Policy Archive - AFRINIC - Regional Internet Registry for Africa

PDP Working Group (WG) Guidelines and Procedures (Draft-6) Archived

: Last Modified on - 02 August 2022

Details

ID:	AFPUB-2020-GEN-002-DRAFT06	Date Submitted:	21 June 2022
Author:	Noah Maina noah@neo.co.tz Alain P. Aina aalain@trstech.net	Version:	6
Obsoletes:	NA	Amends:	CPM 3.3 [Obsoletes Paragraphs 2 and 3] CPM 3.5 [Obsoletes Section 3]

PDP Milestone Summary Archived - 01/08/2022 Withdrawn by Author(s) - 28/07/2022 Consensus - Announced on 28/07/2022. Ratification Report sent to the Board by PDWG Chairs. Last Call - 23/06/2022 to 14/07/2022

Proposal

1. Summary of the problem being addressed by this proposal

The current PDP uses a working group for policy development activities. It does not define specific procedures and operational rules for the working group. This has, over time, led to interpretation issues in regards to how the working group is administered and how discussions are moderated.

2. Summary of how this proposal addresses the problem

The proposal addresses the problems by defining clear and explicit Working Group guidelines and procedures.

3. Proposal

The proposal amends the Policy Development Process, section 3.3 ( obsoletes Paragraphs 2 and 3) and obsoletes section 3.5.3 of the AFRINIC CPM.

