26. ccwgacctws2 update to the gac · 2018-07-23 · 1. current status ¤the ccwg-accountability ws2...

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.


• ContributetoanexternalevaluationoftheIOOevery5years.

• MakingrecommendationsregardinganypotentialinvolvementoftheIOOinnoncompliantworkbasedonthecriterialistedinrecommendation11.

ThePanelcannotbeconsideredasbeingpartoftheOmbuds officeandcannotbeconsideredadditionalOmbuds,butratherexternaladvisorstotheoffice.

AnysuchadvisorypanelwouldrequiretheOmbuds tomaintainitsconfidentialityengagementspertheBylaws.


ImplementationGuidance

ThisimplementationguidancewaspreparedfollowingtheBoardraisingconcernsabouttheindependenceoftheOmbuds functionattheSanJuanandPanamameetings.TheguidanceexplainshowtheCCWGexpectstherecommendationstobeimplemented.

TheOmbuds panelisnotmeanttobeadecisionmakingbody– itisonlytheretoassisttheBoardorrelevantBoardCommitteewiththespecifictasksenumeratedintherecommendation.ThePanelisspecificallyprohibitedfromgettinginvolvedinanymatterbeforetheOmbus;theOmbuds shallnotseek,evenonanonymizedterms,guidancefromthePanelonanymatterbeforetheOmbuds.

ThePanelwillonlyhavethesixspecificallyenumeratedpowerssetoutintherecommendation.


Inimplementingtheportionoftherecommendation“recommendtotheBoardfiringanOmbuds forcause”- becauseundertheBylawsonlytheBoardhasthepowertofiretheOmbuds,theCCWGadvisesthattheBoardshouldimplementthisrecommendationbypreparingandpublishinginformationabouttheprocessanyICANNcommunityparticipantscanusetoprovidetheBoardwithfeedbackabout,orraiseconcernsregarding,theperformanceoftheOmbuds.ThePaneliswelcometoofferfeedbackontheperformanceoftheOmbuds,butcanonlyprovideanyfeedbackthoughthisprocess(asidefromtheregularexternalevaluation).TheCCWGsuggeststhisclarificationtopreservetherightofthePaneltoraiseanyconcernswiththeperformanceoftheOmbuds functionwhilenotinterferingwiththeBoard’sresponsibilitiesinmanagingtheengagementoftheOmbuds andconsideringconcernsraisedinanappropriateway.


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.


Originalrecommendation- TheBylawsshouldberevisedsothatmaterialmayonlyberemovedfromtheminutesofBoardmeetingswhereitwouldbesubjecttoaDIDPexception.DecisionstoremovematerialfromtheminutesofBoardmeetingsshouldbesubjecttoIRPappeal.


¤ ThebasisforredactionofBoardminutesandwithholdinginformationfromaDIDPrequestshouldbesubstantiallyconsistent.ForthemostpartthiswouldseemtobethecaseincludingiftheCCWG-AccountabilityrecommendationswhichapplytotheDIDPareimplemented.AssuchICANNshouldpublisharegisterofallredactionofBoardminutesexplainingthebasisfortheredaction.AdditionallytheregistershouldexplainhowthebasisforthisredactionalignswiththeDIDPexceptionsandifitdoesnotalignwithsuchanexceptionexplainwhy.

¤ Note:ReIRPappeal– thisiscurrentlyintheBylaws.


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:


•AllexpendituresonanitemizedbasisbyICANNbothforoutside contractorsandinternalpersonnel.

•Allidentitiesofthoseengaginginsuchactivities,bothinternaland external,onbehalfofICANN.

•Thetype(s)ofengagementusedforsuchactivities.

•Towhomtheengagementandsupportingmaterialsaretargeted.

•Thetopic(s)discussed(withrelativespecificity).



Note- ThisrecommendationneedstobeconsistentwithDIDPexceptions,specificallytheexceptionwhichstates:

Informationprovidedbyortoagovernmentorinternationalorganization,oranyformofrecitationofsuchinformation,intheexpectationthattheinformationwillbekeptconfidentialand/orwouldorlikelywouldmateriallyprejudiceICANN'srelationshipwiththatparty(note- theWS2TransparencyrecommendationsforDIDPdidnotmentionormodifythisexceptionwhichiscurrentlyincludedintheDIDPandassuchitwouldbeexpectedtostand).

TheabovediscussionofDIDPpoliciesisbywayofexplanation,anddoesnotexpandtheapplicationofthispolicy


OverallonemustrecognizethatICANNisacriticalactorintheDNSandhassignificantexpertiseinthearea.ICANN’scorporateobjectivesincludeanumberofactivitiesandprogramstosharethisexpertisewithallinterestedpartiesincludinggovernments.

AssuchanyactivitieswhereICANNispresentinginformationwhichispubliclyavailableorwhichispartofformallypublishedICANNpositiononasubjectthroughtrainingprograms,conferencesorindividualmeetingsshouldnotberequiredtobedisclosedbeyondthereportswhicharecurrentlypublishedbyICANNandreportsregardingbilateralconversationswithgovernments.

Note:ReportingonbilateralconversationscanbefoundintheICANNQuarterlyReports.AdditionalinformationonspecificsofthesereportscanberequestedviatheDIDPsubjecttothestatedexceptions.Anexampleofsuchareportcanbefoundathttps://www.icann.org/en/system/files/files/quarterly-report-08may18-en.pdfpage29


Tofurtherfacilitatethecommunity’sunderstandingofICANN’sobjectivesindiscussionswithgovernmentsitshouldpublishanannualGovernmentEngagementStrategywhichshoulddescribethefocusofitsinteractionswithgovernmentsforthecomingyear.Thisdocumentshouldbederivedfromexistingdocumentationincludingbutnotlimitedtoannualplanning,CEOreportstotheBoardandcorrespondencewiththeGAC.

3.4OpenContractingOriginalrecommendation- 16)Whereverpossible,ICANN'scontractsshouldeitherbeproactivelydis-closedoravailableforrequestundertheDIDP.TheDIDPshouldallowICANNtowithholdinformationsubjecttoanon-disclosureagreement,howeversuchagreementsshouldonlybeenteredintowherethecontractingpartysatisfiesICANNthatithasalegitimatecommercialreasonforrequestingtheNDA,orwhereinformationcontainedthereinwouldbesubjecttootherexceptionswithintheDIDP(suchas,forexample,wherethecontractcontainsinformationwhosedisclosurewouldbeharmfultothesecurityandstabilityoftheInternet).


¤ 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

6.EndofPresentation

¡ ThankYou

¡ [email protected] whowillrespondordispatchtothepersonresponsible.

26. ccwgacctws2 update to the gac · 2018-07-23 · 1. current status ¤the ccwg-accountability ws2...

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