[council] Board resolutions - next steps for the EWG Final Report and FY16 special community requests

[Marika Konings <marika.konings@xxxxxxxxx>]

For your information, please find below the Board Resolution concerning next 
steps for the EWG Final Report on Next Generation Registration Directory 
Services which was adopted by the ICANN Board on 26 April.

Also, at the same meeting, the ICANN Board approved the GNSO Council Special 
Community Requests which have now been integrated into the core budget (see 
https://www.icann.org/en/system/files/files/community-requests-fy16-28apr15-en.docx).

Best regards,

Marika

https://www.icann.org/resources/board-material/resolutions-2015-04-26-en#1.f
Next Steps for the EWG Final Report on Next Generation Registration Directory 
Services

Whereas, in 2012, the Board 
adopted<https://features.icann.org/2012-11-08-whois-policy-review-team-report> 
a two-pronged approach to address the recommendations of the WHOIS Review Team, 
calling for ICANN to (i) continue to fully enforce existing consensus policy 
and contractual conditions relating to WHOIS, and (ii) create an expert working 
group to determine the fundamental purpose and objectives of collecting, 
maintaining and providing access to gTLD registration data, to serve as a 
foundation for a Board-initiated GNSO policy development process (PDP).

Whereas, in 2014, the Expert Working Group on Next Generation Registration 
Directory Services (EWG) delivered its Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB] to the Board with its recommended model and principles to serve 
as the foundation for the GNSO PDP.

Whereas, an informal group of Board members and GNSO Councilors collaborated 
and developed a proposed 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] to provide guidance to the GNSO PDP for the examination of the 
EWG's recommended models and principles for the next generation registration 
directory services to replace WHOIS.

Resolved (2015.04.26.09), the Board thanks the EWG for the significant effort 
and work exerted that produced the proposed model for a next generation 
registration directory services as reflected in its Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB].

Resolved (2015.04.26.10), the Board reaffirms its request for a Board-initiated 
GNSO policy development process to define the purpose of collecting, 
maintaining and providing access to gTLD registration data, and consider 
safeguards for protecting data, using the recommendations in the Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB] as an input to, and, if appropriate, as the foundation for a new 
gTLD policy;

Resolved (2015.04.26.11), the Board directs that a new Preliminary Issue Report 
that follows this 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] be prepared and delivered to the GNSO;

Resolved (2015.04.26.12), the Board commits to forming a group of Board members 
that will (i) liaise with the GNSO on the policy development process to examine 
the EWG's recommended model and propose policies to support the creation of the 
next generation registration directory services, and (ii) oversee the 
implementation of the remaining projects arising from the Action 
Plan<https://www.icann.org/en/about/aoc-review/whois/implementation-action-08nov12-en.pdf>
 [PDF, 119 KB] adopted by the Board in response to the WHOIS Review Team's 
recommendations. The Board directs the Board Governance Committee to begin the 
process for identifying a recommendation of a slate of Board members to do this 
work.

Rationale for Resolutions 2015.04.26.09-2015.04.26.12

Why the Board is addressing the issue?

This resolution continues the Board's attention to the implementation of the 
Action 
Plan<https://www.icann.org/en/about/aoc-review/whois/implementation-action-08nov12-en.pdf>
 [PDF, 119 KB] adopted by the Board in response to the WHOIS Review Team's 
recommendations<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf>
 [PDF, 5.12 MB]. The resolution adopted today adopts a 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] to conduct a board-initiated GNSO policy development process to 
refine the purpose of collecting, maintaining and providing access to gTLD 
registration data, and consider safeguards for protecting data, using the 
recommendations of the Expert Working Group's Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB] as an input to, if appropriate, to serve as the foundation for a 
new gTLD policy.

What is the proposal being considered?

Under the Affirmation of Commitments (AoC), ICANN is committed to enforcing its 
existing policy relating to WHOIS (subject to applicable laws), which "requires 
that ICANN implement measures to maintain timely, unrestricted and public 
access to accurate and complete WHOIS information…." The AoC obligates ICANN to 
organize no less frequently than every three years a community review of WHOIS 
policy and its implementation to assess the extent to which WHOIS policy is 
effective and its implementation meets the legitimate needs of law enforcement 
and promotes consumer trust. Under this timeline, the second WHOIS Review Team 
is to be convened in late 2015.