Current	Proposal
3.3 The Policy Development Working Group (PDWG) The Policy Development Working Group (PDWG) discusses the proposals. Anyone may participate via the Internet or in person. PDWG work is carried out through the Resource Policy Discussion mailing list (rpd at afrinic.net) and the bi-annual AFRINIC Public Policy Meetings (PPM). Any person participating either in person or remotely is considered to be part of the Policy Development Working Group. The Policy Development Working Group has two Chairs to perform its administrative functions. The PDWG Chairs are chosen by the AFRINIC community during the Public Policy Meeting and serve staggered two-year terms. The term ends during the first Public Policy Meeting, corresponding to the end of the term for which they were appointed. A term may begin or end no sooner than the first day of the Public Policy Meeting and no later than the last day of the Public Policy Meeting, as determined by the mutual agreement of the current Chair and the new Chair. If the Working Group Chair is unable to serve his or her full term, the Working Group may select a replacement to serve the remainder of the term. If the Working Group Chairs are unable to attend the Public Policy Meeting, the Working Group shall nominate a Chair for the session. Anyone present at the meeting, whether in person or by remote participation, may participate in the selection process for a temporary Chair.	3.3 Introduction The Policy Development working group (PDWG) provides an open public forum where proposals for policies for proper and responsible usage and Management of Internet numbers are discussed. PDWG sessions are held at AFRINIC Public policy meetings. Between meetings, discussions continue through the Resource Policy discussions mailing list. The PDWG is open to all interested individuals. This document serves as guidelines on how the working group shall operate. It defines clear roles and responsibilities for the PDWG co-chairs and clear procedures for the working group’s administration. 3.3.1 Co-chairs Two PDWG co-chairs primarily administer the Policy Development Working Group. The PDWG co-chairs perform a vital role in managing the working group. The effectiveness of the PDWG is dependent on the active participation of the co-chairs. PDWG co-chairs undertake their roles on a volunteer basis. The co-chairs coordinate the activities of the Policy Development Working Group and are expected to attend all AFRINIC Public Policy Meetings. They must remain subscribed to the AFRINIC Policy Discussion mailing list for the duration of their term and must also be subscribed to the AFRINIC members-discuss mailing list during their term. For each policy proposal, one co-chair must be assigned as the primary contact; both co-chairs however shall actively participate in the consensus-building. The leading co-chair for the proposal as described above shall guide the policy proposal through the different phases of the PDP. 3.3.2 Responsibilities of PDWG co-chairs Ensure working group process and content management The co-chairs have the ultimate responsibility for ensuring that the working group achieves forward progress. The co-chairs are also responsible to ensure that the working group operates in an open and fair manner. Moderate the Resource Policy Discussion mailing list The co-chairs should attempt to ensure that the discussions on the list are relevant and that they converge to consensus agreements. The co-chairs should make sure that discussions on the list are summarised and that the outcome is well documented to avoid repetition and other abuses. Organise, prepare and chair the face-to-face and online formal working group meetings The responsibilities of the co-chairs are listed below: 3.3.2.1 Before an AFRINIC Public Policy Meeting Assist authors with formatting proposal Introduce policy proposals to the policy discussion mailing list Discourage any behaviour that jeopardises open participation in policy discussions, especially for newcomers. Monitor and moderate discussions held on the AFRINIC policy discussion mailing list Announce the call for the presentation of policy proposals for Public Policy Meetings on the policy discussion mailing list Read the presentation's slides to familiarize themselves with the details and ensure they match the proposals ‘text. In case of any difference, submission of an updated version of the proposal on the mailing list to notify the working group is required, even if these changes will not be considered. Create agenda presentation slides for the meeting with AFRINIC staff. Guide the consensus-building process; announce the current status of a policy proposal. Read AFRINIC Public Policy Meeting minutes and make corrections as necessary Present the policy discussion working group report to the AFRINIC Public Policy Meeting. 3.3.2.2. During a Public Policy Meeting Chair the Public Policy meeting and moderate the discussions. Determine whether proposals gained enough support to move to the next phase. Monitor remote chat-room discussions during the AFRINIC Public Policy Meeting Present the policy discussion working group report to the AFRINIC Public Policy Meeting. 3.3.2.3. After a Public Policy Meeting Send a report of the Public Policy Meeting to the community and policy discussion mailing lists including policy proposal discussion outcomes and open action items. Monitor and moderate discussions during the last-call phase period. Summarise discussions, and following the end of the last call, post the decision regarding whether the proposal has reached consensus or not. Submit a policy proposal ratification report to the AFRINIC board of directors. 3.3.3. Appointment of PDWG Co-chairs The working group appoints two co-chairs for a two-year term. Co-chairs’ appointments occur in alternate years for each seat (seat1 and seat2). The working group makes decisions by consensus and shall also appoint co-chairs by consensus. Elections should be used as a last resort solution. The appointment for each seat follows the following process: At least 60 days before the Public Policy Meeting, AFRINIC staff send a call for nominations to the policy development mailing list. The call will contain: Details of the co-chair position to be filled (seat1 or seat2) Details of the duties of the position. The closing date for nominations; is 30 days from the date of the call. Any natural person residing in a country from the AFRINIC service region is allowed to volunteer. Volunteers make themselves known by introducing themselves (short biography and motivation) as a candidate on the working group mailing list. [ Candidates for the co-chair’s position should be known as active participants on the working group mailing list with good experience with the AFRINIC policy development processes which are readily learned by active participation in the working group and especially by serving as a document editor or author. They must have attended at least four (4) meetings of the last six (6) Public Policy Meetings of which one must be in person. The six meetings are the six most recent meetings that ended prior to the date on which the solicitation for volunteers is submitted on the resources policy discussions list.] If at least one nomination is received by the closing date, the appointment process starts. The appointment must be held at the upcoming Public Policy Meeting as the first item on the agenda. Those present at the session, either in person or remotely, will determine by consensus among the candidates who shall take the available position. The remaining chair will determine whether consensus has been reached. If the working group finds itself without a co-chair, AFRINIC CEO will lead the consensus process. If only one candidate is being evaluated, the lack of consensus must declare the seat vacant. The board of directors shall appoint an interim co-chair within two weeks after the PPM. The Interim co-chair will act up to the appointment of the new co-chair. If no consensus can be reached and more than one candidate is being evaluated, then an online secret ballot to appoint the new co-chair will be held within two weeks after the PPM. The secret ballot shall be opened to past PDPWG co-chairs, past board of directors chairs and past CEOs who completed at least one term and have not been recalled. Those who served in multiple positions shall have one vote. Votes and counting shall be conducted using a ranked preferential voting method otherwise known as IRV. The winner of the secret ballot will become the new co-chair. In the unlikely event that after all the rounds of counting of the vote, there is a tie between the two (2) most ranked candidates, they shall be asked to select one among them to serve the term by consensus. The seat shall be declared vacant in case of failure of agreement between the last two. If the secret ballot cannot be held, the seat is declared vacant. The board of directors shall appoint interim co-chairs(s). The Interim co-chair(s) will act up to the appointment of the new co-chair(s). The exit of the co-chair includes a handover period and an expectation that the sitting chair follows proposals, which have already reached consensus, to the completion of their PDP cycle. 3.3.4. Recalling a co-chair If the co-chair does not attend two consecutive AFRINIC Public Policy Meetings without reasons or has been publicly reported by the other co-chair as no longer attending to the working group’s affairs without reasons, the co-chair will be removed from its role. Anyone may request the recall of a working group co-chair at any time, upon a written request with justifications to the AFRINIC Board of Directors. The request must be supported by at least ten (10) other persons from ten (10) different organisations. These persons must have been subscribed to the working group mailing list for at least one (01) year and attended at least one (1) AFRINIC Public Policy Meeting during the last two (2) years, either in-person or remotely. A request for recall shall be published on the Working Group mailing list Anytime there is a request for co-chair recall, the board shall form a recall committee composed of one (01) CoE member appointed the CoE, one (01) Governance Committee(GC) member appointed by the GC, and one (01) community member pointed by the Board of Directors. The recall committee shall investigate the circumstances of the request for the recall, [hear the parties] and determine the outcome in not more than 4 weeks. The co-chair(s) must be recalled if proven unable to perform the role of co-chair, preventing the WG from making forward progress deliberately, or showing constant and persistent violations of the PDP or the WG's rules. The recall committee report shall be published on the working group mailing list. The recall committee's decision shall be final and binding. Whenever a co-chair is removed from its role and recalled, the remaining co-chair will assume the chairing role of the working group until the appointment of a new co-chair(s). If both co-chairs are recalled, AFRINIC CEO shall as a matter of urgency lead the appointment by the working group of an interim co-chair(s) via the mailing list or at the Public Policy meeting. If no consensus can be reached, the Board of directors shall appoint interim co-chairs(s) for the working group within two weeks after the ascertainment of the lack of consensus 3.3.5. Resignation of co-chair If a co-chair resigns, the remaining co-chair will assume the chairing role of the working group until the appointment of a new co-chair(s). If both co-chairs resign, AFRINIC CEO shall as a matter of urgency lead the appointment by the working group of an interim co-chair(s) via the mailing list or at the Public Policy meeting. If no consensus can be reached, the Board of directors shall appoint interim Co-chairs(s) for the working group. The Interim chair will act up to the appointment of the new co-chair(s). 3.3.6 Operations working group (PDWG) 3.3.6.1 Moderation of working group discussions and sessions The challenge of managing the policy development working group sessions is to balance the need for open and fair consideration of the issues against the need to make forward progress. The working group, as a whole, has the final responsibility for striking this balance. The working group co-chairs have the responsibility for overseeing the process. To facilitate making forward progress, the working group co-chairs may wish to decide to reject or defer the input from an individual, based upon the following criteria: Old: The input pertains to a topic that already has been resolved and is redundant with information previously available; Minor: The input is new and pertains to a topic that has already been resolved, but it is felt to be of minor import to the existing decision; Timing: The input pertains to a topic that the working group has not yet opened for discussion; Scope: The input is outside the scope of the discussions or of the working group 3.3.7 Individual Behaviour Occasionally one or more individuals may engage in behaviour on a mailing list that, in the opinion of the working group co-chairs, is disruptive to the working group’s progress or goes against applicable Codes of Conduct. Unless the disruptive behaviour is severe enough that it must be stopped immediately, the co-chairs should attempt to discourage the disruptive behaviour by communicating directly with the offending individual. If the behaviour persists, the co-chairs should send at least one public warning on the mailing list. The warning should clearly expose what is being cautioned on the individual and the basis of the co-chair's judgment. As last resort, and typically after one or more explicit warnings, and if the behaviour persists, the working group co-chairs may suspend the mailing list posting privileges of the disruptive individual for a period of not more than 30 days. The application of this restriction must be gradual. If the individual resumes the same behaviour or worse, the restriction period may increase. Even while posting privileges are suspended, the individual must not be prevented from receiving messages posted to the list. Other Mailing list control solutions may be considered. The working group must have adopted these solutions. Like all other working group co-chairs' decisions, any suspension of posting privileges is subject to appeal. 3.3.8 Public Policy Meeting A Public Policy Meeting (PPM) is a meeting open to the community wherein proposals for policies are discussed within the framework of the Policy Development Process (PDP). The AFRINIC Board of Directors calls PPMs in accordance with section 11.2 of the Bylaws. If one co-chair can’t participate in a Public Policy Meeting, the second co-chair shall chair the meeting. If both co-chairs can’t participate in a meeting, the working group shall appoint one (1) person temporarily to lead the session. If the working group cannot appoint a temporary chair, the board of directors shall appoint a temporary chair. If the board fails to appoint a temporary chair, the meeting shall be adjourned. The temporary chair appointed above shall lead the discussions according to the agenda, but can’t determine consensus on policy proposals. He will provide meeting minutes to the mailing list and allow the co-chairs to take over. While open discussion and contribution are essential to the working group's success, co-chairs are responsible for ensuring forward progress. When acceptable to the working group, co-chairs may call for restricted participation (but not restricted attendance!) at Public Policy meetings for the purpose of achieving progress. The working group co-chairs then have the responsibility to refuse to grant the floor to any individual who is unprepared or otherwise covering inappropriate material, or who, in the opinion of the co-chairs, is disrupting the working group process. 3.3.9 Consensus The working group makes decisions by consensus as defined in the PDP 3.3.10 Appeals 3.3.10.1 Suspension of posting privileges [Anyone whose privileges of posting to the mailing list have been suspended by the working group co-chairs may file an appeal against the decision to the Appeal Committee as prescribed in the Policy Development Process. The Appeal Committee will evaluate the circumstances, hear the co-chairs and complainer and decide. The Appeal Committee may direct that the Co-chairs decision be annulled if disproportioned or unjustified considering the severity of the behaviour.] The Appeal Committee’s decision shall be final and binding. 3.3.10.2 Co-chairs appointment A person who disagrees with the actions taken by a co-chair regarding the appointment process [may] follow the conflict resolution process as defined in the PDP. Actions taken by the board of directors regarding the appointment process are final and binding

