contractual compliance pam little stacy burnette khalil rasheed
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Contractual Compliance Pam Little Stacy Burnette Khalil Rasheed. Agenda. General Enforcement Actions Non-renewals/Terminations and Breach Notices Consumer Complaints Other Compliance Notices/Efforts Port 43 Monitoring, Findings and Follow-up Transfer Policy Audit and Follow-Up - PowerPoint PPT PresentationTRANSCRIPT
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Contractual CompliancePam Little
Stacy BurnetteKhalil Rasheed
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AgendaGeneral Enforcement Actions
Non-renewals/Terminations and Breach Notices Consumer ComplaintsOther Compliance Notices/Efforts
• Port 43 Monitoring, Findings and Follow-upTransfer Policy Audit and Follow-UpRegistrar Data Escrow Follow-UpMajor Initiatives
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Non-Renewals/Terminations and Breach NoticesJanuary 2011–March 2011
8 Escalated Compliance Actions:3 - Registrar Non-Renewals
1 - Registrar Termination
3 - Registrar Breach Notices
1 - Registry Breach Notice
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Transfer Problems; 1235
Whois; 113Registrar Service; 131UDRP; 61
Contact Update; 253
CCTLD; 71
Website Content; 95
DN Dispute; 248
Reseller Provider; 62Ownership Transfer; 29
Redemption; 13Name Password; 18
CPanel; 19Spam Abuse; 100
Domain Renewal; 120Financial Transaction; 19
GTLD; 40Inquiries [email protected]; 48
Inquiries ICANN Contact Form; 164
Consumer Complaint Analysis - December 2010 - February 2011Total Complaints - 2,839
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Transfer Complaints; 942
WDPRS; 196
WDPRS Inaccuracy; 203
Whois Service; 40
Miscell; 15 Financial; 3
IRTP audit; 8
RDE; 49
2,006 Compliance Notices Sent to Registrars December 2010 – March 2011
Wdprs 32
WDRP, 196
WDPRS Inaccu-racy; 203
Transfer Complaints; 1492
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Other Compliance Efforts• WDPRS Enhancements
• Invalid report message to reporters
• Automated action message• Automated compliance notices
• Whois Data Reminder Policy Audit Results• 99% participation rate• 92% were compliant with WDRP
notice form and content requirements
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When Did Port 43 Whois Access Monitoring Begin
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• 2009 - ICANN began developing code and an interface to monitor registrar access to Whois data
• September 2010 - ICANN began a routine review of registrar compliance with Whois port 43 access
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Why Monitor Port 43 Whois AccessSection 3.3 of the RAA http://www.icann.org/en/registrars/agreements.html
Affirmation of Commitments http://icann.org/en/documents/affirmation-of-commitments-30sep09-en.htm
GNSO Request in response to Recommendation by the RAPWG http://gnso.icann.org/meetings/minutes-council-03feb11-en.htm
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Port 43 Whois Access - Findings
• ICANN was able to access 73% of registrar Whois servers without obstruction
• 223 registrars share Whois
servers
• 99% compliance rate not including the shared server issue
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Port 43 Whois Access- Findings
115
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ISSUES ENCOUNTERED WITH WHOIS PORT 43 ACCESS
Non-Functioning Whois
Individual Rate-Limiting
Shared Server Rate-Limiting
Problematic Formatting
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Port 43 Whois Access – Follow-up Actions
REGISTRARS RESOLVED9
REGISTRARS TERMINATED
1
INDIVIDUAL ISSUES OF NON-FUNCTIONING PORT 43 WHOIS
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Port 43 Whois Access – Next Steps
Continue to monitor whether registrars provide public access to Whois data consistent with the contractual requirements
Automate and expand the monitoring program to include different IP addresses
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IRTP Audit FindingsGroup Group
DescriptionNumber
of Registrars Audited
Number of transfers/
complaints selected per
registrar
Number of registrars deemed
compliant
Number of
registrars deemed
non-compliant
Compliant registrars
by % in the Group
Compliant registrars
by % in the Group (May 2010
beta audit)
1 Losing 6 10 or actual 4 2 67% 50%
2 Gaining 5 10 or actual 3 2 60% 100%
3 Complaints by number
3 5 1 2 33% 50%
4 Complaints by ratio
5 5 3 2 60% 75%
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IRTP Compliance Rate –based on transactions audited 85/127
Compliant 67%
Non-compliant 33%
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IRTP Compliance Rate – based on registrars audited 11/19
15
Compliant 58%
Non-compliant42%
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Findings on Main Reasons for Non-Compliance
Wrongfully denying transfer requests - 2
Initiating transfers without FOAs - 2
Failure to provide Auth Code within 5 calendar days due to reseller issues - 3
Employ overly restrictive mechanisms for RNH to obtain Auth Code - 1
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59 Compliance RDE Notices November 2010 - February 2011
Registrars resolved after 1st inquiryRegistrars resolved after 2nd inquiryNote: Between Nov 2010 and Feb 2011, 5 out of 59 Registrars (8.4%) did not resolve after the 2nd inquiry / follow-up required.
813
7 20
7
11
2
November 2010_x000d_9
Registrars
December 2010_x000d_14
Registrars
January 2011_x000d_9
Registrars
February 2011_x000d_27
Registrars
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
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93 Compliance RDE Notices August - March 2011
Registrars resolved after 1st inquiryRegistrars resolved after 2nd inquiryNote: Between Aug 2010 and Feb 2011, 11 out of 93 Registrars (12%) did not resolve after the 2nd inquiry / follow-up required.
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50%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
3
1
10
4
8
11
7
20
13
7
2
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Major Initiatives•Compliance Readiness
• Finalizing new gTLD readiness plan• Continue to assess new gTLD
requirements and staff accordingly • Two new FTEs proposed in FY12 budget to
support compliance program• New position proposed in FY12 budget to
enhanced communications and outreach
•Structural/Operational Review• Underway to assess ways to enhance
effectiveness
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Questions
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Thank You