From alice.jansen at icann.org Mon Apr 2 09:29:41 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Mon, 2 Apr 2012 02:29:41 -0700 Subject: [Rt4-whois] Preliminary report for your approval - 28 March In-Reply-To: Message-ID: Dear Review Team Members, Please find attached the preliminary report of your call held on 28 March. Kindly note that this will be discussed during your upcoming conference call. In the meantime, please feel free to email editing suggestions/requirements. Thanks, Very best regards Alice -- -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/8206352e/attachment.html -------------- next part -------------- A non-text attachment was scrubbed... Name: Prel Report - 28 March - for your approval.doc Type: application/x-msword Size: 41984 bytes Desc: Prel Report - 28 March - for your approval.doc Url : http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/8206352e/PrelReport-28March-foryourapproval.doc From alice.jansen at icann.org Mon Apr 2 17:08:48 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Mon, 2 Apr 2012 10:08:48 -0700 Subject: [Rt4-whois] AGENDA - Call on Wednesday Message-ID: Dear Review Team Members, As you know, your next call is scheduled for Wednesday, 4 April at 20:00 UTC. Please find enclosed the agenda: 1. Roll call & apologies 2. Preliminary report (28 March) for your approval ? Refer to (AJ)'s email 3. Action items penholders report (refer to https://community.icann.org/display/whoisreview/Action+Items+-+Spring+2012) * Data Accuracy recommendations (SK) * Proxy & Privacy recommendations (SR), (PN), (SK), (JB) * Recommendation 3 & 17 (ET) - reach agreement * Text on accreditation (KK) * IDN recommendations (MY), (KK), (SH), (WW) * Language on timeframes & implementation paths (SK), (LG) * Compliance recommendations (PN), (ET), (BS) 4. Staff report on implementation and tracking 5. Next steps 6. A.O.B It may also be found on the public wiki at https://community.icann.org/display/whoisreview/Call+26+-+04+April+2012 Thanks, Very best regards Alice -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/c2f18ca9/attachment.html From emily at emilytaylor.eu Mon Apr 2 17:58:13 2012 From: emily at emilytaylor.eu (Emily Taylor) Date: Mon, 2 Apr 2012 18:58:13 +0100 Subject: [Rt4-whois] Compliance numbers - clarification Message-ID: Hi Alice I would be grateful if you could do a gentle reminder to Denise about our request for data on Compliance staff numbers, including names, temporary staff, budget vs actual spend over time. Also, please would you ask Denise to clear up a discrepancy in the numbers given to us the other day. They have a lower figure for staff numbers than the ones provided by the Compliance team in their presentation to us of January 2011. Clarification would be helpful. Kind regards Emily -- * * 76 Temple Road, Oxford OX4 2EZ UK t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 emily at emilytaylor.eu *www.etlaw.co.uk* Emily Taylor Consultancy Limited is a company registered in England and Wales No. 7630471. VAT No. 114487713. -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/0186c843/attachment.html From lynn at goodsecurityconsulting.com Mon Apr 2 23:12:13 2012 From: lynn at goodsecurityconsulting.com (lynn at goodsecurityconsulting.com) Date: Mon, 02 Apr 2012 16:12:13 -0700 Subject: [Rt4-whois] AOC - WHOIS RT Recommendations Message-ID: <20120402161213.00ef555ff13978e3e1b8d2179880f99e.1810d2df1a.wbe@email12.secureserver.net> An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/f079d188/attachment.html From denise.michel at icann.org Mon Apr 2 23:31:03 2012 From: denise.michel at icann.org (Denise Michel) Date: Mon, 2 Apr 2012 16:31:03 -0700 Subject: [Rt4-whois] Fwd: Whois RT In-Reply-To: References: Message-ID: Dear Emily (cc Team): Below and attached is (corrected) historical data on Compliance staffing, including figures for temporary staff support. The discrepancy between the last set of data provided by the Compliance Team and the staffing information provided in slides presented to the Team in January 2011 was due to the inclusion of temporary staff support in the staffing numbers in the slides. The previous set of figures I forwarded included only full-time staff. In addition, a staff person was transferred from another department into Compliance and the previous data reflected her start date incorrectly. Please let me know if you have any further questions on this. When you have a chance, could you please call me regarding historic budget information that the Team needs? Thanks Denise Denise Michel ICANN Advisor to the President & CEO denise.michel at icann.org +1.408.429.3072 mobile +1.310.578.8632 direct Roles 2006 2007 (1st half) 2008 (2nd half) 2008 2009 (1st half) 2010 (2nd half) 2010 2011 2012 2013 Head of Compliance 1 1 1 1 0 1 1 1 Registrar-Registry Compliance 1 3 3 3 4 5 5 7 9 12 Performance Measurement & Reporting 1 1 1 Risk & Audit Management 1 1 1 1 0 1 1 Temporary services 0 1 1 3 1 Total by year 1 3 5 6 7 10 6 9 12 15 -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/4be9b655/attachment.html -------------- next part -------------- A non-text attachment was scrubbed... Name: WRT - Contractual Compliance Staff v3.doc Type: application/x-msword Size: 76288 bytes Desc: not available Url : http://mm.icann.org/pipermail/rt4-whois/attachments/20120402/4be9b655/WRT-ContractualComplianceStaffv3.doc From emily at emilytaylor.eu Tue Apr 3 09:05:12 2012 From: emily at emilytaylor.eu (Emily Taylor) Date: Tue, 3 Apr 2012 10:05:12 +0100 Subject: [Rt4-whois] Fwd: Whois RT In-Reply-To: References: Message-ID: Thank you for this Denise Please would you also include the unfilled vacant positions over time in the same way. When we had our presentation from compliance last January, we heard that positions had remained open for a long time in some cases, and to complete the picture on staffing we also need to know this. On budget vs actual spend, I