Current

Proposal

3.3 The Policy Development Working Group (PDWG)

The Policy Development Working Group (PDWG) discusses the proposals. Anyone may participate via the Internet or in person. PDWG work is carried out through the Resource Policy Discussion mailing list (rpd at afrinic.net) and the bi-annual AFRINIC Public Policy Meetings (PPM). Any person participating either in person or remotely is considered to be part of the Policy Development Working Group.

The Policy Development Working Group has two Chairs to perform its administrative functions. The PDWG Chairs are chosen by the AFRINIC community during the Public Policy Meeting and serve staggered two-year terms. The term ends during the first Public Policy Meeting, corresponding to the end of the term for which they were appointed. A term may begin or end no sooner than the first day of the Public Policy Meeting and no later than the last day of the Public Policy Meeting, as determined by the mutual agreement of the current Chair and the new Chair.

If the Working Group Chair is unable to serve his or her full term, the Working Group may select a replacement to serve the remainder of the term. If the Working Group Chairs are unable to attend the Public Policy Meeting, the Working Group shall nominate a Chair for the session. Anyone present at the meeting, whether in person or by remote participation, may participate in the selection process for a temporary Chair.

3.3 Introduction

The Policy Development working group (PDWG) provides an open public forum where proposals for policies for proper and responsible usage and Management of Internet numbers are discussed.

PDWG sessions are held at AFRINIC Public policy meetings. Between meetings, discussions continue through the Resource Policy discussions mailing list. The PDWG is open to all interested individuals.

This document serves as guidelines on how the working group shall operate. It defines clear roles and responsibilities for the PDWG co-chairs and clear procedures for the working group’s administration.

