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</o:shapelayout></xml><![endif]--></head><body lang=FR link=blue vlink=purple><div class=WordSection1><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Dear Colleagues,<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>First of all many thanks to all of you who have been working hard on this issue. We are well aware of your efforts to find an approach that would be acceptable to all on this question. <o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Regarding transparency discussions, I would like to remind everyone of the content and conclusions of our discussions on Transparency in the Sole Designator model while we were in Dublin. <o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><span style='mso-list:Ignore'>-<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Our lawyers have confirmed that the same level of transparency could be achieved in the Sole Designator model as with the Sole Member, by adding a specific provision to the Bylaws enabling the Sole Designator to inspect Ican’s accounting books and records. <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><span style='mso-list:Ignore'>-<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>In response to a concern raised by Sam Eisner about public disclosure of such documents, we discussed how we could use the same type of provision that we had agreed on for the AoC reviews as a safeguard (see below the relevant extract from the AoC section, provided by Steve del Bianco)<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><span style='mso-list:Ignore'>-<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>There was a debate about whether or not extra provisions for transparency were needed in Work stream 1, considering that we have agreement that the topic is on the WS2 agenda. There was no formal conclusion. <o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Thomas did conclude by saying “So that’s one action item for our group to set up a subteam to define the exact language and extent to which a transparency is required.” <o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>In terms of way forward, given the input we have received, I believe the question is whether transparency provisions, beyond the records inspection rights, fit with our agreed definition of Work stream 1, and whether the level of consensus on the extra provisions at this stage is sufficient. <o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>I would note that, with the group’s input, our WS2 initiative would already be well advanced. It might be possible to launch it very soon after we have submitted our WS1 recommendations if that is the path we take. <o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Best,<o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Mathieu<o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>For your reference :<o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Full transcript --> https://community.icann.org/download/attachments/56143884/Transcript%20CCWG%20ACCT%20Working%20Session%202_21%20October.pdf?version=1&modificationDate=1445525810000&api=v2<o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Slide-deck --> <a href="https://community.icann.org/download/attachments/56143884/CCWG-Accountability%20Working%20Session%20II%20%281%29-1.pdf?version=1&modificationDate=1445444965000&api=v2">https://community.icann.org/download/attachments/56143884/CCWG-Accountability%20Working%20Session%20II%20%281%29-1.pdf?version=1&modificationDate=1445444965000&api=v2</a><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif";color:black'>page 75 of AoC reviews as part of WS1. <o:p></o:p></span></p><p class=MsoNormal><b><span lang=EN-US style='font-family:"Calibri","sans-serif"'>Confidential Disclosure to Review Teams:</span></b><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif"'>To facilitate transparency and openness regarding ICANN's deliberations and operations, the Review Teams, or a subset thereof, shall have access to ICANN internal information and documents. If ICANN refuses to reveal documents or information requested by the Review Team, ICANN must provide a justification to the Review Team. If the Review Team is not satisfied with ICANN’s justification, it can appeal to the Ombudsman and/or the ICANN Board for a ruling on the disclosure request.</span><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif"'>For documents and information that ICANN does disclose to the Review Team, ICANN may designate certain documents and information as not for disclosure by the Review Team, either in its report or otherwise. If the Review Team is not satisfied with ICANN’s designation of non-disclosable documents or information, it can appeal to the Ombudsman and/or the ICANN Board for a ruling on the non-disclosure designation.</span><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif"'>A confidential disclosure framework shall be published by ICANN. The confidential disclosure framework shall describe the process by which documents and information are classified, including a description of the levels of classification that documents or information may be subject to, and the classes of persons who may access such documents and information.</span><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif"'>The confidential disclosure framework shall describe the process by which a Review Team may request access to documents and information that are designated as classified or restricted access.</span><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif"'>The confidential disclosure framework shall also describe the provisions of any non-disclosure agreement that members of a Review Team may be asked to sign.</span><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif"'>The confidential disclosure framework must provide a mechanism to escalate and/or appeal the refusal to release documents and information to duly recognized Review Teams.</span><span lang=EN-US><o:p></o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-family:"Calibri","sans-serif";color:black'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span lang=EN-US style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><b><span style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>De :</span></b><span style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'> accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] <b>De la part de</b> Kieren McCarthy<br><b>Envoyé :</b> jeudi 29 octobre 2015 15:58<br><b>À :</b> Padmini<br><b>Cc :</b> accountability-cross-community@icann.org<br><b>Objet :</b> Re: [CCWG-ACCT] Contribution on Transparency Reforms for CCWG<o:p></o:p></span></p><p class=MsoNormal><o:p> </o:p></p><div><p class=MsoNormal>I have to agree with Padmini on this one re: DIDP and <span style='font-size:9.5pt'>being "able to refer the requestor to documents already publicly available". </span><o:p></o:p></p><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><span style='font-size:9.5pt'>The information provided is often tangential to what has actually been asked for. In quite a few cases it is so far removed from the query that it is almost obnoxious.</span><o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><span style='font-size:9.5pt'>I don't know why Board members have such a blind spot about how the staff behaves to those outside the corporation. </span><o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><span style='font-size:9.5pt'>And I'm still waiting to hear a Board member - any Board member - announce that they have decided to look into the staff's bylaw-breaking behavior in the .africa application. </span><o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><span style='font-size:9.5pt'>If I was on the Board and I heard that the entire process was being jeopardized by staff wrongly interfering in the process (and then lying about doing so), I'd make sure the community knew I was doing my job and insist on some kind of internal review of what happened and what could be done to make sure it didn't happen again.</span><o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><span style='font-size:9.5pt'>But instead we get silence and fantasy responses like these ones from Bruce about how the DIDP works and the effectiveness of ICANN's financial reporting systems.</span><o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><span style='font-size:9.5pt'>Kieren</span><o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div></div><div><p class=MsoNormal><o:p> </o:p></p><div><p class=MsoNormal>On Thu, Oct 29, 2015 at 5:41 AM, Padmini <<a href="mailto:pdmnbaruah@gmail.com" target="_blank">pdmnbaruah@gmail.com</a>> wrote:<o:p></o:p></p><div><div><div><div><div><div><div><div><p class=MsoNormal style='margin-bottom:12.0pt'>Dear Bruce,<o:p></o:p></p></div><p class=MsoNormal>As someone who has spent some time combing through the different responses that ICANN files to the various DIDP requests, my findings are slightly different, and have been posted earlier. <o:p></o:p></p></div><p class=MsoNormal>While ICANN does link one to an innumerable array of documents that are publicly available, many times, there is little or no connection between the information one seeks and the publicly available documents that are provided. For instance, I have asked a few questions on registrar/registry audits, specifically seeking individual contracted party audit reports in cases where there have been breaches or discrepancies. However, the response contains a large number of links explaining ICANN's three-year-audit process in great detail, and at the end has a rejection of my actual request on the basis of certain of their extremely vast and broad grounds for non-disclosure. I like to refer to this as ICANN's tendency towards <u>documentary obfuscation </u>where they aren't actually giving you the information that you need, but are drowning you in documents anyway.<o:p></o:p></p></div><p class=MsoNormal style='margin-bottom:12.0pt'>That 66 is a figure that we might need to scrutinise closer in terms of how effective those disclosures actually have been.<o:p></o:p></p></div><p class=MsoNormal>Warm Regards<o:p></o:p></p></div><p class=MsoNormal><span class=hoenzb><span style='color:#888888'>Padmini</span></span><o:p></o:p></p></div><p class=MsoNormal><span class=hoenzb><span style='color:#888888'>Programme Associate, Internet Governance</span></span><o:p></o:p></p></div><p class=MsoNormal><span class=hoenzb><span style='color:#888888'>Centre for Internet and Society, Bangalore, India</span></span><o:p></o:p></p></div><div><p class=MsoNormal><br clear=all><o:p></o:p></p><div><div><div><div><div><p class=MsoNormal>Padmini Baruah<o:p></o:p></p><div><p class=MsoNormal>V Year, B.A.LL.B. (Hons.)<o:p></o:p></p></div><div><p class=MsoNormal>NLSIU, Bangalore<o:p></o:p></p></div></div></div></div></div></div><p class=MsoNormal><o:p> </o:p></p><div><div><div><p class=MsoNormal>On Thu, Oct 29, 2015 at 12:16 PM, Bruce Tonkin <<a href="mailto:Bruce.Tonkin@melbourneit.com.au" target="_blank">Bruce.Tonkin@melbourneit.com.au</a>> wrote:<o:p></o:p></p><p class=MsoNormal>Hello Greg,<br><br>>> 6333. The accounting books and records and minutes of proceedings<br>of the members and the board and committees of the board shall be<br>open to inspection upon the written demand on the corporation of any<br>member at any reasonable time, for a purpose reasonably related to<br>such person's interests as a member.<br><br>The minutes are basically published today. The only minutes apparently that are not posted are compensation committee minutes – but even then we could at least note the items discussed without necessarily disclosing some personal information.<br><br>With regard to financials– we are already moving towards the same standards as publicly listed companies in the USA. We now provide quarterly financial reporting, and a quarterly call where the community can question the CEO and the CFO on the income and expenditure. It would not be normal to provide people with access to the raw accounting system (in this case Great Plains) – which would include information on payments to all staff etc.<br><br>We do use an external auditor to validate our financials and processes once per year.<br><br>If there is a community concern about a particular financial matter (e.g concern about whether procurement policies were being followed) – then I think it would be more appropriate if the single legal entity that represents the community powers has the right to appoint an external auditor to validate any particular process or numbers and report back to the community. Audit firms have the appropriate skills to analyse financial accounting records and also have appropriate procedures in place for confidentiality.<br><br>I think we should be focussing on improving the processes we already have. I advocated moving to quarterly financial reporting, and I have certainly been a strong advocate of making things as public as possible, and welcome suggestions for improving our processes.<br><br>Regards,<br>Bruce Tonkin<o:p></o:p></p><div><div><p class=MsoNormal><br><br><br>_______________________________________________<br>Accountability-Cross-Community mailing list<br><a href="mailto:Accountability-Cross-Community@icann.org" target="_blank">Accountability-Cross-Community@icann.org</a><br><a href="https://mm.icann.org/mailman/listinfo/accountability-cross-community" target="_blank">https://mm.icann.org/mailman/listinfo/accountability-cross-community</a><o:p></o:p></p></div></div></div><p class=MsoNormal><o:p> </o:p></p></div></div></div><p class=MsoNormal style='margin-bottom:12.0pt'><br>_______________________________________________<br>Accountability-Cross-Community mailing list<br><a href="mailto:Accountability-Cross-Community@icann.org">Accountability-Cross-Community@icann.org</a><br><a href="https://mm.icann.org/mailman/listinfo/accountability-cross-community" target="_blank">https://mm.icann.org/mailman/listinfo/accountability-cross-community</a><o:p></o:p></p></div><p class=MsoNormal><o:p> </o:p></p></div></div></body></html>