think the query is quite straight forward, isn't it? We need to know the amount allocated in each year's budget cycle for spend on compliance (which I assume is a budget line), vs the actual spend (so that we can look at the variance of actual vs budget). Thanks Emily On 3 April 2012 00:31, Denise Michel wrote: > Dear Emily (cc Team): > > Below and attached is (corrected) historical data on Compliance staffing, > including figures for temporary staff support. The discrepancy between the > last set of data provided by the Compliance Team and the staffing > information provided in slides presented to the Team in January 2011 was > due to the inclusion of temporary staff support in the staffing numbers in > the slides. The previous set of figures I forwarded included only > full-time staff. In addition, a staff person was transferred from another > department into Compliance and the previous data reflected her start date > incorrectly. Please let me know if you have any further questions on this. > > When you have a chance, could you please call me regarding historic budget > information that the Team needs? > > Thanks > Denise > > Denise Michel > ICANN > Advisor to the President & CEO > denise.michel at icann.org > +1.408.429.3072 mobile > +1.310.578.8632 direct > > > Roles 2006 2007 (1st half) > 2008 (2nd half) > 2008 2009 (1st half) > 2010 (2nd half) > 2010 2011 2012 2013 Head of Compliance 1 1 1 1 0 1 1 1 Registrar-Registry > Compliance 1 3 3 3 4 5 5 7 9 12 Performance > Measurement & Reporting 1 1 1 Risk & Audit Management 1 > 1 1 1 0 1 1 Temporary services 0 1 1 3 1 Total by year 1 3 5 > 6 7 10 6 9 12 15 > > > > _______________________________________________ > Rt4-whois mailing list > Rt4-whois at icann.org > https://mm.icann.org/mailman/listinfo/rt4-whois > > -- * * 76 Temple Road, Oxford OX4 2EZ UK t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 emily at emilytaylor.eu *www.etlaw.co.uk* Emily Taylor Consultancy Limited is a company registered in England and Wales No. 7630471. VAT No. 114487713. -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120403/b1bd2b8c/attachment.html From alice.jansen at icann.org Tue Apr 3 14:31:59 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Tue, 3 Apr 2012 07:31:59 -0700 Subject: [Rt4-whois] Public comments received - summary Message-ID: Dear Review Team Members, Please find attached the final version of your document encapsulating all comments received in your public comment box. This version is also available at: https://community.icann.org/display/whoisreviewprivate/Final+Report Thanks, Kind regards Alice -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120403/6b52b8aa/attachment.html -------------- next part -------------- A non-text attachment was scrubbed... Name: Summary of comments 3April2012.docx Type: application/x-msword Size: 164843 bytes Desc: Summary of comments 3April2012.docx Url : http://mm.icann.org/pipermail/rt4-whois/attachments/20120403/6b52b8aa/Summaryofcomments3April2012.docx From alice.jansen at icann.org Tue Apr 3 15:28:18 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Tue, 3 Apr 2012 08:28:18 -0700 Subject: [Rt4-whois] Page on the private wiki Message-ID: Dear Review Team Members, Please note that the following page https://community.icann.org/display/whoisreviewprivate/Final+Report on the private wiki is your central repository for final report material. Thanks, Kind regards Alice -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120403/33c26547/attachment.html From denise.michel at icann.org Tue Apr 3 22:30:49 2012 From: denise.michel at icann.org (Denise Michel) Date: Tue, 3 Apr 2012 15:30:49 -0700 Subject: [Rt4-whois] Fwd: Whois RT In-Reply-To: References: Message-ID: I'd like to get a clearer sense of what information the Team must have to validate its points (reach its conclusions about current Whois policy and implementation) and confirm what can be provided in the short term. I was hoping a discussion could enable us to reach this point more quickly. In the last couple of years ICANN has instituted new internal systems that make it easier to track and report in detail on staffing, budget and expenditures. As with many "start-ups," new systems are forward looking and don't incorporate historic records. To go back to 2006 and indicate for each year which positions were open for how many days, and to determine how much budget was allocated to the Compliance function each year and how much was spent (when Compliance was located in a different department and was part of a different budget section prior to 2010) can be done, but will take a significant amount of Staff time during a particularly busy period for our budget/HR Staff (who currently are preparing the next fiscal year budget). I want to be as helpful as possible, but I'm also trying to convey that more detailed historic information is not available at the push of a button and can't be provided without cost/staff time. While Staff is committed to providing the information the Team needs to fulfill its mission, I'd like to confirm how critical this level of detail is to the Team's final report. Can the Team complete its recommendations with the budget and staffing histories provided thus far, or with information on budget, spends, and position vacancies going back 3 years instead of 6? I'm looking for feedback on whether there's another (quicker) way to meet the Team's needs given your final report deadline. Thanks Denise Denise Michel ICANN Advisor to the President & CEO denise.michel at icann.org +1.408.429.3072 mobile +1.310.578.8632 direct On Tue, Apr 3, 2012 at 2:05 AM, Emily Taylor wrote: > Thank you for this Denise > > Please would you also include the unfilled vacant positions over time in > the same way. When we had our presentation from compliance last January, > we heard that positions had remained open for a long time in some cases, > and to complete