3.3.1 Co-chairs

Two PDWG co-chairs primarily administer the Policy Development Working Group. The PDWG co-chairs perform a vital role in managing the working group. The effectiveness of the PDWG is dependent on the active participation of the co-chairs. PDWG co-chairs undertake their roles on a volunteer basis.

The co-chairs coordinate the activities of the Policy Development Working Group and are expected to attend all AFRINIC Public Policy Meetings. They must remain subscribed to the AFRINIC Policy Discussion mailing list for the duration of their term and must also be subscribed to the AFRINIC members-discuss mailing list during their term.

For each policy proposal, one co-chair must be assigned as the primary contact; both co-chairs however shall actively participate in the consensus-building. The leading co-chair for the proposal as described above shall guide the policy proposal through the different phases of the PDP.

3.3.2 Responsibilities of PDWG co-chairs

Ensure working group process and content management

The co-chairs have the ultimate responsibility for ensuring that the working group achieves forward progress. The co-chairs are also responsible to ensure that the working group operates in an open and fair manner.

Moderate the Resource Policy Discussion mailing list

The co-chairs should attempt to ensure that the discussions on the list are relevant and that they converge to consensus agreements. The co-chairs should make sure that discussions on the list are summarised and that the outcome is well documented to avoid repetition and other abuses.

Organise, prepare and chair the face-to-face and online formal working group meetings

The responsibilities of the co-chairs are listed below:

3.3.2.1 Before an AFRINIC Public Policy Meeting

Assist authors with formatting proposal
Introduce policy proposals to the policy discussion mailing list
Discourage any behaviour that jeopardises open participation in policy discussions, especially for newcomers.
Monitor and moderate discussions held on the AFRINIC policy discussion mailing list
Announce the call for the presentation of policy proposals for Public Policy Meetings on the policy discussion mailing list
Read the presentation's slides to familiarize themselves with the details and ensure they match the proposals ‘text. In case of any difference, submission of an updated version of the proposal on the mailing list to notify the working group is required, even if these changes will not be considered.
Create agenda presentation slides for the meeting with AFRINIC staff.
Guide the consensus-building process; announce the current status of a policy proposal.
Read AFRINIC Public Policy Meeting minutes and make corrections as necessary
Present the policy discussion working group report to the AFRINIC Public Policy Meeting.

3.3.2.2. During a Public Policy Meeting

Chair the Public Policy meeting and moderate the discussions.
Determine whether proposals gained enough support to move to the next phase.
Monitor remote chat-room discussions during the AFRINIC Public Policy Meeting
Present the policy discussion working group report to the AFRINIC Public Policy Meeting.

3.3.2.3. After a Public Policy Meeting

Send a report of the Public Policy Meeting to the community and policy discussion mailing lists including policy proposal discussion outcomes and open action items.
Monitor and moderate discussions during the last-call phase period.
Summarise discussions, and following the end of the last call, post the decision regarding whether the proposal has reached consensus or not.
Submit a policy proposal ratification report to the AFRINIC board of directors.

3.3.3. Appointment of PDWG Co-chairs

The working group appoints two co-chairs for a two-year term. Co-chairs’ appointments occur in alternate years for each seat (seat1 and seat2).

The working group makes decisions by consensus and shall also appoint co-chairs by consensus. Elections should be used as a last resort solution. The appointment for each seat follows the following process:

At least 60 days before the Public Policy Meeting, AFRINIC staff send a call for nominations to the policy development mailing list. The call will contain:
- Details of the co-chair position to be filled (seat1 or seat2)
- Details of the duties of the position.
- The closing date for nominations; is 30 days from the date of the call.

Any natural person residing in a country from the AFRINIC service region is allowed to volunteer.

Volunteers make themselves known by introducing themselves (short biography and motivation) as a candidate on the working group mailing list. [ Candidates for the co-chair’s position should be known as active participants on the working group mailing list with good experience with the AFRINIC policy development processes which are readily learned by active participation in the working group and especially by serving as a document editor or author.

They must have attended at least four (4) meetings of the last six (6) Public Policy Meetings of which one must be in person. The six meetings are the six most recent meetings that ended prior to the date on which the solicitation for volunteers is submitted on the resources policy discussions list.]

If at least one nomination is received by the closing date, the appointment process starts. The appointment must be held at the upcoming Public Policy Meeting as the first item on the agenda. Those present at the session, either in person or remotely, will determine by consensus among the candidates who shall take the available position. The remaining chair will determine whether consensus has been reached. If the working group finds itself without a co-chair, AFRINIC CEO will lead the consensus process.

If only one candidate is being evaluated, the lack of consensus must declare the seat vacant. The board of directors shall appoint an interim co-chair within two weeks after the PPM. The Interim co-chair will act up to the appointment of the new co-chair.

If no consensus can be reached and more than one candidate is being evaluated, then an online secret ballot to appoint the new co-chair will be held within two weeks after the PPM. The secret ballot shall be opened to past PDPWG co-chairs, past board of directors chairs and past CEOs who completed at least one term and have not been recalled. Those who served in multiple positions shall have one vote. Votes and counting shall be conducted using a ranked preferential voting method otherwise known as IRV. The winner of the secret ballot will become the new co-chair. In the unlikely event that after all the rounds of counting of the vote, there is a tie between the two (2) most ranked candidates, they shall be asked to select one among them to serve the term by consensus. The seat shall be declared vacant in case of failure of agreement between the
last two.

