory Council seeks community support for its recommended draft
> policies, and this support may be ascertained by a show of hands at the
> public policy meeting or an online poll of the community after 10 days prior
> notice provided to PPML.
>
> The Advisory Council should carefully weigh the community support shown for
> each of the recommended draft policies.  Clear community opposition is a
> strong indication that policy abandonment should be considered. A low level
> of overall support without opposition for a recommend draft policy suggests
> further discussion of the merits of the draft policy or abandonment. A clear
> split in the community support suggests that the Advisory Council should
> revise the draft policy to accommodate the concerns raised or further
> explain its consideration of the matter.
>
> 7. Last Call
> The Advisory Council selects recommended draft policies that have the
> support of the community and sends these policies to a last call for review
> and discussion by the community on the PPML. The last call period will be
> for a minimum of 10 days. The Advisory Council may decide that certain draft
> policies require a longer last call period of review (such as those that
> were revised based on comments received during the public policy meeting).
> If the Advisory Council sends a draft policy different than the recommended
> draft policy, then the Advisory Council will provide an explanation for all
> changes to the text.
>
> Within 30 days of the end of last call the Advisory Council will review the
> result of last call discussion, and will determine readiness for
> consideration by the Board of Trustees.  The Advisory Council may forward a
> draft policy directly to the Board of Trustees only if minor,
> non-substantive changes were made as a result of last call discussion. Any
> other changes require that the recommended policy be sent again to last
> call, or held on the docket as a draft policy for further development.  The
> AC can also decide to abandon a draft policy at this point.
>
> The results of the Advisory Council's decisions, and the reasons for
> them, are announced to the PPML. The Advisory Council forwards the
> recommended draft policies to the Board of Trustees for adoption.
>
> 9. Board of Trustees Review
> The ARIN Board of Trustees reviews and evaluates each recommended draft
> policy at their next meeting. In its review, the Board evaluates the policy
> with respect to the Policy Development Goals as described in Part One of the
> PDP including specifically whether the ARIN Policy Development Process has
> been followed, and whether the policy is in compliance with law and ARIN’s
> mission.
>
> The Board may adopt, reject or remand recommended policies to the Advisory
> Council.  All rejections will include an explanation. Remands will include
> an explanation and suggestions for further development. The Board may also
> seek clarification from the Advisory Council without remanding the
> recommended policy. The results of the Board's decision are announced to the
> PPML.
>
> 10. Implementation
> The projected implementation date of the policy is announced at the time
> that adoption of the policy is announced. ARIN staff updates the NRPM to
> include the adopted policy and implements and publishes a new version of the
> manual.
>
> 11.  Special Policy Actions
> 11.1 Emergency PDP
> If urgently necessary pursuant to ARIN’s mission, the Board of Trustees may
> initiate policy by declaring an emergency and posting a draft policy to the
> PPML for discussion for a minimum of 10 business days. The Advisory Council
> will review the draft policy within 5 days of the end of the discussion
> period and make a recommendation to the Board of Trustees. If the Board of
> Trustees adopts the policy, it will be presented at the next public policy
> meeting for reconsideration.
>
> 11.2  Policy Suspension
> If, after a policy has been adopted, the Board receives credible
> information that a policy is flawed in such a way that it may cause
> significant problems if it continues to be followed, the Board of Trustees
> may suspend the policy and request a recommendation from the Advisory
> Council on how to proceed. The recommendation of the Advisory Council will
> be published for discussion on the PPML for a period of at least 10 days.
> The Board of Trustees will review the Advisory Council's recommendation and
> the PPML discussion. If suspended, the policy will be presented at the next
> scheduled public policy meeting in accordance with the procedures outlined
> in this document.
>
>
> PART THREE – PDP PETITION PROCESS
> This section provides the details of the petitions within the Policy
> Development Process.  Petitions can be made at points where decisions are
> made in the policy process.  Points where petitions are available are
> depicted on the main PDP flow diagram in Appendix A.  All days in the
> process below are business days unless otherwise specified.