In 2012, in response to the recommendations of the first WHOIS Review Team, the 
Board adopted a two-prong approach that simultaneously directed ICANN to (1) 
implement improvements to the current WHOIS system based on the Action 
Plan<https://www.icann.org/en/about/aoc-review/whois/implementation-action-08nov12-en.pdf>
 [PDF, 119 KB] that was based on the recommendations of the WHOIS Review Team, 
and (2) launch a new effort, achieved through the creation of the Expert 
Working Group, to focus on the purpose and provision of gTLD directory 
services, to serve as the foundation of a Board-initiated GNSO policy 
development process (PDP).

The Expert Working Group's Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB] contains a proposed model and detailed principles to serve as 
the foundation for a PDP to support the creation of the next generation 
registration directory services to replace WHOIS.  This Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB] contains over 160 pages of complex principles and 
recommendations to be considered in the GNSO PDP. In order to effectively 
manage the PDP on such a large scale, an informal group of Board members and 
GNSO councilors collaborated to develop the 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] approved today.

What factors did the Board find to be significant?

The complex nature of the EWG's recommendations, along with the contentiousness 
nature of the WHOIS issue in the ICANN community over the last ten+ years, 
calls for a very structured approach to conducting a policy development process 
of this magnitude. The 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] provides guidance to the GNSO on how to best structure the 
resulting PDP(s) for success – that is, it proposes a process which leads to 
new policies defining the purpose of gTLD registration data and improving 
accuracy, privacy, and access to that data.

This 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] creates a 3-phased approach to conducting the PDP, with Phase 1 
focusing on definition of the policy requirements, Phase 2 focusing on the 
functional design elements of the policy, and Phase 3 focusing on 
implementation of the policies and providing guidance during an expected 
transition period during which the legacy WHOIS system and the next generation 
registration directory services may coexist and both operational at the same 
time. The Board believes that following the 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] will ensure that the PDP will properly address the many 
significant issues and interdependencies that require consideration in order to 
support the creation of the next generation registration directory services.

The Board recognizes that additional resources may be needed for the conduct of 
this unique policy development process. The Board commits to reviewing the 
GNSO's proposed plan and schedule, as well as Staff's assessment of the 
resources required to implement this proposed plan, and to supporting 
appropriate resourcing for the conduct of this PDP.

In addition, the Board believes that the importance of the WHOIS issue, along 
with the breadth and scope of the many WHOIS activities currently under way, 
support the need for a designated group of Board members dedicated to 
overseeing the entire WHOIS Program, including working with the community on 
the GNSO PDP, and any future transition to a next generation registration 
directory services that may emerge following the GNSO PDP.  Community members 
participating in the informal Board-GNSO Council effort to develop the 
framework for the PDP also requested the Board's continued involvement in this 
effort.

What significant materials did the Board review?

The Board reviewed the EWG Final 
Report<https://www.icann.org/en/system/files/files/final-report-06jun14-en.pdf> 
[PDF, 5.12 MB], the 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] developed through the informal collaboration between the Board 
and the GNSO Council, and the Briefing Papers submitted by Staff.

Are there fiscal impacts or ramifications on ICANN (strategic plan, operating 
plan, or budget)?

The initiation of focused work on WHOIS and the creation of policies to support 
the next generation of registration directory services are expected to have an 
impact on financial resources as the research and work progresses. Due to the 
expected complexity of this PDP, there is a potential that this PDP may have 
higher resource needs than other PDPs, though the full extent of those resource 
needs are not fully understood, particularly as to the scope of those resources 
in comparison to the resources proposed for allocation within the upcoming 
fiscal year for this effort. The Board commits to reviewing staff's assessment 
of resources for the conduct of this PDP (after there is a plan and schedule 
developed) with a view towards providing appropriate resourcing for the conduct 
of this PDP.

Are there any security, stability or resiliency issues relating to the DNS?

This action is not expected to have an immediate impact on the security, 
stability or resiliency of the DNS, though the outcomes of this work may result 
in positive impacts.

Is public comment required prior to Board action?

As this is a continuation of prior Board actions, public comment is not 
necessary prior to adoption.  A public comment period will be commenced, as 
required by the ICANN Bylaws, once the Preliminary Issue Report is published by 
Staff, thereby allowing the 
framework<https://community.icann.org/download/attachments/49359634/EWG-Process%20Group%20Final%20Framework%202-4-15.pdf?version=1&modificationDate=1428939851000&api=v2>
 [PDF, 612 KB] approved today to be adjusted as appropriate prior to delivery 
of the Final Issue Report to the GNSO.