the picture on staffing we also need to know this. > > On budget vs actual spend, I think the query is quite straight forward, > isn't it? We need to know the amount allocated in each year's budget cycle > for spend on compliance (which I assume is a budget line), vs the actual > spend (so that we can look at the variance of actual vs budget). > > Thanks > > Emily > > > On 3 April 2012 00:31, Denise Michel wrote: > >> Dear Emily (cc Team): >> >> Below and attached is (corrected) historical data on Compliance staffing, >> including figures for temporary staff support. The discrepancy between the >> last set of data provided by the Compliance Team and the staffing >> information provided in slides presented to the Team in January 2011 was >> due to the inclusion of temporary staff support in the staffing numbers in >> the slides. The previous set of figures I forwarded included only >> full-time staff. In addition, a staff person was transferred from another >> department into Compliance and the previous data reflected her start date >> incorrectly. Please let me know if you have any further questions on this. >> >> When you have a chance, could you please call me regarding historic >> budget information that the Team needs? >> >> Thanks >> Denise >> >> Denise Michel >> ICANN >> Advisor to the President & CEO >> denise.michel at icann.org >> +1.408.429.3072 mobile >> +1.310.578.8632 direct >> >> >> Roles 2006 2007 (1st half) >> 2008 (2nd half) >> 2008 2009 (1st half) >> 2010 (2nd half) >> 2010 2011 2012 2013 Head of Compliance 1 1 1 1 0 1 1 1 Registrar-Registry >> Compliance 1 3 3 3 4 5 5 7 9 12 Performance >> Measurement & Reporting 1 1 1 Risk & Audit Management >> 1 1 1 1 0 1 1 Temporary services 0 1 1 3 1 Total by year 1 >> 3 5 6 7 10 6 9 12 15 >> >> >> >> _______________________________________________ >> Rt4-whois mailing list >> Rt4-whois at icann.org >> https://mm.icann.org/mailman/listinfo/rt4-whois >> >> > > > -- > > > > > * > * > > 76 Temple Road, Oxford OX4 2EZ UK > t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 > emily at emilytaylor.eu > > *www.etlaw.co.uk* > > Emily Taylor Consultancy Limited is a company registered in England and > Wales No. 7630471. VAT No. 114487713. > > -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120403/be1be470/attachment.html From Peter.Nettlefold at dbcde.gov.au Wed Apr 4 07:05:42 2012 From: Peter.Nettlefold at dbcde.gov.au (Nettlefold, Peter) Date: Wed, 4 Apr 2012 17:05:42 +1000 Subject: [Rt4-whois] AGENDA - Call on Wednesday [SEC=UNCLASSIFIED] In-Reply-To: References: Message-ID: <636771A7F4383E408C57A0240B5F8D4A33521F4B64@EMB01.dept.gov.au> Hello all, Unfortunately, I won't be able to make tomorrow's call. I look forward to reviewing any text for the redrafted recommendations next Tuesday when I return to the office. Cheers, Peter From: rt4-whois-bounces at icann.org [mailto:rt4-whois-bounces at icann.org] On Behalf Of Alice Jansen Sent: Tuesday, 3 April 2012 3:09 AM To: rt4-whois at icann.org Subject: [Rt4-whois] AGENDA - Call on Wednesday Dear Review Team Members, As you know, your next call is scheduled for Wednesday, 4 April at 20:00 UTC. Please find enclosed the agenda: 1. Roll call & apologies 2. Preliminary report (28 March) for your approval - Refer to (AJ)'s email 3. Action items penholders report (refer to https://community.icann.org/display/whoisreview/Action+Items+-+Spring+2012) o Data Accuracy recommendations (SK) o Proxy & Privacy recommendations (SR), (PN), (SK), (JB) o Recommendation 3 & 17 (ET) - reach agreement o Text on accreditation (KK) o IDN recommendations (MY), (KK), (SH), (WW) o Language on timeframes & implementation paths (SK), (LG) o Compliance recommendations (PN), (ET), (BS) 4. Staff report on implementation and tracking 5. Next steps 6. A.O.B It may also be found on the public wiki at https://community.icann.org/display/whoisreview/Call+26+-+04+April+2012 Thanks, Very best regards Alice -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann ------------------------------------------------------------------------------- NOTICE: This email message is for the sole use of the intended recipient(s) and may contain confidential and privileged information. Any unauthorized review, use, disclosure or distribution is prohibited. If you are not the intended recipient, please contact the sender by reply email and destroy all copies of the original message. This message has been content scanned by the Axway MailGate. MailGate uses policy enforcement to scan for known viruses, spam, undesirable content and malicious code. 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URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/b78b94e9/attachment.html From alice.jansen at icann.org Wed Apr 4 07:46:18 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Wed, 4 Apr 2012 00:46:18 -0700 Subject: [Rt4-whois] REMINDER - Call today @ 20:00 UTC Message-ID: Dear Review Team Members, Your next conference call is scheduled for: **Wednesday, 4 April 2012** 20:00 UTC Please check your local time at: http://timeanddate.com/worldclock/fixedtime.html?msg=WHOIS+Call+-+4+April&iso=20120404T20&ah=1&am=30 PASSWORD: 27318 followed by # Agenda: https://community.icann.org/display/whoisreview/Call+26+-+04+April+2012 Adobe room: http://icann.adobeconnect.com/whois-review/ Audio-cast (silent observers): http://stream.icann.org:8000/whois.m3u Dial-in numbers: Please find below a table which encapsulates dial-in numbers for your countries of residence. Should you be traveling, please refer to the full list which is available at: http://www.adigo.com/icann/ Australia 1 800 009 820 1 800 036 775 Sydney T +61 290372962 Melbourne T +61 399996500 Brisbane T +61 731777546 Austria L - 0 800 295 858 M - 0 800 295 138 T - +43 720 882 638 Belgium L - 0800 79210 M ? 0800 79218 T - +32 78 480 286 Brazil L - 0800 891 1597 M - 0800 891 1598 T - +55 613 717 2040 Canada 1 800 550 6865 T - +1 213 233 3193 France 0800 90 25 56 T - +33 170618347 Germany L - 0800 1016 120 G - M 0800 1016 124 Russia 8 10 8002 535 3011 T - +7 499 650 7835 United Kingdom 0800 032 6646 T - +44 207 099 0867 United States 1 800 550 6865 T - +1 213 233 3193 T ? local toll number ; M ? mobile preferred number ; L ? landline preferred number Please do not hesitate to contact me should you require a dial-out for this call. Thank you, Very best regards Alice Alice E. Jansen -------------------------- ICANN Assistant, Organizational & Affirmation Reviews alice.jansen at icann.org Direct Dial: +32.2.234.78.64 Mobile: +32.4.73.31.76.56 Office Fax: +32.2.234.78.48 Skype: alice_jansen_icann -------------------------- 6, Rond Point Schuman B-1040 Brussels, Belgium -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/1e3e2b33/attachment.html From emily at emilytaylor.eu Wed Apr 4 08:16:38 2012 From: emily at emilytaylor.eu (Emily Taylor) Date: Wed, 4 Apr 2012 09:16:38 +0100 Subject: [Rt4-whois] Fwd: Fwd: Whois RT In-Reply-To: References: Message-ID: Sorry - forgot to "reply all" ---------- Forwarded message ---------- From: Emily Taylor Date: 4 April 2012 09:16 Subject: Re: [Rt4-whois] Fwd: Whois RT To: denise.michel at icann.org Hi Denise Thank you very much for that explanation, and I do appreciate the difficulties that you are talking about. I think your suggestion of going back 3 years instead of 6 sounds practical and useful. What we want to do is talk about the compliance effort really from 2009 onwards, once the department started to move from "start up" phase to gearing up to meet community expectations. I am also aware that when we met with Compliance in Jan 2011, there were references to open positions, temporary staff etc, and I would like to have a better understanding of that for our report. It is important, because of course implementation of WHOIS policy is at the heart of our mandate, and you can see from community feedback, and staff feedback, that it is viewed as an area for improvement. Hope this is helpful. Kind regards Emily On 3 April 2012 23:30, Denise Michel wrote: > I'd like to get a clearer sense of what information the Team must have to > validate its points (reach its conclusions about current Whois policy and > implementation) and confirm what can be provided in the short term. I was > hoping a discussion could enable us to reach this point more quickly. > > In the last couple of years ICANN has instituted new internal systems that > make it easier to track and report in detail on staffing, budget and > expenditures. As with many "start-ups," new systems are forward looking and > don't incorporate historic records. To go back to 2006 and indicate for > each year which positions were open for how many days, and to determine how > much budget was allocated to the Compliance function each year and how much > was spent (when Compliance was located in a different department and was > part of a different budget section prior to 2010) can be done, but will > take a significant amount of Staff time during a particularly busy period > for our budget/HR Staff (who currently are preparing the next fiscal year > budget). > > I want to be as helpful as possible, but I'm also trying to convey that > more detailed historic information is not available at the push of a button > and can't be provided without cost/staff time. While Staff is committed to > providing the information the Team needs to fulfill its mission, I'd like > to confirm how critical this level of detail is to the Team's final report. > Can the Team complete its recommendations with the budget and staffing > histories provided thus far, or with information on budget, spends, and > position vacancies going back 3 years instead of 6? > > I'm looking for feedback on whether there's another (quicker) way to meet > the Team's needs given your final report deadline. > > Thanks > Denise > > > > > Denise Michel > ICANN > Advisor to the President & CEO > denise.michel at icann.org > +1.408.429.3072 mobile > +1.310.578.8632 direct > > > On Tue, Apr 3, 2012 at 2:05 AM, Emily Taylor wrote: > >> Thank you for this Denise >> >> Please would you also include the unfilled vacant positions over time in >> the same way. When we had our presentation from compliance last January, >> we heard that positions had remained open for a long time in some cases, >> and to complete the picture on staffing we also need to know this. >> >> On budget vs actual spend, I think the query is quite straight forward, >> isn't it? We need to know the amount allocated in each year's budget cycle >> for spend on compliance (which I assume is a budget line), vs the actual >> spend (so that we can look at the variance of actual vs budget). >> >> Thanks >> >> Emily >> >> >> On 3 April 2012 00:31, Denise Michel wrote: >> >>> Dear Emily (cc Team): >>> >>> Below and attached is (corrected) historical data on Compliance >>> staffing, including figures for temporary staff support. The discrepancy >>> between the last set of data provided by the Compliance Team and the >>> staffing information provided in slides presented to the Team in January >>> 2011 was due to the inclusion of temporary staff support in the staffing >>> numbers in the slides. The previous set of figures I forwarded included >>> only full-time staff. In addition, a staff person was transferred from >>> another department into Compliance and the previous data reflected her >>> start date incorrectly. Please let me know if you have any further >>> questions on this. >>> >>> When you have a chance, could you please call me regarding historic >>> budget information that the Team needs? >>> >>> Thanks >>> Denise >>> >>> Denise Michel >>> ICANN >>> Advisor to the President & CEO >>> denise.michel at icann.org >>> +1.408.429.3072 mobile >>> +1.310.578.8632 direct >>> >>> >>> Roles 2006 2007 (1st half) >>> 2008 (2nd half) >>> 2008 2009 (1st