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--></style></head><body bgcolor=white lang=EN-US link="#0563C1" vlink="#954F72"><div class=WordSection1><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Dear Sub Team Members,</span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'> </span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Please see below the action items and discussion notes captured by staff from the meeting on 02 February. <i>These high-level notes are designed to help Work Track Sub Team members navigate through the content of the call and are not a substitute for the chat room or the recording.</i> See the chat room and recording on the meetings pages at: <a href="https://community.icann.org/display/NGSPP/Work+Track+2+Meetings">https://community.icann.org/display/NGSPP/Work+Track+2+Meetings</a>. </span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'> </span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Please also see the attached slides referenced below. Excerpts from the chat room are included below for ease of reference.</span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'> </span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Best regards,</span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Julie</span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'> </span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Julie Hedlund, Policy Director</span><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'> </span><o:p></o:p></p><p class=MsoNormal><b><span style='font-size:10.5pt;font-family:Calibri'>Action Items/Discussion Notes 02 February</span></b><o:p></o:p></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'> </span><o:p></o:p></p><p class=MsoNormal><i><span style='font-size:10.5pt;font-family:Calibri'>1. Registrant Protections -- Background Screening <o:p></o:p></span></i></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Background Information: See slides 4-9.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><u><span style='font-size:10.5pt;font-family:Calibri'>Question: Are the background checks a sufficient mechanism for protecting registrants? Yes/No/Other (slide 10)<o:p></o:p></span></u></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Paul McGrady had a specific issue he wanted to discuss relating to cybersquatting -- item (m) on slide 8. If you look at the public comments he had questions about the background screening that in his view was not applied. Not sure if there was a formal dispute, but we should look at the comments that there made and whether we would need some clarification in this language. Short answer is we don't know if the background checks were sufficient because ICANN didn't follow the AGB. If ICANN isn't going to follow the vetting process no amount of improvements will help. Did not file a reconsideration request.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Interested to know if Paul's case is the only instance of this type of difficulty. Can we get those data?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- The amount of information that ICANN requested created a stressful process, but not aware of any specific examples. Could ask for as much data as possible.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>From the chat:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Phil Buckingham: Good point , Heather .. I ll follow up with the GDD <o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Steve Chan: Note, there is a section of the Program Implementation Review Report (PIRR) that touches on Background Screening (section 2.2): <a href="https://www.icann.org/en/system/files/files/program-review-29jan16-en.pdf">https://www.icann.org/en/system/files/files/program-review-29jan16-en.pdf</a><o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><u><span style='font-size:10.5pt;font-family:Calibri'>Question: Has ICANN ever come across an applicant with an individual found to be involved in any of the activities in a-m? If so, were any of those applicants disqualified from the application process because of the background screening? If so, out of how many found, how many were disqualified. (slide 11)<o:p></o:p></span></u></p><p class=MsoNormal><u><span style='font-size:10.5pt;font-family:Calibri'><o:p><span style='text-decoration:none'> </span></o:p></span></u></p><p class=MsoNormal><b><span style='font-size:10.5pt;font-family:Calibri'>Action Item:</span></b><span style='font-size:10.5pt;font-family:Calibri'> Ask ICANN for data on the results of the background checks. Staff will take the question back to GDD.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Good question to ask ICANN staff in the aggregate without getting any identifying information. Might not get any responses from the question in the community.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Believe the answer is zero because ICANN presented stats throughout the process on the status. Think that is public.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Change the question? Ask how many applicants were required to provide additional information with regard to these background checks.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Is what we are driving at here is how seriously ICANN took the answer of "no". Are we worried about the fact that everyone answered "no"? Not sure where we are going with this? More responsibility on ICANN? On the applicant?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Another reason to ask the question is whether ICANN followed what was in the applicant guidebook. Are these sufficient mechanisms?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- If the number is zero that zero doesn't really tell us anything. We should be asking if ICANN can produce the process flow they went through.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Change the first question to ask ICANN to provide us with numerical information, what areas ICANN looked at, and what checks were carried out.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Steve Chan (Staff): Formulate what we are trying to understand. In terms of how to answer it would e good to get data to understand that question, but not make the data request prescriptive.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>From the chat:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Jeff Neuman: Have there been any cases where ICANN required a change request to cure any deficiencies in the background checks?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Christa Taylor: I think the business model around a TLD is completely seperate from background screening<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Steve Chan: The nature of the applying entity may play a role, however.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><u><span style='font-size:10.5pt;font-family:Calibri'>Question: Do the requirements for background screening in regards to 1) general business diligence and criminal history ; and 2) history of cybersquatting behavior prove sufficient? (slide 12)<o:p></o:p></span></u></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Question is: when ICANN carried out the process did anything come up?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- One of the issues: If I am a Sr. VP of a company (owner or other principle) ABC and ABC had 10 cybersquatting cases it loses if I go on to found a company that applies for a TLD I don't fail the background because I am not implicated as an individual.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Also, does one person who was found responsible for cybersquatting cause a company with which he is associated to fail the background check?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Potentially a missing question: Have you had a contract with ICANN terminated or are being terminated for compliance issues? Could expand on that question -- not sure where to put it.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- It does make another good criteria to add -- substitute for (o) and change current (o) to (p) -- "Have you or your company been part of an entity found in breach of contract with ICANN?"<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>From the chat:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Jeff Neuman: There were lots of ways to get around the cybersquatting background check. UDRPs are generally against entities, not the people who are principals in that entity. Thus, if an individual is a principal in a company that was subject to 10 cybersquatting cases, that individual would not faill the background check if he or she were part of a new gTLD application.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Phil Buckingham: when we are talking about criminal history - does that even include a driving ban . Needs to be defined more clearly.next time.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Steve Coates: What is criminal in one place may not be in another.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><u><span style='font-size:10.5pt;font-family:Calibri'>Question: Could it be considered that the background screening is unnecessary for TLDs where Registrant Protections may not be necessary, such as Brand TLDs or those operating with a Code of Conduct exemption? (slide 13)<o:p></o:p></span></u></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Such as where registrants are not applicable for those TLDs.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- In ALAC the answer would be "yes" that it is a concern and should be questioned further.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- It is not just registrants that are protected by the background screening, it is ICANN as an organization. Don't want to enter into a contract with someone who has a conviction.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>From the chat:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Robert Burlingame (Pillsbury): Agree Jeff re not just protection for registrants.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><i><span style='font-size:10.5pt;font-family:Calibri'>2. CC2 Questions (slide 16)<o:p></o:p></span></i></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Built on what we have already discussed.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Need to use the opportunity to see detailed feedback in areas not covered.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Topics to cover (slides 17-19)<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Will there be a CC3? The plan is not to do a CC3, but we will have a preliminary report that will go out for public comment. Keep up a calendar indicating what we hope to cover through Copenhagen.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- Steve Chan (staff): Can share the calendar with the full group. On CC2, we haven't covered all the topics. The questions will have to be agreed upon by the full group.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>-- When is CC2 due to go out? The drop dead date is before ICANN58, but we are targeting middle or late February (such 20 February).<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>From the chat:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Susan Payne: do we get to do a CC3 at some point for further topics?<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>avri doria: hope not<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Susan Payne: ok, so we definitely need to ask about closed generics then<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'>Jeff Neuman: @susan - yes. And if you review the questions and have additional ones, please submit them :)<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:10.5pt;font-family:Calibri'><o:p> </o:p></span></p></div></body></html>