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CCWG-Accountability WS2
PresentationoftheWS2FinalReportandImplementationAdvice
June2018
ICANN62
Agenda
1. CurrentStatus
2. Reviewofrecommendations
3. ReviewofBoardConcernsandImplementationGuidance.
4. ProcessGoingForward
5. Questions
6. Adjournment
1.CurrentStatus
¤ TheCCWG-AccountabilityWS2concludeditsworkatitsFacetoFacemeetingatICANN62onSunday24June.TheWS2FinalReportandImplementationGuidancewillnowbetransmittedtotheCCWG-AccountabilityCharteringOrganisationsforapproval.OnceapprovedbytheCharteringOrganizationstheCCWG-AccountabilitywillforwardthismaterialtotheICANNBoardforapproval.
¤ TheWS2FinalReporthasnotchangedsinceitspublicationforapublicconsultationinMarch2018.
1.CurrentStatus
TheImplementationGuidanceprovidesfurtherclarificationontherecommendationsthatwerenotedasproblematicbytheICANNBoardinitslettertotheCCWG-Accountabilityon14May2018.Therecommendationswhichwerenotedare:v TheOmbuds Avisory Panel-v TransparencyofBoardDeliberations-v TransparencyofGovernmentalEngagement-v TransparencyofOpenContracting-
1.CurrentStatusStatisticsforcompletingWS2
¡ #ofMembers:26¡ #ofActiveParticipants:254¡ #ofObservers:205
¡ Totalnumberofmeetings:278¡ Collectivehoursoncallsandmeetings:10870hours¡ Totalnumberofemails:5926
¤ TheWS2ImplementationOversightTeamcomposedoftheCo-Chairsandrapporteurswillcontinuetobeavailabletoprovideassistanceasneededduringtheapprovalandimplementationprocesses.
2.1Recommendations-Diversity
8recommendationsICANNandallSO/ACsshouldimplement.Thesearebrokendowninto3mainthemes:
• DefiningDiversity– 2recommendations• MeasuringandPromotingDiversity– 3
recommendations• SupportingDiversity– 3recommendations
RecommendationsarestructuredtoallowSO/ACstoadjustthediversityrequirementsandconductregularassessmentstotheirneeds.
2.2Recommendations–Guidelinesforgoodfaith
¡ Completenameis- GuidelinesforstandardsofconductpresumedtobeingoodfaithassociatedwithexercisingremovalofindividualICANNBoardDirectors
¡ SimplyafewoptionalrecommendationstoensurethatarepresentativefromanSO/ACusingthenewaccountabilityprocedurestoremoveanICANNBoardDirector(andfollowingthesegoodfaithrecommendations)willbeindemnifiediftheyaresuedbytheDirectortheyareseekingtoremove.
2.3Recommendations–HumanRightsFOI
¡ CCWG-Accountability-WS1recommendationsonHumanRightsrequiredaFrameworkofInterpretation(FOI)beacceptedbyICANNpriortothoserecommendationscomingintoforce.ThisFOIwasdevelopedinWS2.
¡ TheFOIisahighlevelframeworktohelpICANNandSO/ACstoconsidertheimplicationsoftheHumanRightsrequirementsintheirwork.
2.4Recommendations–Jurisdiction
¡ Twosetsofrecommendations:• RecommendationstoICANNRelatingtoOFACSanctions
andOtherSanctions• ICANNTermsandConditionsforRegistrarAccreditation
ApplicationRelatingtoOFACLicenses• ApprovalofgTLDRegistries• ApplicationofOFACLimitationsbyNon-USRegistrars• GeneralLicenses
• RecommendationsrelatingtoChoiceofLawandChoiceofVenueProvisionsinICANNRegistryandRegistrarAgreements(theseareonlysuggestionsasthesecannotbemadebindingusingthisprocess)
2.5Recommendations–Ombudsman
11recommendationswhichareverycloselybasedontherecommendationsmadebytheindependentexternalevaluationoftheofficeoftheOmbuds:1. Havingamorestrategicfocus2. Adaptingitsprocedures3. Communicatingthistothecommunity4. Establishingtimelinesforallpartsofthecommunitytorespondtorequests
fromtheOmbuds.5. Establishingtimelinesforitsownhandlingofcomplaints6. EnsuringtheofficeoftheOmbuds hasformalmediationtrainingand
experience7. EnsuringdiversitytothosewishingtousetheservicesoftheOmbuds.8. Establishmentofanadvisorypaneltoincreaseindependence*9. ReviewingtherulesoftheOmbuds employmentcontract10. Ensuringthatanannlual Ombuds reportispublished11. DefiningtherequirementsforOmbuds implicationinnon-complaintsworks*Boardconcern
2.6Recommendations– SO/ACAccountability
¤ Recommendationsarebrokendowninto3tracks:¡ Track1: ReviewanddeveloprecommendationstoimproveSO/AC
processesforaccountability,transparency,&participationthatarehelpfultopreventcapture– Makes29recommendationsthateachSO/AC/Groupshould implement.