>
> 1. Petition Principles
>
> 1.1     Available to the community
> Any member of the community may initiate a Petition if they are
> dissatisfied with a specific action taken by the ARIN Advisory Council (AC)
> regarding any policy proposal or draft policy.  The petitioner does not have
> to be located in the ARIN region or associated with an organization that is
> a Member of ARIN; any party (including a policy proposal originator) with
> interest in policy development matters within the ARIN region may initiate a
> petition.
>
> Notwithstanding the above, ARIN Staff and ARIN Board members may not
> initiate or be counted in support of petitions as these individuals already
> have a formally defined role in the Policy Development Process.
>
> 1.2     Petition Initiation and Process
>
> A petition may be initiated by sending an email message to the ARIN Public
> Policy Mailing List (PPML) clearly requesting a petition against a specific
> action and includes a statement to the community on why the petition is
> warranted.  The ARIN Staff will confirm the validity of the petition and
> then announce the start of the petition period on the PPML mailing list.
>
> Until the close of the petition period, Members of the community (as
> allowed to petition per 1.1 above) may be counted in support for an existing
> petition by sending an email message to the PPML clearly stating their
> support for the petition.  Only one petition will be considered for given
> policy action; all subsequent requests to petition for the same action
> within the petition period shall be considered as support for the original
> petition.
>
> The petition shall remain open for 5 days, at which time the ARIN Staff
> shall determine if the petition succeeds (success requires expressions of
> petition support from at least 10 different people from 10 different
> organizations).  A successful petition will result in a change of status for
> the policy proposal or draft policy as specified below.
> Staff and legal reviews will be conducted and published for draft policies
> placed on the AC docket by successful petitions.
> All draft policies successfully petitioned are presented for discussion at
> the next PPM by an individual chosen by the petition supporters.  If
> consensus is not achieved in determining the presenter, then the President
> may facilitate the selection process.
>
> 2. Valid Petitions
> Petitions may be made regarding policy proposals or draft policies as
> described below.
>
> 2.1.  Petition against Abandonment or Rejection due to out of scope
> The Advisory Council’s decision to abandon a policy proposal or draft
> policy may be petitioned.
>
> Petitions may be initiated until 5 days following the announcement date of
> an Advisory Council abandonment of a specific policy proposal or draft
> policy. For sake of clarity, the “announcement date” of an action shall be
> the publication date of the action in the ARIN AC minutes.
>
> For a draft policy, a successful petition will result in the draft policy
> being placed back on the AC docket for PPML discussion and presentation at
> the next PPM.
>
> For a policy proposal rejected due to being out of scope of the PDP, a
> successful petition will result in the question of policy proposal being
> referred the ARIN Board for consideration.
>
> For a policy proposal otherwise abandoned, a successful petition will
> result in the policy proposal becoming a draft policy that will be placed on
> the AC docket and published for discussion and review by the community on
> the PPML.  The resulting draft policy shall be under control of the AC going
> forward as any other draft policy and subsequently may be revised or
> abandoned per the normal policy development process.
>
> 2.2.  Petition for Original Version
> The Advisory Council’s decision to revise a draft policy may be petitioned.
>
> Petitions may be initiated anytime until 5 days following the announcement
> date of an Advisory Council revision or publication date of the draft agenda
> of the next Public Policy Meeting (PPM).
>
> A successful petition will result in the original version of the draft
> policy being added to the AC docket for PPML discussion and presentation at
> the next PPM.
>
> 2.3.  Last Call Petition
> Any member of the community may initiate a Last Call Petition if they are
> dissatisfied with the AC’s failure to act within 30 days after a PPM to send
> a draft policy to last call. If successful, the petition will move the draft
> policy to last call discussion and review by the community on the PPML.
>
> 2.4.  Board of Trustees Consideration Petition
> Any member of the community may initiate a Board of Trustees Consideration
> Petition if they are dissatisfied with the AC’s failure to act within 30
> days after a last call review. If successful, this petition will move the
> draft policy for consideration by the Board of Trustees.
>
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