Contractual Compliance Update ICANN 53 | 24 June 2015 Agenda - PowerPoint PPT Presentation

Contractual Compliance Update ICANN 53 | 24 June 2015

Agenda Update Since ICANN 52 ¤ Update related to Audit Activities ¤ Update related to Registrars & RAA Compliance e ff orts ¤ Update related to Registries & RA Compliance e ff orts ¤ Questions and Answers | 3

Update related to Audit Activities since ICANN 52

Audit Activities since ICANN 52 Three-Year Audit Program (last year of the program) ¤ Year-three Phase launched October 2014 and completed May 2015 ¤ 316 Registrars originally selected ¤ Five Registrars rolled over from Year-two ¤ Five “legacy” Registry Operators ¤ Two Registrars terminated due to inability to provide requested documentation ¤ Five Registrars terminated prior to the commencement of the audit ¤ The audit report will be published in July 2015 | 5

Year–3 Registrar Audit - Preliminary Result Per ercent entag age of e of 2009 R 2009 RAA AA 2013 R 2013 RAA AA 2013 R 2013 RAA Pr AA Provision Description ovision Description Registr gistrar ars with s with Provision Pr ovision Provision Pr ovision Sample Siz Sample Size: 124 R e: 124 Registr gistrar ars s deficiencies deficiencies Complianc Compliance with Consensus P e with Consensus Policies & T olicies & Tempor emporar ary P y Policies – olicies – 4.3.1 4.3.1 4.1 4.1 29% 29% TEAC TEA C 3.12 3.12 3.12 3.12 Reseller Agr eseller Agreement (mandat eement (mandator ory pr y provisions) ovisions) 26% 26% 5.11 5.11 7.6 7.6 Updat Update c e cont ontact inf act information in R ormation in RAD ADAR AR 23% 23% 3.3.1 t 3.3.1 to 3.3.5 o 3.3.5 3.3.1 t 3.3.1 to 3.3.5 o 3.3.5 Whois Whois – Int – Inter eractive Webp active Webpag age, Corr e, Corresponding Dat esponding Data Elements a Elements 16% 16% 3.16 3.16 3.17 3.17 Registr gistrar c ar cont ontact de act details on r ails on registr gistrar’ ar’s websit s website e 15% 15% Complianc Compliance with Consensus P e with Consensus Policies & T olicies & Tempor emporar ary P y Policies – olicies – 4.3.1 4.3.1 4.1 4.1 10% 10% ERRP ERRP 3.10 3.10 3.10 3.10 Insur Insuranc ance e 7% 7% Complianc Compliance with Consensus P e with Consensus Policies & T olicies & Tempor emporar ary P y Policies – olicies – 4.3.1 4.3.1 4.1 4.1 6% 6% WDRP WDRP 3.4.2 3.4.2 3.4.2 3.4.2 Retention of R ention of Registr gistration Dat ation Data a 4% 4% 3.4.2 3.4.2 3.4.2 3.4.2 Payments ayments 4% 4% EDDP – Domain name rene EDDP – Domain name r enewal, pr al, provision of applic ovision of applicable able 3.7.5.3 to 3.7.5.6 3.7.5.3 t o 3.7.5.6 3.7.5.3 t 3.7.5.3 to 3.7.5.6 o 3.7.5.6 2% 2% information t inf ormation to r o registr gistrants ants 4.3.1 4.3.1 4.1 4.1 Complianc Compliance with Consensus P e with Consensus Policies & T olicies & Tempor emporar ary P y Policies – IR olicies – IRTP TP 2% 2% | 6

Audit Activities since ICANN 52 New Registry Agreement Audit Program ¤ Launched another round in March 2015 ¤ 11 Registries selected ¤ Scheduled to complete July 2015 ¤ The audit report will be published in September 2015 What’s Next? ¤ Preparing for 2013 RAA and future rounds of the new RA audits ¤ Detailed slides are available in the Appendix Link to the ICANN Contractual Compliance Audit Page: https://www.icann.org/resources/pages/audits-2012-02-25-en | 7

Update related to Registrars & RAA Compliance e ff orts since ICANN 52

RAA Lessons Learned Summary & Guidelines Whois Accuracy Program Specification 1 Distinguishing between verification and validation Abuse Reports Requirements 2 Establishing investigative processes Domain Renewal Requirements 3 Sending timely reminders to registered name holder General UDRP Issue 4 Verifying with UDRP providers and preventing improper transfer Inter-Registrar Transfer 5 Using the correct Forms of Authorization (FOAs) | 9

1. Whois Inaccuracy Notices and WAPS ¤ ICANN looking for one of three results to Whois inaccuracy complaint: ¤ Whois updated within 15 days of notifying RNH – registrar provided documentation of validation of updates and verification (including a ff irmative response or manual verification) ¤ No response from RNH within 15 days of notifying RNH – domain suspended until registrar has verified information ¤ Whois verified as accurate (no change) within 15 days of notifying RNH – registrar provided documentation of verification ¤ ICANN may also request evidence of WAPS fulfillment under Section 1 | 10

