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</o:shapelayout></xml><![endif]--></head><body lang=EN-US link=blue vlink=purple><div class=WordSection1><p class=MsoNormal><span style='font-size:12.0pt'>SCI Team Members:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>As an outcome of today’s SCI conference call, this memo transmits two of three major elements needed to package the WG Self-Assessment project for review by the GNSO Council: <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l2 level1 lfo4'><![if !supportLists]><span style='font-size:12.0pt'><span style='mso-list:Ignore'>1)<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt'>Sample Report produced from a test of the WG Self-Assessment process utilizing the Thick Whois WG (attached); <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l2 level1 lfo4'><![if !supportLists]><span style='font-size:12.0pt'><span style='mso-list:Ignore'>2)<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt'>GNSO Operating Procedures changes needed to implement the SCI’s recommendation (see below & attached PDF Questionnaire); and<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l2 level1 lfo4'><![if !supportLists]><span style='font-size:12.0pt'><span style='mso-list:Ignore'>3)<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt'>At the point that the GNSO Council is ready to approve the SCI’s recommendation, a motion would need to be prepared (TBD). <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>Back in July 2013, I took the liberty of recommending specific modifications to the <a href="http://gnso.icann.org/council/annex-1-gnso-wg-guidelines-08apr11-en.pdf">WG Guidelines</a> document (and its <a href="http://gnso.icann.org/council/summary-gnso-wg-guidelines-06apr11-en.pdf">Summary</a> version) consistent with having a formal Self-Assessment questionnaire available for Chartering Organizations (CO) to utilize. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>For brevity’s sake, I only included the sections of those documents which, in my judgment, would need to be modified. My suggested changes are presented below in <span style='color:#C00000'>maroon </span>text. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>Logistically, what I am proposing is that, when a WG Charter is written, the CO could merely specify that it wants participants to complete a formal Self-Assessment. During the WG’s actual closure process, the Chair (via Staff reminder) would provide the exact questionnaire link (QuestionPro) to WG members along with the timeframe (open and close dates). A Staff Administrator would have the names of WG members and could monitor QuestionPro to see who has and has not completed the questionnaire. Reminders could then be sent out periodically to those who had not yet registered their feedback. At the conclusion of the survey period, the Staff Administrator would compile the results and produce a report for the CO (sample attached) and, upon approval, publish it on the Wiki and/or other locations as deemed appropriate. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>I welcome your feedback. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>Ken Bour<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><b><u><span style='font-size:12.0pt'>Working Group Guidelines (<a href="http://gnso.icann.org/council/annex-1-gnso-wg-guidelines-08apr11-en.pdf">ANNEX 1</a> - GNSO Operating Procedures) <o:p></o:p></span></u></b></p><p class=Default><span style='font-family:"Calibri","sans-serif"'><o:p> </o:p></span></p><p class=Default><b><span style='font-family:"Calibri","sans-serif"'>2.1.4.3: Items for Review <o:p></o:p></span></b></p><p class=Default><span style='font-family:"Calibri","sans-serif"'>At the first meeting of the WG or as soon thereafter as practicable, the following documents should be reviewed in order to ensure all members have a common understanding of the WG’s mission, goals, objectives, deliverables, decision-making process and timeframes: Charter, Working Group Guidelines and any other documents relevant for the WGs discussion (e.g., Policy Development Process Guidebook, Issues Paper). These documents are normally transmitted to the WG prior to the first meeting. It is required that WGs develop a work plan that outlines the necessary steps and expected timing in order to achieve the milestones set out in the WG Charter. If a WG does not develop a work plan, it will need to provide a justification to the Chartering Organization. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'>If the Chartering Organization has specified that it would like the WG to complete a formal Self-Assessment, it may be helpful to participants to review the questionnaire (see Section 7.0) in advance so that, as plans unfold and deliberations proceed, members have an understanding of the information that will be asked at the conclusion of the team’s work. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>The WG Chair may use the <span style='color:#C00000'>following </span>checklist <span style='color:#C00000'>for assistance:</span> <s>(see Addendum)</s> <s>for further details</s>.