¡ Track2: Evaluatetheproposed“MutualAccountabilityRoundtable”toassessitsviabilityand,ifviable,undertakethenecessaryactionstoimplementit- WhileasmallminorityofCCWGparticipantssupportedthis,theCCWGconsensusviewisnottorecommendtheMutualAccountabilityRoundtableforformalimplementation.
¡ Track3:AssesswhethertheIRPwouldalsobeapplicabletoSO&ACactivities– TheconclusionisthattheIRPshouldnotbemadeapplicabletoactivitiesofSO/AC/Groups.TheappropriatemechanismforindividualstochallengeanACorSOactionorinactionisthoughICANN’sOmbuds Office,whosebylawsandcharterareadequatetohandlesuchcomplaints.
2.7Recommendations– StaffAccountability
Threemainrecommendationstoaddressunderlyingissuesorconcernsidentifiedthroughthegroup’sanalysis:
1. Addressingthelackofunderstandingoftheexistenceand/ornatureofexistingstaffaccountabilitymechanisms.
2. Addressingthelackofclearlydefined,orbroadlyunderstood,mechanismstoaddressaccountabilityconcernsbetweencommunitymembersandstaffmembersregardingaccountabilityorbehavior.
3. Addressingthelackofserviceleveldefinitionsandguidelines.
2.8Recommendations–Transparency
Sub-groupmaderecommendationsin4areas:
1. ImprovingICANN’sDocumentaryInformationDisclosurePolicy(DIDP)– 21recommendations.*
2. DocumentingandReportingonICANN’sInteractionswithGovernments– 1recommendation.*
3. TransparencyofBoardDeliberations– 3recommendations.*
4. ImprovingICANN’sAnonymousHotline(WhistleblowerProtection)– 8recommendations
*BoardConcern
3.ReviewofBoardConcernsandImplementationGuidance
TheICANNBoardadvisedtheCCWG-AccountabilityWS2thatithadconcernsregarding4oftherecommendations:3.1TheOmbuds Avisory Panel3.2TransparencyofBoardDeliberations3.3TransparencyofGovernmentalEngagement3.4TransparencyofOpenContracting
3.1TheOmbuds Avisory Panel
Originalrecommendation
ICANNshouldestablishanOmbuds AdvisoryPanelmade upof5memberstoactasadvisers,supporters,wisecounselfortheOmbuds andshouldbemadeupofaminimumofatleast2memberswithombuds experienceandtheremainderwithextensiveICANNexperience.
ThePanelshouldberesponsiblefor:
• ContributetotheselectionprocessfornewOmbuds whichwouldmeetthevariousrequirementsoftheBoardandcommunityincludingdiversity.
• RecommendingcandidatesforthepositionofOmbuds totheBoard.
• RecommendingtermsofprobationtotheBoardfornewOmbuds.
• RecommendtotheBoardfiringanOmbuds forcause.
3.1TheOmbuds Avisory Panel
• ContributetoanexternalevaluationoftheIOOevery5years.
• MakingrecommendationsregardinganypotentialinvolvementoftheIOOinnoncompliantworkbasedonthecriterialistedinrecommendation11.
ThePanelcannotbeconsideredasbeingpartoftheOmbuds officeandcannotbeconsideredadditionalOmbuds,butratherexternaladvisorstotheoffice.
AnysuchadvisorypanelwouldrequiretheOmbuds tomaintainitsconfidentialityengagementspertheBylaws.