If the secret ballot cannot be held, the seat is declared vacant. The board of directors shall appoint interim co-chairs(s). The Interim co-chair(s) will act up to the appointment of the new co-chair(s). The exit of the co-chair includes a handover period and an expectation that the sitting chair follows proposals, which have already reached consensus, to the completion of their PDP cycle.

3.3.4. Recalling a co-chair

If the co-chair does not attend two consecutive AFRINIC Public Policy Meetings without reasons or has been publicly reported by the other co-chair as no longer attending to the working group’s affairs without reasons, the co-chair will be removed from its role.

Anyone may request the recall of a working group co-chair at any time, upon a written request with justifications to the AFRINIC Board of Directors. The request must be supported by at least ten (10) other persons from ten (10) different organisations.

These persons must have been subscribed to the working group mailing list for at least one (01) year and attended at least one (1) AFRINIC Public Policy Meeting during the last two (2) years, either in-person or remotely.

A request for recall shall be published on the Working Group mailing list Anytime there is a request for co-chair recall, the board shall form a recall committee composed of one (01) CoE member appointed the CoE, one (01) Governance Committee(GC) member appointed by the GC, and one (01) community member pointed by the Board of Directors.

The recall committee shall investigate the circumstances of the request for the recall, [hear the parties] and determine the outcome in not more than 4 weeks.

The co-chair(s) must be recalled if proven unable to perform the role of co-chair, preventing the WG from making forward progress deliberately, or showing constant and persistent violations of the PDP or the WG's rules. The recall committee report shall be published on the working group mailing list.

The recall committee's decision shall be final and binding.

Whenever a co-chair is removed from its role and recalled, the remaining co-chair will assume the chairing role of the working group until the appointment of a new co-chair(s).

If both co-chairs are recalled, AFRINIC CEO shall as a matter of urgency lead the appointment by the working group of an interim co-chair(s) via the mailing list or at the Public Policy meeting.

If no consensus can be reached, the Board of directors shall appoint interim co-chairs(s) for the working group within two weeks after the ascertainment of the lack of consensus

3.3.5. Resignation of co-chair

If a co-chair resigns, the remaining co-chair will assume the chairing role of the working group until the appointment of a new co-chair(s).

If both co-chairs resign, AFRINIC CEO shall as a matter of urgency lead the appointment by the working group of an interim co-chair(s) via the mailing list or at the Public Policy meeting. If no consensus can be reached, the Board of directors shall appoint interim Co-chairs(s) for the working group.

The Interim chair will act up to the appointment of the new co-chair(s).

3.3.6 Operations working group (PDWG)

3.3.6.1 Moderation of working group discussions and sessions

The challenge of managing the policy development working group sessions is to balance the need for open and fair consideration of the issues against the need to make forward progress. The working group, as a whole, has the final responsibility for striking this balance. The working group co-chairs have the responsibility for overseeing the process.
To facilitate making forward progress, the working group co-chairs may wish to decide to reject or defer the input from an individual, based upon the following criteria:

Old: The input pertains to a topic that already has been resolved and is redundant with information previously available;
Minor: The input is new and pertains to a topic that has already been resolved, but it is felt to be of minor import to the existing decision;
Timing: The input pertains to a topic that the working group has not yet opened for discussion;
Scope: The input is outside the scope of the discussions or of the working group

3.3.7 Individual Behaviour

Occasionally one or more individuals may engage in behaviour on a mailing list that, in the opinion of the working group co-chairs, is disruptive to the working group’s progress or goes against applicable Codes of Conduct.

Unless the disruptive behaviour is severe enough that it must be stopped immediately, the co-chairs should attempt to discourage the disruptive behaviour by communicating directly with the offending individual. If the behaviour persists, the co-chairs should send at least one public warning on the mailing list. The warning should clearly expose what is being cautioned on the individual and the basis of the co-chair's judgment. As last resort, and typically after one or more explicit warnings, and
if the behaviour persists, the working group co-chairs may suspend the mailing list posting privileges of the disruptive individual for a period of not more than 30 days. The application of this restriction must be gradual. If the individual resumes the same behaviour or worse, the restriction period may increase.

Even while posting privileges are suspended, the individual must not be prevented from receiving messages posted to the list.

Other Mailing list control solutions may be considered. The working group must have adopted these solutions.

Like all other working group co-chairs' decisions, any suspension of posting privileges is subject to appeal.

3.3.8 Public Policy Meeting

A Public Policy Meeting (PPM) is a meeting open to the community wherein proposals for policies are discussed within the framework of the Policy Development Process (PDP).

The AFRINIC Board of Directors calls PPMs in accordance with section 11.2 of the Bylaws.

If one co-chair can’t participate in a Public Policy Meeting, the second co-chair shall chair the meeting.

If both co-chairs can’t participate in a meeting, the working group shall appoint one (1) person temporarily to lead the session. If the working group cannot appoint a temporary chair, the board of directors shall appoint a temporary chair. If the board fails to appoint a temporary chair, the meeting shall be adjourned.

The temporary chair appointed above shall lead the discussions according to the agenda, but can’t determine consensus on policy proposals. He will provide meeting minutes to the mailing list and allow the co-chairs to take over.

While open discussion and contribution are essential to the working group's success, co-chairs are responsible for ensuring forward progress. When acceptable to the working group, co-chairs may call for restricted participation (but not restricted attendance!) at Public Policy meetings for the purpose of achieving progress. The working group co-chairs then have the responsibility to refuse to grant the floor to any individual who is unprepared or otherwise covering inappropriate material, or who, in the opinion of the co-chairs, is disrupting the working group process.