half) >>> 2010 (2nd half) >>> 2010 2011 2012 2013 Head of Compliance 1 1 1 1 0 1 1 1 Registrar-Registry >>> Compliance 1 3 3 3 4 5 5 7 9 12 Performance >>> Measurement & Reporting 1 1 1 Risk & Audit Management >>> 1 1 1 1 0 1 1 Temporary services 0 1 1 3 1 Total by year 1 >>> 3 5 6 7 10 6 9 12 15 >>> >>> >>> >>> _______________________________________________ >>> Rt4-whois mailing list >>> Rt4-whois at icann.org >>> https://mm.icann.org/mailman/listinfo/rt4-whois >>> >>> >> >> >> -- >> >> >> >> >> * >> * >> >> 76 Temple Road, Oxford OX4 2EZ UK >> t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 >> emily at emilytaylor.eu >> >> *www.etlaw.co.uk* >> >> Emily Taylor Consultancy Limited is a company registered in England and >> Wales No. 7630471. VAT No. 114487713. >> >> > -- * * 76 Temple Road, Oxford OX4 2EZ UK t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 emily at emilytaylor.eu *www.etlaw.co.uk* Emily Taylor Consultancy Limited is a company registered in England and Wales No. 7630471. VAT No. 114487713. -- * * 76 Temple Road, Oxford OX4 2EZ UK t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 emily at emilytaylor.eu *www.etlaw.co.uk* Emily Taylor Consultancy Limited is a company registered in England and Wales No. 7630471. VAT No. 114487713. -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/edc9fe38/attachment.html From kathy at kathykleiman.com Wed Apr 4 14:37:01 2012 From: kathy at kathykleiman.com (Kathy Kleiman) Date: Wed, 04 Apr 2012 10:37:01 -0400 Subject: [Rt4-whois] Steps toward de-accreditation and sanctions Message-ID: <4F7C5C8D.60806@kathykleiman.com> Hi All, I had the assignment on our "to do" list to "Find text on accreditation." Based on my recollection, this means returning to the 2009 Registrar Accreditation Agreement and finding any text on a more gradual path to de-accreditation for Registrars (not just an "off with your head" and termination of the contract). Indeed, as James shared, there is a new section which we should look at. It's 2.1, under ICANN's obligations, and it allows ICANN to "suspend Registrar's ability to create new Registered Names or initiate inbound transfers of Registered Names for one or more TLDs for up to a twelve (12) month period if (i) ICANN has given notice to Registrar of a breach that is fundamental and material to this Agreement pursuant to Subsection 5.3.4 and Registrar has not cured the breach within the period for cure prescribed by Subsection 5.3.4, or (ii) Registrar shall have been repeatedly and willfully in fundamental and material breach of its obligations at least three (3) times within any twelve (12) month period." That is a new and graduated sanction, so I appreciate James pointing it out. Plus we have the de-accreditation paragraphs in Section 5 (under "termination of agreement by ICANN.") /*James, is there anything further we should be looking at? */Excerpts below and attached (for easier reading). Best, Kathy /*------------------- 2009 RAA -------------------- */ *Excerpts of 2009 RAA* *"2. ICANN OBLIGATIONS.* 2.1 _Accreditation_. During the Term of this Agreement, Registrar is hereby accredited by ICANN to act as a registrar (including to insert and renew registration of Registered Names in the Registry Database) for the TLD(s) that are the subject of appendices to this Agreement according to Subsection 5.5. Notwithstanding the above and except in the case of a good faith disagreement concerning the interpretation of this Agreement, ICANN may, following notice to Registrar, suspend Registrar's ability to create new Registered Names or initiate inbound transfers of Registered Names for one or more TLDs for up to a twelve (12) month period if (i) ICANN has given notice to Registrar of a breach that is fundamental and material to this Agreement pursuant to Subsection 5.3.4 and Registrar has not cured the breach within the period for cure prescribed by Subsection 5.3.4, or (ii) Registrar shall have been repeatedly and willfully in fundamental and material breach of its obligations at least three (3) times within any twelve (12) month period." *** "5.3 _Termination of Agreement by ICANN_. This Agreement may be terminated before its expiration by ICANN in any of the following circumstances: 5.3.1 There was a material misrepresentation, material inaccuracy, or materially misleading statement in Registrar's application for accreditation or any material accompanying the application. 5.3.2 Registrar: 5.3.2.1 is convicted by a court of competent jurisdiction of a felony or other serious offense related to financial activities, or is judged by a court of competent jurisdiction to have committed fraud or breach of fiduciary duty, or is the subject of a judicial determination that ICANN reasonably deems as the substantive equivalent of those offenses; or 5.3.2.2 is disciplined by the government of its domicile for conduct involving dishonesty or misuse of funds of others. 5.3.3 Any officer or director of Registrar is convicted of a felony or of a misdemeanor related to financial activities, or is judged by a court to have committed fraud or breach of fiduciary duty, or is the subject of a judicial determination that ICANN deems as the substantive equivalent of any of these; provided, such officer or director is not removed in such circumstances. Upon the execution of this agreement, Registrar shall provide ICANN with a list of the names of Registrar's directors and officers. Registrar also shall notify ICANN within thirty (30) days of any changes to its list of directors and officers. 5.3.4 Registrar fails to cure any breach of this Agreement (other than a failure to comply with a policy adopted by ICANN during the term of this Agreement as to which Registrar is seeking, or still has time to seek, review under Subsection 4.3.2 of whether a consensus is present) within fifteen (15) working days after ICANN gives Registrar notice of the breach. 5.3.5 Registrar fails to comply with a ruling granting specific performance under Subsections 5.1 and 5.6. 5.3.6 Registrar continues acting in a manner that ICANN has reasonably determined endangers the stability or operational integrity of the Internet after receiving three (3) days notice of that determination. 5.3.7 Registrar becomes bankrupt or insolvent. This Agreement may be terminated in circumstances described in Subsections 5.3.1 - 5.3.6 above only upon fifteen (15) days written notice to Registrar (in the case of Subsection 5.3.4 occurring after Registrar's failure to cure), with Registrar being given an opportunity during that time to initiate arbitration under Subsection 5.6 to determine the appropriateness of termination under this Agreement. If Registrar acts in a manner that ICANN reasonably determines endangers the stability or operational integrity of the Internet and upon notice does not immediately cure, ICANN may suspend this Agreement for five (5) working days pending ICANN's application for more extended specific performance or injunctive relief under Subsection 5.6. This Agreement may be terminated immediately upon notice to Registrar in circumstance described in Subsection 5.3.7 above. -- -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/0e395d0d/attachment.html -------------- next part -------------- A non-text attachment was scrubbed... Name: Excerpts RAA and graduated sanctions language.doc Type: application/octet-stream Size: 17920 bytes Desc: not available Url : http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/0e395d0d/ExcerptsRAAandgraduatedsanctionslanguage.doc From denise.michel at icann.org Wed Apr 4 15:34:22 2012 From: denise.michel at icann.org (Denise Michel) Date: Wed, 4 Apr 2012 08:34:22 -0700 Subject: [Rt4-whois] Fwd: Fwd: Whois RT In-Reply-To: References: Message-ID: This is helpful. We'll collect the information discussed from 2009 to present. Thanks Denise Michel ICANN Advisor to the President & CEO denise.michel at icann.org +1.408.429.3072 mobile +1.310.578.8632 direct ---------- Forwarded message ---------- > From: Emily Taylor > Date: 4 April 2012 09:16 > Subject: Re: [Rt4-whois] Fwd: Whois RT > To: denise.michel at icann.org > > > Hi Denise > > Thank you very much for that explanation, and I do appreciate the > difficulties that you are talking about. I think your suggestion of going > back 3 years instead of 6 sounds practical and useful. What we want to do > is talk about the compliance effort really from 2009 onwards, once the > department started to move from "start up" phase to gearing up to meet > community expectations. I am also aware that when we met with Compliance > in Jan 2011, there were references to open positions, temporary staff etc, > and I would like to have a better understanding of that for our report. It > is important, because of course implementation of WHOIS policy is at the > heart of our mandate, and you can see from community feedback, and staff > feedback, that it is viewed as an area for improvement. > > Hope this is helpful. > > Kind regards > > Emily > > > On 3 April 2012 23:30, Denise Michel wrote: > >> I'd like to get a clearer sense of what information the Team must have to >> validate its points (reach its conclusions about current Whois policy and >> implementation) and confirm what can be provided in the short term. I was >> hoping a discussion could enable us to reach this point more quickly. >> >> In the last couple of years ICANN has instituted new internal systems >> that make it easier to track and report in detail on staffing, budget and >> expenditures. As with many "start-ups," new systems are forward looking and >> don't incorporate historic records. To go back to 2006 and indicate for >> each year which positions were open for how many days, and to determine how >> much budget was allocated to the Compliance function each year and how much >> was spent (when Compliance was located in a different department and was >> part of a different budget section prior to 2010) can be done, but will >> take a significant amount of Staff time during a particularly busy period >> for our budget/HR Staff (who currently are preparing the next fiscal year >> budget). >> >> I want to be as helpful as possible, but I'm also trying to convey that >> more detailed historic information is not available at the push of a button >> and can't be provided without cost/staff time. While Staff is committed to >> providing the information the Team needs to fulfill its mission, I'd like >> to confirm how critical this level of detail is to the Team's final report. >> Can the Team complete its recommendations with the budget and staffing >> histories provided thus far, or with information on budget, spends, and >> position vacancies going back 3 years instead of 6? >> >> I'm looking for feedback on whether there's another (quicker) way to meet >> the Team's needs given your final report deadline. >> >> Thanks >> Denise >> >> >> >> >> Denise Michel >> ICANN >> Advisor to the President & CEO >> denise.michel at icann.org >> +1.408.429.3072 mobile >> +1.310.578.8632 direct >> >> >> On Tue, Apr 3, 2012 at 2:05 AM, Emily Taylor wrote: >> >>> Thank you for this Denise >>> >>> Please would you also include the unfilled vacant positions over time in >>> the same way. When we had our presentation from compliance last January, >>> we heard that positions had remained open for a long time in some cases, >>> and to complete the picture on staffing we also need to know this. >>> >>> On budget vs actual spend, I think the query is quite straight forward, >>> isn't it? We need to know the amount allocated in each year's budget cycle >>> for spend on compliance (which I assume is a budget line), vs the actual >>> spend (so that we can look at the variance of actual vs budget). >>> >>> Thanks >>> >>> Emily >>> >>> >>> On 3 April 2012 00:31, Denise Michel wrote: >>> >>>> Dear Emily (cc Team): >>>> >>>> Below and attached is (corrected) historical data on Compliance >>>> staffing, including figures for temporary staff support. The discrepancy >>>> between the last set of data provided by the Compliance Team and the >>>> staffing information provided in slides presented to the Team in January >>>> 2011 was due to the inclusion of temporary staff support in the staffing >>>> numbers in the slides. The previous set of figures I forwarded included >>>> only full-time staff. In addition, a staff person was transferred from >>>> another department into Compliance and the previous data reflected her >>>> start date incorrectly. Please let me know if you have any further >>>> questions on this. >>>> >>>> When you have a chance, could you please call me regarding historic >>>> budget information that the Team needs? >>>> >>>> Thanks >>>> Denise >>>> >>>> Denise Michel >>>> ICANN >>>> Advisor to the President & CEO >>>> denise.michel at icann.org >>>> +1.408.429.3072 mobile >>>> +1.310.578.8632 direct >>>> >>>> >>>> Roles 2006 2007 (1st half) >>>> 2008 (2nd half) >>>> 2008 2009 (1st half) >>>> 2010 (2nd half) >>>> 2010 2011 2012 2013 Head of Compliance 1 1 1 1 0 1 1 1 Registrar-Registry >>>> Compliance 1 3 3 3 4 5 5 7 9 12 Performance >>>> Measurement & Reporting 1 1 1 Risk & Audit Management >>>> 1 1 1 1 0 1 1 Temporary services 0 1 1 3 1 Total by >>>> year 1 3 5 6 7 10 6 9 12 15 >>>> >>>> >>>> >>>> _______________________________________________ >>>> Rt4-whois mailing list >>>> Rt4-whois at icann.org >>>> https://mm.icann.org/mailman/listinfo/rt4-whois >>>> >>>> >>> >>> >>> -- >>> >>> >>> >>> >>> * >>> * >>> >>> 76 Temple Road, Oxford OX4 2EZ UK >>> t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 >>> emily at emilytaylor.eu >>> >>> *www.etlaw.co.uk* >>> >>> Emily Taylor Consultancy Limited is a company registered in England and >>> Wales No. 7630471. VAT No. 114487713. >>> >>> >> > > > -- > > > > > * > * > > 76 Temple Road, Oxford OX4 2EZ UK > t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 > emily at emilytaylor.eu > > *www.etlaw.co.uk* > > Emily Taylor Consultancy Limited is a company registered in England and > Wales No. 7630471. VAT No. 114487713. > > > > > -- > > > > > * > * > > 76 Temple Road, Oxford OX4 2EZ UK > t: +44 (0)1865 582 811 ? m: +44 (0)7540 049 322 > emily at emilytaylor.eu > > *www.etlaw.co.uk* > > Emily Taylor Consultancy Limited is a company registered in England and > Wales No. 7630471. VAT No. 114487713. > > > _______________________________________________ > Rt4-whois mailing list > Rt4-whois at icann.org > https://mm.icann.org/mailman/listinfo/rt4-whois > > -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/74d9da2b/attachment.html From susank at fb.com Wed Apr 4 15:57:13 2012 From: susank at fb.com (Susan Kawaguchi) Date: Wed, 4 Apr 2012 15:57:13 +0000 Subject: [Rt4-whois] Recommendation 5 Message-ID: Please see a proposed revision to recommendation 5 highlighted in yellow. I would like to add the following language to rec 5 as a I fear that ICANN will not act timely on the issues. If we give them the responsibility to provide a clearly defined path forward with each of the recommendations with an imposed timeline to the community we may have a better outcome with these recommendations. 5. ICANN should provide a detailed and comprehensive plan within 3 months after the submission of the Final Whois Review Team report that outlines how ICANN will move forward in implementing these recommendations. ICANN should also provide at least annual status reports on its progress towards achieving the goals set out by this WHOIS Review Team, published by the time the next WHOIS Review Team starts.This report should include tangible, reliable figures needed. Susan Kawaguchi Domain Name Manager Facebook Legal Dept. Phone - 650 485-6064 -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/44609206/attachment.html From alice.jansen at icann.org Wed Apr 4 19:58:59 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Wed, 4 Apr 2012 12:58:59 -0700 Subject: [Rt4-whois] ADOBE ROOM Message-ID: Please join the Adobe room: http://icann.adobeconnect.com/whois-review/ -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/47931151/attachment.html From alice.jansen at icann.org Wed Apr 4 21:45:12 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Wed, 4 Apr 2012 14:45:12 -0700 Subject: [Rt4-whois] Note Pod Content from WHOIS-Review In-Reply-To: <13721135.19142.1333575674037.JavaMail.breezesvc@pacna7app08> Message-ID: Dear Review Team Members, Please find enclosed the pod content of your conference call held on 4 April. Thanks, Kind regards Alice -- WHOIS Policy Review Team Conference call ? 20:00 UTC AGENDA 1. Roll call & apologies 2. Preliminary report (28 March) for your approval ? Refer to (AJ)'s email 3. Action items penholders report (refer to https://community.icann.org/display/whoisreview/Action+Items+-+Spring+2012) * Data Accuracy recommendations (SK) * Proxy & Privacy recommendations (SR), (PN), (SK), (JB) * Recommendation 3 & 17 (ET) - reach agreement * Text on accreditation (KK) * IDN recommendations (MY), (KK), (SH), (WW) * Language on timeframes & implementation paths (SK), (LG) * Compliance recommendations (PN), (ET), (BS) 4. Staff report on implementation and tracking 5. Next steps 6. A.O.B PARTICIPANTS Susan Kawaguchi, Emily Taylor, Omar Kaminski, James Bladel, Michael Yakushev, Seth Reiss, Kathy Kleiman, Bill Smith, Lutz Donnerhacke ICANN STAFF Olof Nordling, Alice Jansen, Denise Michel APOLOGIES Peter Nettlefold, Sarmad Hussain NOTES 1. Preliminary report adopted 2. Data Accuracy recs. --> findings ; Emily encouraged Members to ask for clarifications should action items be unclear. Reviewing proposed language for rec. 5 - do we want to include budget implications? 