3.1TheOmbuds Avisory Panel
ImplementationGuidance
ThisimplementationguidancewaspreparedfollowingtheBoardraisingconcernsabouttheindependenceoftheOmbuds functionattheSanJuanandPanamameetings.TheguidanceexplainshowtheCCWGexpectstherecommendationstobeimplemented.
TheOmbuds panelisnotmeanttobeadecisionmakingbody– itisonlytheretoassisttheBoardorrelevantBoardCommitteewiththespecifictasksenumeratedintherecommendation.ThePanelisspecificallyprohibitedfromgettinginvolvedinanymatterbeforetheOmbus;theOmbuds shallnotseek,evenonanonymizedterms,guidancefromthePanelonanymatterbeforetheOmbuds.
ThePanelwillonlyhavethesixspecificallyenumeratedpowerssetoutintherecommendation.
3.1TheOmbuds Avisory Panel
Inimplementingtheportionoftherecommendation“recommendtotheBoardfiringanOmbuds forcause”- becauseundertheBylawsonlytheBoardhasthepowertofiretheOmbuds,theCCWGadvisesthattheBoardshouldimplementthisrecommendationbypreparingandpublishinginformationabouttheprocessanyICANNcommunityparticipantscanusetoprovidetheBoardwithfeedbackabout,orraiseconcernsregarding,theperformanceoftheOmbuds.ThePaneliswelcometoofferfeedbackontheperformanceoftheOmbuds,butcanonlyprovideanyfeedbackthoughthisprocess(asidefromtheregularexternalevaluation).TheCCWGsuggeststhisclarificationtopreservetherightofthePaneltoraiseanyconcernswiththeperformanceoftheOmbuds functionwhilenotinterferingwiththeBoard’sresponsibilitiesinmanagingtheengagementoftheOmbuds andconsideringconcernsraisedinanappropriateway.
3.1TheOmbuds Avisory Panel
Inimplementingtheportionoftherecommendation“MakerecommendationsregardinganypotentialinvolvementoftheIOOinnoncompliantworkbasedonthecriterialistedinrecommendation11”,thisshouldonlyoccurattherequestoftheBoard.
Finally,aformalprocesstoselectthepanelmembersshouldbecreated.ThisshouldensurethatcandidateshaveextensiveICANNand/orombudsexperience,andalsohavecompleteindependencefromtheSO/ACs.Theselectionprocessmaybedesignedinanyappropriatemeanstoachieveindependence,suchasbyselectionbytheBoard,anindependentrecruitmentfirm,orotherappropriateprocess.
RegardlessoftheprocesswhichisselectedtheICANNBoardshouldpostdetailsregardingtheprocessthatwillbeutilized.
3.2TransparencyofBoardDeliberations
Originalrecommendation-TheDIDPexceptionfordeliberativeprocessesshouldnotapplytoanyfactualinformation,technicalreportsorreportsontheperformanceoreffectivenessofaparticularbodyorstrategy,aswellasanyguidelineorreasonsforadecisionwhichhasalreadybeentakenorwherethematerialhasalreadybeendisclosedtoathirdparty.
ImplementationGuidance:
¤ Forthesakeofgreaterclarity,currentpublicationsofBoardBriefingMaterialsappeartofulfilthisrequirement
¤ Note:AsICANNorganizationpointsout,documents/informationalreadyprovidedtoathirdparty(withoutobligationtokeepasconfidential)shouldnotbewithheldsimplybecauseofadeliberativeprocessexception.
3.2TransparencyofBoardDeliberations
Originalrecommendation- TheBylawsshouldberevisedsothatmaterialmayonlyberemovedfromtheminutesofBoardmeetingswhereitwouldbesubjecttoaDIDPexception.DecisionstoremovematerialfromtheminutesofBoardmeetingsshouldbesubjecttoIRPappeal.
ImplementationGuidance:
¤ ThebasisforredactionofBoardminutesandwithholdinginformationfromaDIDPrequestshouldbesubstantiallyconsistent.ForthemostpartthiswouldseemtobethecaseincludingiftheCCWG-AccountabilityrecommendationswhichapplytotheDIDPareimplemented.AssuchICANNshouldpublisharegisterofallredactionofBoardminutesexplainingthebasisfortheredaction.AdditionallytheregistershouldexplainhowthebasisforthisredactionalignswiththeDIDPexceptionsandifitdoesnotalignwithsuchanexceptionexplainwhy.
