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Line 16: − − ==Complaints== − Complaints commonly handled by this office include unauthorized domain name transfers or unsuccessful − transfer requests; registry violations, such as providing more favorable treatment to some registrars; renewal reminders, fees, or redemption issues; and incorrect [[WHOIS]] data or access issues.<ref>[https://www.icann.org/en/system/files/files/contractual-compliance-complaint-31mar18-en.pdf Contractual Compliance Complaints]</ref> − ==Monitoring== − + Line 24:
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no edit summary
The history of ICANN's compliance enforcement runs parallel to the history of the organization's agreements with contracted parties: specifically, [[Registry Agreement|registry agreements]] and [[Registrar Accreditation Agreement|registrar accreditation agreements]] with registries and registrars, respectively. Contractual Compliance's role changed over time as those agreements were amended to include additional expectations, obligations, and mandates of contracted parties.
The history of ICANN's compliance enforcement runs parallel to the history of the organization's agreements with contracted parties: specifically, [[Registry Agreement|registry agreements]] and [[Registrar Accreditation Agreement|registrar accreditation agreements]] with registries and registrars, respectively. Contractual Compliance's role changed over time as those agreements were amended to include additional expectations, obligations, and mandates of contracted parties.
==Complaints==
Complaints commonly handled by this office include unauthorized domain name transfers or unsuccessful
transfer requests; registry violations, such as providing more favorable treatment to some registrars; renewal reminders, fees, or redemption issues; and incorrect [[WHOIS]] data or access issues.<ref>[https://www.icann.org/en/system/files/files/contractual-compliance-complaint-31mar18-en.pdf Contractual Compliance Complaints]</ref>
===Compliance Reports===
Periodic reporting of compliance performance was initiated by the department in July 2014.<ref name="perfstats">[https://features.icann.org/compliance/dashboard/report-list ICANN.org - Contractual Compliance Performance Reports], last visited December 2021</ref> The department also publishes annual reports of complaints, complaint processing, and formal resolutions of complaints.<ref name="perfstats" /> ICANN's Annual Report incorporates some of the contractual compliance information as well. In 2017, the department began assembling quarterly reports of activities and performance. Quarterly reporting was discontinued in 2019.<ref name="perfstats" />
Periodic reporting of compliance performance was initiated by the department in July 2014.<ref name="perfstats">[https://features.icann.org/compliance/dashboard/report-list ICANN.org - Contractual Compliance Performance Reports], last visited December 2021</ref> The department also publishes annual reports of complaints, complaint processing, and formal resolutions of complaints.<ref name="perfstats" /> ICANN's Annual Report incorporates some of the contractual compliance information as well. In 2017, the department began assembling quarterly reports of activities and performance. Quarterly reporting was discontinued in 2019.<ref name="perfstats" />
In addition, the percentage of complaints received that lacked evidence of noncompliance or fell outside of ICANN org's contractual scope increased. For example, many complainants believe that the registration data is "missing" from the public Registration Data Directory Service (or WHOIS service), privacy or proxy service data are redactions, or all non-European data should be displayed. While Contractual Compliance efforts to educate complainants on contractual requirements increased, the number of actual investigations into registrars' compliance with registration data accuracy obligations decreased.<ref name="gdpr" /></blockquote>
In addition, the percentage of complaints received that lacked evidence of noncompliance or fell outside of ICANN org's contractual scope increased. For example, many complainants believe that the registration data is "missing" from the public Registration Data Directory Service (or WHOIS service), privacy or proxy service data are redactions, or all non-European data should be displayed. While Contractual Compliance efforts to educate complainants on contractual requirements increased, the number of actual investigations into registrars' compliance with registration data accuracy obligations decreased.<ref name="gdpr" /></blockquote>
==Auditing==
==Auditing==
The Audit Program is a continuous, ongoing activity that follows a recurring cycle.<ref>[https://www.icann.org/resources/pages/audits-2012-02-25-en ICANN.org - Contractual Compliance Audit Program]</ref> Each audit round consists of six phases:<ref>[https://www.icann.org/en/system/files/files/audit-phases-timeline-01aug17-en.pdf Audit Phases, ICANN]</ref><br/>
The Audit Program is a continuous, ongoing activity that follows a recurring cycle.<ref>[https://www.icann.org/resources/pages/audits-2012-02-25-en ICANN.org - Contractual Compliance Audit Program]</ref> Each audit round consists of six phases:<ref name="phases">[https://www.icann.org/en/system/files/files/audit-phases-timeline-01aug17-en.pdf Audit Phases, ICANN]</ref><br/>
