[gnso-vi-feb10] Notes on VI Draft Section 5.1

[Antony Van Couvering <avc@xxxxxxxxxxxxxxxxxxxx>]

Hi,

Here are some notes on the VI Draft Section 5.1 (compliance) -- I may have 
others later.

While I agree that there was general agreement that ICANN needs to enforce 
compliance with its contracts, I do not think that there was much discussion or 
agreement on the kitchen sink approach of the compliance drafting group.   
Section 5.1 contains numerous specific recommendations that were not fully 
aired (if at all) and for which no consensus exists, in my mind.  Some of the 
recommendations also presuppose the adoption of a specific model -- for 
instance, the idea of "Chinese Walls," which are irrelevant for either the free 
trade model, the DAGv4 recommendation or (possibly) the CAM model. 

Many of the recommendations, while they may be effective for compliance, are 
internal to the registry or registrar concerned.  I don't think that we are 
suggesting that ICANN would mandate any of the following (at least I hope we 
are not):

-- Senior Management Involvement/Commitment to Compliance – Senior Management 
must be accountable and responsible for violations; compliance should be a 
corporate value
-- Bottom-up compliance – training of employees is critical to establishing 
bottom-up compliance
-- Screening – active screening/sampling for potential problems [if this is 
meant as a recommendation within a company; I think it is highly problematic 
also if it's something that ICANN would undertake]
-- Internal reporting systems – opens a dialogue between management and 
employees
-- Documented Training along pre-established Training outlines
-- Remedial actions – corrective action; internal disciplinary action

If undertaken by ICANN, the following compliance recommendations/items would, I 
suspect, meet with some opposition:

-- Screening – active screening/sampling for potential problems
-- Chinese walls – effective Chinese walls designed to prevent sharing of 
sensitive registry data with ongoing verification tools

I would recommend removing lines 332 - 375.  

Antony