3.3.9 Consensus

The working group makes decisions by consensus as defined in the PDP

3.3.10 Appeals

3.3.10.1 Suspension of posting privileges

[Anyone whose privileges of posting to the mailing list have been suspended by the working group co-chairs may file an appeal against the decision to the Appeal Committee as prescribed in the Policy Development Process. The Appeal Committee will evaluate the circumstances, hear the co-chairs and complainer and decide. The Appeal Committee may direct that the Co-chairs decision be annulled if disproportioned or unjustified considering the severity of the behaviour.]

The Appeal Committee’s decision shall be final and binding.

3.3.10.2 Co-chairs appointment

A person who disagrees with the actions taken by a co-chair regarding the appointment process [may] follow the conflict resolution process as defined in the PDP.

Actions taken by the board of directors regarding the appointment process are final and binding

4. Acknowledgement

The author would like to acknowledge that some text and procedures in this document have been adapted from RFC2418 and from the working group’s practices of other RIRs.

Revision History

Date	Details
21 June 2022	Version 6: AFPUB-2020-GEN-002-DRAFT06 Amended section 3.3.10. <3.3.10.2> replaced “CEO” with “Appeal Committee” and the sentence now reads: "The Appeal Committee's decision shall be final and binding"
24 May 2022	Version 5: AFPUB-2020-GEN-002-DRAFT05 Amend section 3.3.3 and clarify requirements for candidates to cochair( PDP experiences and PPM attendance) Amend section 3.3.10.1 and clarify that appeal against "posting rights suspension” be handled by Appeal Committee Amend section 3.3.10.2: replace “shall” with “may"*
10 Nov 2021	Version 4: AFPUB-2020-GEN-001-DRAFT04 Clarify paragraphs of section 3.3 amended Added that the proposal obsolete section 3.5.3 of the CPM Make CEO (instead of board chair) lead WG consensus in the absence of the co-chair (sections 3.3.3, 3.3.4 and 3.3.5) Direct that code of conduct appeals be handled by the CEO (instead of the board chair) (section 3.3.10.1) Update the conditions for co-chair recall ( section 3.3.4) Add provisions for the composition of the recall committee (section 3.3.4) Clarify the base for CEO decisions on appeals against WG posting privileges suspension( section 3.3.10.1)
22 May 2021	Version 3: AFPUB-2020-GEN-001-DRAFT03 - Make the board appoint interim co-chair(s) instead of the board chair - Set time limit for interim co-chair appointment by the board - Set the ranking voting college to past PDPWG co-chairs, past board chairs and past CEOs - Add provisions for the recall of the two co-chairs
30 July 2020	Version 2: AFPUB-2020-GEN-001-DRAFT02 Section 3 - Description Proposal 3.3.8 - Textual update Proposal 3.4.2 - Textual update
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Policy Proposal, Archive

Policy Compliance Dashboard (Draft-1) Archived

: Last Modified on - 03 December 2021

Details

ID:	AFPUB-2021-GEN-003-DRAFT01	Date Submitted:	18 Oct 2021
Author:	Jordi Palet Martinez jordi.palet at theipv6company.com The IPv6 Company Frank Habicht geier at geier.ne.tz Tanzania ISP Association Mark Elkins mje at posix.co.za POSIX Haitham El Nakhal Hytham at tra.gov.eg National Telecom Regulatory Authority (NTRA)	Version:	1.0
Obsoletes:	NA	Amends:	CPM (new section)

Proposal

1. Summary of the problem being addressed by this proposal

The AFRINIC RSA* mandates members to comply with the AFRINIC policies developed via the PDP.

Section 4. c of the RSA states the irrevocable commitment of the member for using the services for the purpose for which it was requested and in full unreserved compliance with AFRINIC policies.

This is of key importance, because a member not following the policies may be impacted in the evaluation of future requests by AFRINIC, the revocation of the services, or even the closure of the member (section 4.b.iii).

Just to be clear, “services” are defined in the RSA, under section 1. c, and those include number resources, among others. So, the impact for a member that is not following the PDP process and CPM changes, may be of catastrophic business consequences.

The PDP is continuously updating the CPM, and it is obvious that some members may not be following, up to date, all the details and possible impact in their services/resources, while the RSA states that AFRINIC, at its own discretion, can investigate the use of the services.

Every Policy in the CPM indicates what and how things should be done. Lack of conformity with any part of the CPM, even if not clearly stated, it is considered a lack of compliance, following a coherent interpretation of both the RSA and the CPM.

Consequently, members should be protected against this situation, in a simple manner that allows them to know their up-to-date policy compliance, get alerts about the lack of compliance, and consequently react to address those.

The RSA specifies a generic procedure to resolve the situation with members and facilitate the actual compliance. There should be a clearer timeline and sufficient opportunities to resolve the situation, in a fair way to all the members, instead of taking irreversible decisions on the first occasion of any policy violation in case of no response in 30 days.

There should be always equal opportunities for any member to correct mistakes before reaching a fatal point.

2. Summary of how this proposal addresses the problem

This proposal provides the framework for a “Policy Compliance Dashboard”, to be developed by AFRINIC, and incorporated into MyAFRINIC (and future member's communications platforms).

The dashboard will show all possible details to match the CPM and RSA, such as:

Contractual non-compliance:
- Generic contractual obligations (such as status of payments or documents).
- Lack of response from the member.
- Unauthorized transfers. (Remove as this check cannot be automated unless the intent here is for staff to manually update the dashboard upon detection of this issue)
- Submission of fraudulent documents (Remove as this check cannot be automated, unless the intent here is for staff to manually update the dashboard upon detection of this issue)
Policy non-compliance:
- Unused or unannounced resources (where mandatory).
- Unavailable or outdated Whois information.
- Lack of maintenance of the reverse delegation.
- Forbidden sub-assignments (from PI assignments). (Remove as the whois can be configured to deny sub-assignments
- Generic repeated and/or continued policy violations.

Note that the above are examples, as the RSA and CPM could evolve and incorporate other non-compliance reasons.

This proposal will allow periodic review of the policy compliance status of each member, as much automated as possible, so they can receive automated notifications of any issue. Warnings will be also sent to the staff, and only in cases of a continued and repeated lack of compliance, or severe violation of certain aspects of the CPM, AFRINIC will be able to take further actions according to the RSA.

AFRINIC will implement this policy in phases, according to Board and internal decisions, depending on the availability of resources, in order to avoid impact in day-to-day operations. For example, a first phase may be integrating with the MyAFRINIC the overall dashboard framework (GUI, notifications, non-compliance tracking), followed by the already existing automated tools (as indicated by analysis impact 4.3 on v1 of this proposal). Then, each part of the RSA and CPM can be addressed, one by one, or even several of them in parallel. This way, there is not a specific timeframe, and it can be accommodated to the available resources, results for each part of the RSA/CPM being integrated and tickets being generated and resolved, etc.

It is clear that there is a one-time investment in implementation, as with the majority of the policies, however, the advantages for the staff, community, and membership are obvious, including a huge saving of resources in manual tracking and allowing the membership to be up-to-date with the compliance even with policy changes. Those advantages may also be considered by the board in terms of recruiting staff for the implementation, if needed, depending on the progress of the implementation project.

3. Proposal

Adding a new section in the CPM, numbered as best fits according to the staff criteria, as follows:

1 Policy Compliance

AFRINIC services are provided to members under the umbrella of the RSA mandate, which in turn ask for compliance with policies.

Those policies are documented in the CPM, which is continuously updated by the PDP.

2 Policy Compliance Dashboard

AFRINIC “Policy Compliance Dashboard” shows to each member its status of compliance with the Registration Services Agreement and applicable resource policies, collected by means of a periodical review, automated as much as possible.

The dashboard automation will need to be accommodated along the evolution of the CPM evolves through the PDP, in order to display new details.

3 Notifications

The dashboard:

Is subject to review periodically based on updates to the RSA and resource policies.
Will automatically send notifications to members as soon as non-compliance against the RSA/policy is detected.
Will send reminders to the members for non-compliance
Will send notifications to AFRINIC staff for persistent non-compliance after 3 months. A persistent non-compliance, in this case, means non-compliance unresolved during that period.

AFRINIC shall consider that a member is persisting in non-compliance in case more than 3 confirmed violations happen in a 12 months timeframe. This trigger will be reset once there are no policy violations after 12 months

4 Lack of Compliance

AFRINIC will be able to initiate a more exhaustive investigation and take further actions, according to the RSA, when there is evidence suggesting that there is a persistent lack of compliance.

5 Service Withholding, Revocation, or Member Closure

Contractual non-compliance, such as unauthorized transfers, lack of payment, or document fraud, once confirmed, will be because of the revocation of the services and member closure, following the RSA.

Non-compliance with the RSA and/or policies will trigger actions by AFRINIC through communication with the member in order to resolve the non-compliance and thereafter, actions taken are then aligned with the applicable RSA clauses.

Repeated and/or continued policy non-compliance, once confirmed, may be because of service withholding and resource revocation. Towards that, AFRINIC must have a process containing at least the following steps:

AFRINIC must attempt to contact the member and rectify the situation.
If the situation can’t be regularized, AFRINIC will publish on a specific public web page the resources that are to be recovered for a maximum of three months.
During this period, the organization may still regularize the situation.
If the situation is not resolved, two months after the resources are published, AFRINIC will proceed to backup and remove the NS records pointing to the authoritative nameservers of the resources involved. This information may be restored once the organization reestablishes contact with AFRINIC and resolves the lack of compliance.
If three months after the resources are published the organization has not regularized the situation, the resources will be recovered and the records of the holders of these resources will be removed from AFRINIC’s database.
All other provisions specified in the RSA and Bylaws will apply.

6 Exceptionalities

When the revocation of resources involves essential strategic infrastructure that is necessary for the operation of the Internet in the region, or in exceptional situations such as natural disasters or political instability, the AFRINIC Board may extend the resource revocation period, with prior assessment by the Staff, once such an exceptional situation is detected.

4. References

AFRINIC RSA: https://afrinic.net/membership/agreements | https://afrinic.net/ast/pdf/services/afrinic-rsa-en-201801.pdf
Similar policies or procedures, for the same/similar purposes, also exist in the other regions.
- APNIC: https://www.apnic.net/community/policy/resources#4.2.-Closure-and-recovery
- ARIN: https://www.arin.net/participate/policy/nrpm/#12-resource-review
- LACNIC: An equivalent proposal reached consensus and has been ratified (being implemented in phases):  https://politicas.lacnic.net/politicas/detail/id/LAC-2019-9?language=en
- RIPE NCC: https://www.ripe.net/publications/docs/ripe-694 | https://www.ripe.net/publications/docs/ripe-716

AFRINIC Policy Impact Assessment

AFRINIC Staff Assessment

Date of Assessment: 27 October 2021

1.0) Staff Interpretation & Understanding of the proposal

The proposal requests AFRINIC to set up a dashboard on its system so that its Resource Members are shown their status of compliance with respect to the Registration Service Agreement and the applicable resource policies. The dashboard will also send notifications to the members as soon as non-compliance is detected, followed by reminders. Should non-compliance persist for 3 months and be unresolved, the dashboard will then send a notification to AFRINIC staff.

According to the proposal, persistent non-compliance is determined in case more than three confirmed violations have happened in a 12 months timeframe. In accordance with the Registration Service Agreement, AFRINIC is able to initiate a more exhaustive investigation of the resource member.

The proposal also states that following the RSA, certain non-contractual non-compliance will entail revocation of services and member closure. It also mentions that in cases of repeated and/or continued non-compliance, AFRINIC may cause service withholding and resource revocation. The proposal lists the steps that AFRINIC shall mandatorily take, which constitute of:-

1) engaging with the Resource Member and rectifying the situation

2) Publish on a specific webpage for a period of a maximum of 3 months, the resources that are to be recovered

3) In case the member does not resolve its compliance two months after the publication of intended revocation, AFRINIC will withhold the reverse DNS service

4) Three months after the publication of intended revocation, AFRINIC shall revoke the resources

Under exceptional circumstances such as resources are being used on strategic infrastructure for the operation of the internet in the region, or exceptional situations such as natural disasters and political stability, the Board may extend the resource revocation period with a prior assessment conducted by staff.

2.0) AFRINIC Staff Comments on clarity of policy

Section 5 - Contractual non-compliance, such as unauthorized transfers, lack of payment, or document fraud, once confirmed, will be because of the revocation of the services and member closure, following the RSA is ambiguous or a result of a typo.

Suggest rewording to Section 5 - Contractual non-compliance, such as unauthorized transfers, lack of payment, or document fraud, once confirmed, will ‘cause’ the revocation of the services and member closure, following the RSA.

3.0) Staff Comments On Areas of Impact

Impact on Registry Functions

New sub-process/procedure to be developed for the overall non-compliance workflow
The dashboard on the member portal needs to be configured to send notifications as well as periodical reminders of non-compliance to the members.
Dashboard on member portal needs to be configured to send notifications of persistent non-compliance after 3 months
Resource Members follow-up in regard to persistent non-compliance will also be required
The dashboard will also evolve with any new resource policies that come into effect.

Legal Assessment

The legal observations are as follows:

(a) Ex-facie the aforesaid policy proposal and while the intention of the authors is evident, yet this proposal, as styled, has the effect of:

(i) Encroaching on the internal management and operations of AFRINIC insofar as contract management of the Registration Service Agreement (RSA) is concerned.

(ii) The fact that AFRINIC will only be able to execute the provisions of the RSA upon “3 confirmed violations” during a 12 months’ timeframe makes it impractical and unrealistic inasmuch as breach(es) committed by resource members will differ from organisation to organisation. It is difficult to envisage how this proposal is workable in practice.

(b) Besides, the RSA already empowers AFRINIC to initiate such reviews or investigations whenever it has good cause to do so. The RSA also provides for the withholding (suspension) and/or revocation of resources in cases where the concerned resource member fails to cooperate with AFRINIC. Therefore, the proposal that AFRINIC shall only trigger the termination process in cases where there is a persistent non-compliance on the part of the resource member is misconceived for the reason stated above.

(c) Should the aforesaid policy proposal, as styled, reaches consensus, it is highly likely that the board of directors acting through its management will face difficulty to give full effect to the existing terms of the RSA since AFRINIC will be debarred from taking any actions under the RSA unless and until at least 3 violations on the part of the resource member have been recorded.

At this juncture, it is apposite to recall that sub-section 8.2(ii) of the AFRINIC’s bylaws empowers the board of directors, acting reasonably and in good faith, to determine that the resource member has ceased to satisfy the criteria for admission to membership. Likewise, clause 11(d)(iii) of the RSA provides that AFRINIC (i.e. its board acting through its management) shall have the right to terminate the agreement upon giving the resource member such written notice of its intention and inviting the latter to show cause why such action shall not be taken against it.

(d) Further, by the time that a resource member ends up being persistently non-compliant, it is highly probable that the RSA which has an initial tenure of one calendar year would have automatically been renewed for another calendar year such that the identified breaches would then become ‘caduc’. Consequently, any identified breach(es) of the RSA on the part of the resource member would be deemed to have been regularised by the mere fact that the RSA has been renewed.

In the circumstances, it is recommended that the scope of this policy proposal be reviewed by the authors so that it is limited to the creation of a policy compliance dashboard in order for both parties (i.e. AFRINIC and the resource member) to have better visibility of the member’s compliance; and that the issue of contract management be left to AFRINIC’s board of directors acting through its management.

Financial Assessment - None.

4.0) Implementation

Implementation of the dashboard can be effected by Q3-2022. AFRINIC is currently implementing a new member portal (myAFRINICv2) which already has a dashboard feature. The dashboard on MyAFRINIC V2 is not limited to policy but will also give best practices and recommendations to members; hence the nine monthly implementation period will coincide with the go-live of myAFRINICv2. The implementation of the full scope of checks with respect to RSA and policies will be phased and cover batches of compliance checks in each release of the dashboard.

Policy Proposal