¤ Note:ReIRPappeal– thisiscurrentlyintheBylaws.
3.2TransparencyofBoardDeliberations
Originalrecommendation- WherematerialisremovedfromtheminutesofBoardmeetings,thedefaultshouldbetoallowforitsreleaseafteraparticularperiodoftime,oncethepotentialforharmhasdissipated.
ImplementationGuidance - WhenredactinganyinformationtheBoardshouldidentifyiftheredactedinformationcaneventuallybereleasedornot(ICANNshouldpublishthelistoftheclassesofinformationwhichcanneverbedisclosedbylaw,orotherreasons,suchasstaffemploymentmattersetc.).Ifredactedinformationisidentifiedaseventuallybeingsubjecttoreleaseitshouldidentifytheconditionswhichwouldallowtherelease(thisinformationshouldbeincludedintheabovementionedRegister).TheCEO(orhis/herdesignee)wouldannuallyreviewredactedinformationwhichisnotedasbeingconditionallysubjecttoreleasetoseeiftheconditionsforreleasearemet,andshallreleaseallappropriateinformationandupdatetheRegisteraccordingly.Forallredactions(otherthanthosethatarepartofacategorythatcanneverbedisclosed),theredactedmaterialshouldbedisclosedduringtheannualRegisterreviewprocessinthe15thyearaftertheredactionwasfirstenteredontotheRegister.
3.3GovernmentEngagement
Originalrecommendation- IntheinterestofprovidingthecommunitygreaterclaritywithregardtohowICANNengagesgovernmentstakeholdersandtoensurethattheICANNcommunityand,ifnecessary,theEmpoweredCommunityisfullyawareofICANN’sinteractionswithgovernments,theCCWG-AccountabilityrecommendsthatICANNbegindisclosingpubliclythefollowing(notwithstandinganycontractualconfidentialityprovisions)onatleastayearly(butnomorethanquarterly)basiswithregardtoexpendituresover$20,000peryeardevotedto“politicalactivities”,bothintheU.S.andabroad:
3.3GovernmentEngagement
•AllexpendituresonanitemizedbasisbyICANNbothforoutside contractorsandinternalpersonnel.
•Allidentitiesofthoseengaginginsuchactivities,bothinternaland external,onbehalfofICANN.
•Thetype(s)ofengagementusedforsuchactivities.
•Towhomtheengagementandsupportingmaterialsaretargeted.
•Thetopic(s)discussed(withrelativespecificity).
3.3GovernmentEngagement
ImplementationGuidance:
Note- ThisrecommendationneedstobeconsistentwithDIDPexceptions,specificallytheexceptionwhichstates:
Informationprovidedbyortoagovernmentorinternationalorganization,oranyformofrecitationofsuchinformation,intheexpectationthattheinformationwillbekeptconfidentialand/orwouldorlikelywouldmateriallyprejudiceICANN'srelationshipwiththatparty(note- theWS2TransparencyrecommendationsforDIDPdidnotmentionormodifythisexceptionwhichiscurrentlyincludedintheDIDPandassuchitwouldbeexpectedtostand).
TheabovediscussionofDIDPpoliciesisbywayofexplanation,anddoesnotexpandtheapplicationofthispolicy
3.3GovernmentEngagement
OverallonemustrecognizethatICANNisacriticalactorintheDNSandhassignificantexpertiseinthearea.ICANN’scorporateobjectivesincludeanumberofactivitiesandprogramstosharethisexpertisewithallinterestedpartiesincludinggovernments.
AssuchanyactivitieswhereICANNispresentinginformationwhichispubliclyavailableorwhichispartofformallypublishedICANNpositiononasubjectthroughtrainingprograms,conferencesorindividualmeetingsshouldnotberequiredtobedisclosedbeyondthereportswhicharecurrentlypublishedbyICANNandreportsregardingbilateralconversationswithgovernments.
Note:ReportingonbilateralconversationscanbefoundintheICANNQuarterlyReports.AdditionalinformationonspecificsofthesereportscanberequestedviatheDIDPsubjecttothestatedexceptions.Anexampleofsuchareportcanbefoundathttps://www.icann.org/en/system/files/files/quarterly-report-08may18-en.pdfpage29
3.3GovernmentEngagement
Tofurtherfacilitatethecommunity’sunderstandingofICANN’sobjectivesindiscussionswithgovernmentsitshouldpublishanannualGovernmentEngagementStrategywhichshoulddescribethefocusofitsinteractionswithgovernmentsforthecomingyear.Thisdocumentshouldbederivedfromexistingdocumentationincludingbutnotlimitedtoannualplanning,CEOreportstotheBoardandcorrespondencewiththeGAC.
3.4OpenContractingOriginalrecommendation- 16)Whereverpossible,ICANN'scontractsshouldeitherbeproactivelydis-closedoravailableforrequestundertheDIDP.TheDIDPshouldallowICANNtowithholdinformationsubjecttoanon-disclosureagreement,howeversuchagreementsshouldonlybeenteredintowherethecontractingpartysatisfiesICANNthatithasalegitimatecommercialreasonforrequestingtheNDA,orwhereinformationcontainedthereinwouldbesubjecttootherexceptionswithintheDIDP(suchas,forexample,wherethecontractcontainsinformationwhosedisclosurewouldbeharmfultothesecurityandstabilityoftheInternet).
ImplementationGuidance:
¤ Astherecommendationstartswiththelanguage"whereverpossible"wewouldrecommendthatICANNpublishadocumentclearlystatingitspositiononthelimiteduseofNDAsanddocumentingtheinformationthatwillmakeavailableonitscontractedrelationships,asdiscussedbelow.
3.4OpenContracting
¤ Inthefirsat yearofimplementationICANNshouldpublisharegisterofallsuppliers(nameofsupplier,countryororiginandactualannualamount)itpays500,000$USormoreperfiscalyearbrokendownbycategories(eg,computerequipment,software,telecommunicationservices,contractingetc.).StartinginthesecondyearofimplementationICANNshouldlowerthisthresholdto250,000$US.TheBoardshouldreviewthisthresholdamountonaregularbasistoeffectivelyensuretransparency.
¤ InscopingATRT4orfutureATRTreviewsSO/ACsshouldconsideriftheinformationprovidedintheaboveRegistermeetstheirrequirements.Shouldtheyfeeltheneedforadjustmentstheyshouldrequestthereviewconsiderthis.
4.ProcessGoingForward
BoardDeliberation
PublicCommentReport
ManagesPublicCommentProcess
CCWG-AccountabilityFinalizesReportanddeliverstoCharteringOrgsforacceptance.
CharteringOrgsreviewandadoptFinalReport
FeasibilityAssessmentReport
ProducesFeasibilityAssessment
RejectionprocessasdescribedintheBylawsArticle27
FinalWS2Report
FinalWS2Report
FeasibilityAssessmentReport
Reviewsallreports
BoardREJECTSrecommendation(s)andprovidesrationale
ImplementationPlanning
(DraftimplementationplandevelopedinconsultationwithWS2ImplementationOversight
Team)
BoardreceivesFinalReportfromCCWG,anddirectsICANNorgtoconductfeasibility
assessment
FinalWS2Report
4.ProcessGoingForward- SettingExpectationsonImplementationandFunding
¤ UnlikeWS1implementation,WS2recommendationswillnotbefundedoutoftheICANNReserveFund
¤ Implementationresourcingwillneedtobeprioritizedoveranappropriateamountoftime,weighingotherexistingandplannedactivitiesorcommunityrecommendationsagainstavailablefunding,andprioritizingeffortsaccordingly.
¤ WS2RecommendationsacceptedbytheBoardwillmovetoimplementationplanning.TheWS2ImplementationPlanwilldetailthetiming,specificcostsandresourceallocations,andwillbeproducedinconsultationwiththeWS2ImplementationAdvisoryPanel.
¤ Asappropriate,implementationplanningeffortswillbecoordinatedwithexistingplanningcycles,andsubjecttoPublicCommentasapartofthoseefforts.AllICANNOperatingPlansaresubjecttoreviewandrevisionbasedonchangestofundingoractivityassumptionsandpriorities.
¤ WS2recommendationswillbetrackedastheyareimplementedforappropriateWS2implementationreporting,
WS2implementationwillbefundedthroughgeneraloperatingfunds.
5.Questions?
¡ AllCCWG-Accountability-WS2materialcanbefoundonitswikiathttps://community.icann.org/display/WEIA/WS2+-+Enhancing+ICANN+Accountability+Home