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><b><s><span style='font-size:12.0pt'>Addendum:</span></s></b><b><span style='font-size:12.0pt'> Chair Checklist </span></b><i><span style='font-size:12.0pt;color:#C00000'>[Note: given its small size, I suggest eliminating the separate Addendum and inserting the table here in Section 2.1.4.3]<o:p></o:p></span></i></p><table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 style='border-collapse:collapse'><tr style='height:5.35pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:5.35pt'><p class=MsoNormal><b><span style='font-size:12.0pt'>Checklist</span></b><span style='font-size:12.0pt'><o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border:solid windowtext 1.0pt;border-left:none;padding:0in 5.4pt 0in 5.4pt;height:5.35pt'><p class=MsoNormal align=center style='text-align:center'><b><span style='font-size:12.0pt'>Yes/No</span></b><span style='font-size:12.0pt'><o:p></o:p></span></p></td></tr><tr style='height:5.45pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal><span style='font-size:12.0pt'>Have all WG members submitted Statements of Interest? <o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr><tr style='height:5.45pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal><span style='font-size:12.0pt'>Introduction of WG members <o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr><tr style='height:19.3pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:19.3pt'><p class=MsoNormal><span style='font-size:12.0pt'>Inform members that WG will operate under the principles of transparency and openness (i.e., mailing lists are publicly archived, meetings are recorded / transcribed) <o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:19.3pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr><tr style='height:19.3pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:19.3pt'><p class=MsoNormal><span style='font-size:12.0pt'>Review of WG’s mission, goals, objectives, deliverables, decision-making process, timeframes and any other documents relevant for the WG‟s discussion <o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:19.3pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr><tr style='height:5.45pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'>Review WG Self-Assessment Questionnaire (see Section 7.0)</span><span style='font-size:12.0pt'><o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr><tr style='height:5.45pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal><span style='font-size:12.0pt'>Development of a work plan <o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr><tr style='height:5.45pt'><td width=533 valign=top style='width:400.1pt;border:solid windowtext 1.0pt;border-top:none;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal><span style='font-size:12.0pt'>Schedule for future meetings of the WG <o:p></o:p></span></p></td><td width=72 valign=top style='width:.75in;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:5.45pt'><p class=MsoNormal align=center style='text-align:center'><span style='font-size:12.0pt'><o:p> </o:p></span></p></td></tr></table><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><b><span style='font-size:12.0pt'>Section 5.0: Products and Outputs</span></b><span style='font-size:12.0pt'><o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'>The products and outputs of a Working Group may be prescribed by the Charter such as a report, recommendations, guidelines, self-assessment or defined by the process under which the WG operates (e.g., Policy Development Process). In addition, the Working Group might decide that additional products or outputs are required in order to carry out its Charter in an efficient and productive manner such as a statement of work or a project plan. Working Groups should be encouraged to review products and outputs from other WGs and/or consult with ICANN Staff to decide what additional products or outputs would be advisable to develop. Links to some examples of products and outputs produced by other GNSO Working Groups can be found hereunder:<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l1 level1 lfo1'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><i><span style='font-size:12.0pt'>[Skipping other bullets for brevity]<o:p></o:p></span></i></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l1 level1 lfo1'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:#C00000'>WG </span><span style='font-size:12.0pt'>Self-Assessment <span style='color:#C00000'>(see Section 7.0)</span><o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 style='border-collapse:collapse'><tr style='height:26.0pt'><td width=675 valign=top style='width:505.95pt;padding:0in 5.4pt 0in 5.4pt;height:26.0pt'><p class=MsoNormal><b><span style='font-size:12.0pt'>6.2.4.4: Closure and Working Group Self-Assessment </span></b><span style='font-size:12.0pt'><o:p></o:p></span></p><p class=MsoNormal><i><span style='font-size:12.0pt'>This section of the Charter should describe any instructions for WG final closure including any feedback and/or self-assessment that is requested by the Chartering <span style='color:#C00000'>O</span>rganization. This section might also indicate if there is any specific format, template, or prescribed manner in which the feedback is to be provided<span style='color:#C00000'>; for example, a recommended questionnaire (illustrative) is included in Section 7.0 and can be made available online for WG members to complete at the appropriate time. </span></span></i><span style='font-size:12.0pt;color:#C00000'><o:p></o:p></span></p></td></tr></table><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p><p class=MsoNormal><b><span style='font-size:12.0pt;color:#C00000'>[NEW] Section 7.0: Working Group Self-Assessment<o:p></o:p></span></b></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'>A WG Self-Assessment instrument has been developed as a means for Chartering Organizations to formally request feedback from a WG as part of its closure process. WG members are asked a series of questions about the team’s inputs, processes (e.g., norms, decision-making, logistics), and outputs as well as other relevant dimensions and participant experiences. Screenshots of the questionnaire have been assembled into a PDF (see link below) so that WG participants can review, in advance, how it is designed and what specific information will be solicited. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'>During the WG’s closure process, coordinating with the Chair, Staff will provide a unique link (URL) to the online questionnaire along with open and close dates and any specific instructions. Staff will then perform the following actions: <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l0 level1 lfo2'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:#C00000'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:#C00000'>Monitor the online process providing status updates to the WG Chair;<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l0 level1 lfo2'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:#C00000'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:#C00000'>Provide technical assistance to WG members if requested;<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l0 level1 lfo2'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:#C00000'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:#C00000'>Notify the Chair when all team members have completed the questionnaire; and, following the close date,<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l0 level1 lfo2'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:#C00000'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:#C00000'>Summarize the feedback in a written report to the Chartering Organization. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:#C00000'>Link to WG Self-Assessment Questionnaire (illustrative PDF attached): <i>[Note: the PDF link (TBD) could be maintained on the <a href="http://gnso.icann.org/en/council/procedures">GNSO website</a> together with ANNEX 1]. <o:p></o:p></i></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:black'><o:p> </o:p></span></p><p class=MsoNormal><b><u><span style='font-size:12.0pt;color:black'>Working Group Guidelines Summary<o:p></o:p></span></u></b></p><p class=MsoNormal><span style='font-size:12.0pt;color:black'><o:p> </o:p></span></p><p class=MsoNormal><b><span style='font-size:12.0pt;color:black'>2. First meeting of the Working Group </span></b><span style='font-size:12.0pt;color:black'><o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt;color:black'>The first meeting of the Working Group should address the following issues: <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l3 level1 lfo3'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:black'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:black'>Introductions - members of the Working Group should be provided with the opportunity, at the start of the first meeting, to share information regarding interests, background, skills, experience, especially as related to any requirements in the Charter. <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l3 level1 lfo3'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:black'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:black'>Members of the Working Group should be informed that all Working Groups are normally expected to operate under the principles of transparency and openness, which means, inter alia, that mailing lists are publicly archived, meetings are normally recorded and/or transcribed, and Statements of Interest (SOIs) are required from Working Group participants which will be publicly posted. <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l3 level1 lfo3'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:black'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:black'>Election of the WG Leaders – Normally a Chair will be selected at the first meeting of the WG. A working Group may elect to have co-chairs, vice-chairs. Once selected, a working Group Chair will need to be confirmed by the Chartering Organization (CO). <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-.25in;mso-list:l3 level1 lfo3'><![if !supportLists]><span style='font-size:12.0pt;font-family:Symbol;color:#C00000'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:12.0pt;color:black'>Items for review - At the first meeting of the WG or as soon thereafter as practicable, the following documents should be reviewed in order to ensure all members have a common understanding of the WG’s mission, goals, objectives, deliverables, decision-making process and timeframes: Charter, Working Group Guidelines and any other documents relevant for the WGs discussion (e.g., Policy Development Process Guidebook, Issues Paper). It is required that WGs develop a work plan that outlines the necessary steps and expected timing in order to achieve the milestones set out in the WG Charter. </span><span style='font-size:12.0pt;color:#C00000'>If the Chartering Organization has specified that it would like the WG to complete a formal Self-Assessment, it may be helpful to participants to review the questionnaire (see Section 7.0) in advance so that, as plans unfold and deliberations proceed, members have an understanding of the information that will be asked at the conclusion of the team’s work. <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:12.0pt'><o:p> </o:p></span></p></div></body></html>