6 months to start implementing - Susan's concern: plan to do that. Expand language: although AoC stipulates 6 months, an interim step should be this comprehensive plan within 3 months. Integrate AoC 6 months + plan should integrate budget implications. Report will be posted for a minimum of 30 days of comments. Analysis + background work go on in parallel. 3 months after comment period or comment period incorporated into 3 months? Note that will also take into account RAA (implementation paths). Helpful to have milestone tracking and clearly articulated work plan (PDP, RAA plan). Proxy, privacy recommendations Susan concerned that leaving out recommendation that relationships be disclosed. Susan agrees that accreditation is what ICANN needs but worried that might take long time. Voluntary practices --> accreditation - Susan's suggestions but do we have support? Disclosure: no pushback - should include it. Seth + Peter not suggesting voluntary system. Seth's suggestion: leave mandatory/voluntary issue out --> might not reach consensus. First voluntary - then evaluate (next RT or point in time) whether that was successful. Still a lot of fact-finding in the policy process. Bill: who is disenfranchised? Seth: we are a Review Team - not our job to solve the problem per say. Not here to make policy. if no agreement reached on mandatory/voluntary - need to go back to findings. Circulate agreed language by the next call. Rec 3 + 17 - Alice to recirculate recommendations - Members to send comments Accreditation text - Recommending the expansion of the tools for the compliance team. James: would be helpful to have hierarchy of enforcement. James + Kathy to work on that. IDN recs. Consensus within subteam needs to be reached first. Circulate draft language prior to the next call Compliance recs. In correspondance with Denise 3. Staff Report - Staff subject matter experts on the phone - better. RAA negotiations + ongoing studies. Can arrange a walking through recommendations call next week. Rec 1 - intend is to collect policies rather than create new ones. Rec 2 - WDRP - fair amount of discussions including in Costa Rica. ICANN currently no contractual authority - staff exploring ways to achieve improvements regarding WHOIS accuracy including items discussed as part of RAA. Note new GNSO consensus policy may be in play on implementation paths.Looking into building compliance tools to measure accuracy. Compliance changed WDRP 2011 audit Rec. 3 information shared on how WHOIS currently treated as priority (budget etc). Rec 4 Articulated outeach activities. New stakeholder outreach program and compliance outreach activities. GNSO recently approved outreach improvements. (Denise to send GNSO's link) Rec 5 Staff understands undeliverable. Follow NORC study or scale it with market? Rec 6/7 - Rec 8 pursuing this goal. Graduated penalties. Part of RAA negotiations. Graduated sanction already in place in RAA Rec 9 RAA requires that links be posted on website Rec 10 Staff exploring various mechanisms to have clear, enforceable requirements. Discussed as part of RAA negotiations. ---> Start with Denise on next call. -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/5e524c8e/attachment.html From jbladel at godaddy.com Wed Apr 4 23:01:06 2012 From: jbladel at godaddy.com (James M. Bladel) Date: Wed, 04 Apr 2012 16:01:06 -0700 Subject: [Rt4-whois] Steps toward de-accreditation and sanctions Message-ID: <20120404160106.9c1b16d3983f34082b49b9baf8cec04a.bb136c528e.wbe@email00.secureserver.net> An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120404/351a9c06/attachment.html From alice.jansen at icann.org Fri Apr 6 07:55:51 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Fri, 6 Apr 2012 00:55:51 -0700 Subject: [Rt4-whois] DOODLE Poll to complete - Wed, 11 April In-Reply-To: Message-ID: Dear Review Team Members, Consistent with your decision to schedule weekly calls in April, please find enclosed a doodle poll which will help you determine the most convenient time slot for your call that will take place on Wednesday, 11 April. http://www.doodle.com/8u92y8qm89np398f Please complete this poll by Monday, 9 April ? at the very latest. Thanks in advance. Kind regards Alice -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120406/47710f9b/attachment.html From alice.jansen at icann.org Fri Apr 6 16:44:31 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Fri, 6 Apr 2012 09:44:31 -0700 Subject: [Rt4-whois] DOODLE POLL - Call with ICANN Staff Message-ID: Dear Review Team Members, As agreed, a conference call with selected ICANN Staff Members will be scheduled for more in-depth discussion of some of the recommendations. Please help us determine the most convenient slot by filing out the enclosed doodle poll link by Tuesday, 10 April ? end of your business day http://www.doodle.com/kuheyrc2q4vbir5w Many thanks in advance Kind regards Alice -- Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... URL: http://mm.icann.org/pipermail/rt4-whois/attachments/20120406/aca80b58/attachment.html From alice.jansen at icann.org Sun Apr 8 14:02:09 2012 From: alice.jansen at icann.org (Alice Jansen) Date: Sun, 8 Apr 2012 07:02:09 -0700 Subject: [Rt4-whois] Doodle polls - REMINDER Message-ID: Dear Review Team Members, Please be kindly reminded to complete the following doodle polls: - your next conference call: Wednesday, 11 April http://www.doodle.com/8u92y8qm89np398f Please complete by Monday, 9 April ? end of your business day - your call with ICANN Staff: Monday, 14 April or Tuesday, 17 April http://www.doodle.com/kuheyrc2q4vbir5w Please complete by Tuesday, 10 April ? end of your business day Many thanks in advance. Kind regards Alice Alice Jansen Assistant, Organizational Reviews 6 Rond Point Schuman, Bt.5 B-1040 Brussels Belgium Direct dial: +32 2 234 78 64 Mobile: +32 4 73 31 76 56 Skype: alice_jansen_icann -------------- next part -------------- An HTML attachment was scrubbed... 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