2. Abuse Reports - ICANN Complaint Processing ¤ ICANN confirms that reporter sent abuse report to registrar abuse contact before sending complaint to registrar ¤ ICANN could request the: ¤ Steps taken to investigate and respond to abuse report ¤ Time taken to respond to abuse report ¤ Correspondence with complainant and registrant ¤ Link to website’s abuse contact email and handling procedure ¤ Location of dedicated abuse email and telephone for law-enforcement reports ¤ Whois abuse contacts, email and phone ¤ Examples of steps registrars took to investigate and respond to abuse reports: ¤ Contacting registrant ¤ Asking for and obtaining evidence or licenses ¤ Providing hosting provider info to complainant ¤ Performing Whois verification ¤ Performing transfer upon request of registrant ¤ Suspending domain | 11

2. Abuse Reports – Resolve Codes ¤ Abuse contact info published on registrar website ¤ Added required abuse information in Whois output ¤ Abuse report handling procedures published on registrar website ¤ Registrar suspended or canceled domain ¤ Registrar demonstrated that it maintained abuse records ¤ Registrar responded to abuse report (non-LEA), including: ¤ Communicating report to registrant ¤ Registrant provides copy of government license ¤ Reporter removed from email distribution list (spam complaint) ¤ Website content in complaint removed ¤ Registrar responded to LEA illegal activity reports ¤ Registrar documented valid non-action, including ¤ Registrar previously responded to complaint ¤ Invalid abuse complaint ¤ Registrar now monitoring abuse email address/phone ¤ Registrar showed email/phone already published | 12

Abuse Complaint Type & Top Closure Reasons (January – May 2015) Requested ¡ evidence ¡not ¡ provided ¡ 52.5% ¡ Invalid ¡TLD ¡ Abuse ¡ ¡ 15.3% ¡ Domain ¡ Duplicate ¡ suspended ¡or ¡ complaint ¡ canceled ¡ ¡ Responded ¡to ¡ (open) ¡ 8.5% ¡ abuse ¡report ¡ 11.9% ¡ (non-­‑LEA) ¡ 11.9% ¡ | 13

WHOIS ARS Background and Goals The WHOIS AR The WHOIS ARS Mandat S Mandate: e: ¤ The Board directed the CEO to establish a project to: Proactively identify inaccurate gTLD registration data, exploring the use of • automated tools Forward potentially inaccurate records to registrars for action • Publicly report on the resulting actions to encourage improvement • The WHOIS AR The WHOIS ARS Objective S Objective ¤ Systematically Report on Accuracy Extract from: Next Steps for WHOIS Accuracy (24 June 2015) | 14

Whois ARS Compliance Pilot Whois ARS Contractual Compliance Pilot Overview Go Goal of Complianc al of Compliance Pilot e Pilot: To test the proof of concept of using Whois ARS data to generate and forward - valid Whois inaccuracy and Whois format complaints to registrars Summar Summary of Events fr y of Events from Januar om January – April 2015: y – April 2015: Telephone and email inaccuracy reports sent to contractual compliance - Conducted Initial review and validation of the data and collaborated with the - Whois ARS ICANN and vendors Uploaded the data into the complaint processing system - Began processing complaints - Stopped processing to address data issues based on registrar feedback - Resumed complaint processing - Closed complaints in system if data was incomplete or did not meet the - contractual criteria | 15

Whois ARS Compliance Pilot Whois ARS Compliance Pilot Overview ¤ Complaint V Complaint Volume and out olume and outcome ome ¤ 10510 complaint tickets created ¤ 71 tickets sent to registrars ¤ 10439 closed before sending to Registrars (see below) ¤ Closur Closure R e Resolve Codes esolve Codes: ¤ Incomplete (9941) ¤ Domain not registered (337) ¤ Domain suspended or canceled (208) ¤ Complaint inconsistent with current Whois (12) ¤ Data changed (9) ¤ Registrar verified correct (8) Note: ¡some ¡complaints ¡are ¡closed ¡with ¡mul4ple ¡closure ¡codes; ¡total ¡will ¡not ¡equal ¡to ¡10510 ¡ | 16

Update related to Registries & RA Compliance e ff orts since ICANN 52

RA Lessons Learned Summary & Guidelines Abuse Contact Data 1 Required elements to be published Zone File Access Requirements (CZDS) 2 Reasons for denial of access Controlled Interruption (CI) 3 Complying with Name Collision Assessment Letter(s) Uniform Rapid Suspension (URS) 4 Complying with lock and suspension requirements List of Registered Domain Names (LORDN) 5 Clarifications on uploading LORDN files to the Trademark Database | 18