# Planning Phase: ICANN plans the audit scope and timeline.
# Planning Phase: ICANN plans the audit scope and timeline.
# Request for Information Phase: ICANN issues a notice of audit to the selected contracted parties, who must compile information and respond to the audit request.
# Request for Information Phase: ICANN issues a notice of audit to the selected contracted parties, who must compile information and respond to the audit request.
# Initial Report Phase: ICANN issues a confidential initial audit report to each auditee containing the initial findings and allowing the contracted party to address the findings or provide clarity.
# Initial Report Phase: ICANN issues a confidential initial audit report to each auditee containing the initial findings and allowing the contracted party to address the findings or provide clarity.
# Remediation Phase: ICANN collaborates with the auditees to remediate issues.
# Remediation Phase: ICANN collaborates with the auditees to remediate issues.
# Final Report Phase: ICANN issues a confidential final audit report to each auditee. ICANN also summarizes the audit round in an overall audit [https://www.icann.org/resources/pages/compliance-reports report]
# Final Report Phase: ICANN issues a confidential final audit report to each auditee. ICANN also summarizes the audit round in an overall audit report.<ref name="phases" />
===DNS Security Threat Audits===
===DNS Security Threat Audits===
In November 2018, ICANN Contractual Compliance (Compliance) launched a Registry Operator Audit for Addressing DNS Security Threats.<ref>[https://www.icann.org/en/blogs/details/contractual-compliance-addressing-domain-name-system-dns-infrastructure-abuse-8-11-2018-en ICANN.org Blog - Contractual Compliance Addressing DNS Infrastructure Abuse], November 8, 2018</ref> The audit was conducted over seven months, from November 2018 to June 2019.<ref>[https://www.icann.org/en/announcements/details/icann-publishes-registry-operator-audit-for-addressing-dns-security-threats-17-9-2019-en CC Audit of DNS Security Threats, ICANN Announcements]</ref> The report on the audit, released in September 2017, reported that of the 1207 TLDs reviewed during the audit, "approximately five percent (5%) of the audited ROs subject to Specification 11, Section 3(b) were not performing any security threat monitoring, despite having domains registered in their gTLDs."<ref name="19audit">[https://www.icann.org/en/system/files/files/contractual-compliance-registry-operator-audit-report-17sep19-en.pdf ICANN.org - Report on the RO Audit for Addressing DNS Security Threats], September 17, 2019 (PDF)</ref> The report noted that many of the non-complying registries had a limited number of registrations:
In November 2018, ICANN Contractual Compliance (Compliance) launched a Registry Operator Audit for Addressing DNS Security Threats.<ref>[https://www.icann.org/en/blogs/details/contractual-compliance-addressing-domain-name-system-dns-infrastructure-abuse-8-11-2018-en ICANN.org Blog - Contractual Compliance Addressing DNS Infrastructure Abuse], November 8, 2018</ref> The audit was conducted over seven months, from November 2018 to June 2019.<ref>[https://www.icann.org/en/announcements/details/icann-publishes-registry-operator-audit-for-addressing-dns-security-threats-17-9-2019-en CC Audit of DNS Security Threats, ICANN Announcements]</ref> The report on the audit, released in September 2017, reported that of the 1207 TLDs reviewed during the audit, "approximately five percent (5%) of the audited ROs subject to Specification 11, Section 3(b) were not performing any security threat monitoring, despite having domains registered in their gTLDs."<ref name="19audit">[https://www.icann.org/en/system/files/files/contractual-compliance-registry-operator-audit-report-17sep19-en.pdf ICANN.org - Report on the RO Audit for Addressing DNS Security Threats], September 17, 2019 (PDF)</ref> The report noted that many of the non-complying registries had a limited number of registrations: