Memorandum of Understanding Between
the U.S. Department of Commerce and the Internet Corporation for Assigned
Names and Numbers
Amendment
6
WHEREAS, the U.S. Government supports the
policy of privatizing the technical management of the Internet and its
underlying
domain name system (DNS) now performed by or on behalf of the U.S. Government
or by third parties under arrangements or agreements with the U.S. Government;
WHEREAS, the U.S. Government effects such
privatization by entering into agreement with and seeking international
support for a
not-for-profit corporation formed by private sector Internet stakeholders
to administer DNS policy;
WHEREAS, on November 25, 1998, the U.S.
Department of Commerce (Department) on behalf of the U.S. Government entered
into a Memorandum of Understanding (Agreement) with the Internet Corporation
for Assigned Names and Numbers (ICANN), a private sector, not-for-profit
corporation, for the purpose of the joint development of the mechanisms,
methods, and procedures necessary to effect the transition of DNS management
to the private sector;
WHEREAS, the Agreement contemplated that
the Parties would collaborate on the DNS Project, in which the Parties
would jointly
design, develop, and test the mechanisms, methods, and procedures to carry
out the following DNS management functions:
a. Establishment of policy for and direction of the allocation of IP
number blocks;
b. Oversight of the operation of the authoritative root server system;
c. Oversight of the policy for determining the circumstances under
which new top level domains would be added to the root system;
d. Coordination of the assignment of other Internet technical parameters
as needed to maintain universal connectivity on the Internet; and
e. Other activities necessary to coordinate the specified DNS management
functions, as agreed by the Parties;
WHEREAS, work to be performed under the
Agreement was intended to demonstrate that management responsibility for
the DNS
could be performed by ICANN;
WHEREAS, the Agreement has been amended
five times to refine the work to be performed and to extend the term of
the
Agreement, such term currently to expire on September 30, 2003;
WHEREAS, ICANN has made significant progress
over the past year towards achieving the tasks set forth in Amendment
5 of
the MOU, including refining its mission and restructuring its supporting
groups and advisory committees; implementing new
constituency driven policy-development processes; establishing a country
code Names Supporting Organization; establishing an at-large advisory
committee and regional at-large organizations; creating liaisons between
the Governmental Advisory Committee (GAC) and all ICANN supporting organizations
and advisory committees; establishing a new procedure for board nominations;
and restructuring staff under the leadership of a new Chief Executive
Officer (CEO) to respond to ICANN's technical policy, DNS management,
and financial responsibilities;
NOW THEREFORE, in recognition of ICANN's progress in achieving
the tasks and goals set forth in the Agreement and of its
on-going work on reforming its structure and operations as described in
the Eighth Status Report to the Department, dated August 1,
2003, the Parties hereby agree as follows:
I. The Department reaffirms its policy goal of privatizing
the technical management of the DNS in a manner that promotes stability
and
security, competition, coordination, and representation. Consistent with
this objective and in furtherance of the DNS Project, the Parties
agree to strike V.B. in its entirety and to substitute the following:
B. Department. The Department reaffirms its policy
goal of privatizing the technical management of the DNS in a manner
that promotes stability and security, competition, coordination, and
representation. Consistent with this objective and in furtherance of
the DNS Project, the Parties agree to strike V.B. in its entirety and
to substitute the following:
1. Provide expertise and advice on DNS management
functions.
2. Provide expertise and advice on methods and
administrative procedures for conducting open, public
proceedings concerning policies and procedures that address the technical
management of the DNS.
3. Identify with ICANN the necessary software,
databases, know-how, other equipment, and intellectual
property necessary to design, to develop, and to test methods and
procedures of the DNS Project.
4. Participate, as necessary, in the design, development,
and testing of the methods and procedures of the
DNS Project to ensure continuity, including coordination between ICANN
and VeriSign, Inc.
5. Collaborate with ICANN on operational procedures
for the root name server system, including formalization of
relationships under which root name servers throughout the world are
operated and continuing to promote best practices used by the root
system operators.
6. Continue to consult with the managers
of root name servers operated by the U.S. Government and with other
responsible United States Government agencies with respect to operational
and security matters of such root name servers and recommendations
for improvements in those matters.
7. Work collaboratively within ICANN's GAC
to encourage the creation of stable agreements between ICANN and
the organizations and entities operating country code Top Level Domains
(ccTLDs).
8. Work collaboratively within ICANN to
encourage the creation of stable agreements between ICANN and the
Regional Internet Registries (RIRs).
9. Consult with the international community
on aspects of the DNS Project.
10. Provide general oversight of activities
conducted pursuant to this Agreement.
11. Maintain oversight of the technical
management of the DNS functions currently performed either directly
by,
or subject to agreements with, the U.S. Government, until such time
as further agreement(s) are arranged as necessary for ICANN to undertake
management of specific DNS technical management functions.
12. Consult with foreign governments to
promote increased and more effective governmental participation in
the
GAC.
13. In conjunction with ICANN's efforts
to develop a corporate contingency plan as described in Section II.C.11
of this Amendment, work collaboratively with ICANN to ensure that
such plan reflects the international nature of the DNS.
14. Building on ICANN's recent efforts
to reexamine its mission, structure, and processes for their efficacy
and
appropriateness in light of the needs of the evolving DNS, collaborate
with ICANN to ensure that its corporate organizational documents optimally
support the policy goal of privatization of the technical management
of the DNS.
II. ICANN reaffirms its commitment to maintaining security
and stability in the technical management of the DNS, and to perform as
an
organization founded on the principles of competition, bottom up coordination,
and representation. Consistent with these objectives and
in furtherance of the DNS Project, the Parties agree to strike V.C. in
its entirety from Amendment 5 to the MOU and to substitute the
following:
C. ICANN. ICANN agrees to perform the following activities
and provide the following resources in support of
the DNS Project, in conformity with the ICANN Board-approved mission
and core values and in furtherance of its ongoing reform efforts:
1. Continue to provide expertise and advice on
private sector functions related to technical management of
the DNS.
2. Work collaboratively on a global and local level
to pursue formal legal agreements with the RIRs, and to
achieve stable relationships that allow them to continue their technical
work, while incorporating their policy-making activities into the
ICANN process.
3. Continue to develop, to test, and to implement
processes and procedures to improve transparency, efficiency,
and timeliness in the consideration and adoption of policies related
to technical management of the DNS. In conjunction with its efforts
in this regard, ICANN shall take into account the need to accommodate
innovation in the provision of DNS services.
4. Continue to develop, to test, and to implement
accountability mechanisms to address claims by members of the
Internet community that they have been adversely affected by decisions
in conflict with ICANN's by-laws, contractual obligations, or otherwise
treated unfairly in the context of ICANN processes.
5. Collaborate with the Department on operational
procedures for the root name server system, including
formalization of relationships under which root name servers throughout
the world are operated and continuing to promote best practices used
by the root system operators.
6. Continue to consult with the managers of root
name servers and other appropriate experts with respect to
operational and security matters relating to the secure and stable
operation of the domain name and numbering system in order to develop
and implement recommendations for improvements in those matters, including
ICANN's operation of the authoritative root, under appropriate terms
and conditions.
7. Continue its efforts to achieve stable agreements
with ccTLD operators that address, among other things,
issues affecting the stable and secure operation of the DNS, including:
delegation and redelegation of ccTLDs; allocation of global and local
policy-formulation responsibility; and the relationship between a
ccTLD operator and its relevant government or public authority. Such
efforts shall include activities to encourage greater dialogue between
ccTLD operators and their respective governmental authority.
8. Continue the process of implementing
new top level domains (TLDs), which process shall include consideration
and evaluation of:
a. The potential impact of new TLDs on
the Internet root server system and Internet stability;
b. The creation and implementation of
selection criteria for new and existing TLD registries, including
public explanation of the process, selection criteria, and the
rationale for selection decisions;
c. Potential consumer benefits/costs
associated with establishing a competitive environment for TLD
registries; and,
d. Recommendations from expert advisory
panels, bodies, agencies, or organizations regarding economic,
competition, trademark, and intellectual property issues.
Define and implement a predictable
strategy for selecting new TLDs using straightforward, transparent, and
objective procedures that preserve the stability of the Internet
(strategy development to be completed by September 30, 2004 and
implementation to commence by December 31, 2004).
9. Continue to develop, to test, and to
implement appropriate mechanisms that foster informed participation in
ICANN by the global Internet community, such as providing educational
services and fostering information sharing for constituents and
promoting best practices among industry segments.
10. Continue to assess the operation of
WHOIS databases and to implement measures to secure improved accuracy
of WHOIS data. In this regard,
a. ICANN shall publish a report no later
than March 31, 2004, and annually thereafter, providing statistical and
narrative information on community experiences with the InterNIC WHOIS
Data Problem Reports system. The report shall include statistics on
the number of WHOIS data inaccuracies reported to date, the number of
unique domain names with reported inaccuracies, and registrar handling
of the submitted reports. The narrative information shall include an
evaluation of the impact of the WHOIS Data Problem Reports system on
improved accuracy of WHOIS data.
b. ICANN shall publish a report no later
than November 30, 2004, and annually thereafter, providing statistical
and narrative information on the implementation of the ICANN WHOIS Data
Reminder Policy. The report shall include statistics on registrar
compliance with the policy and information obtained regarding results
of the implementation of the WHOIS Data Reminder Policy. The narrative
information shall include implementation status, information on
problems encountered, and an evaluation of the impact of the WHOIS Data
Reminder Policy on improved accuracy of WHOIS data.
11. By June 30, 2004, ICANN shall develop
a contingency plan to ensure continuity of operations in the event
the corporation incurs a severe disruption of operations, or the threat
thereof, by reason of its bankruptcy, corporate dissolution, a natural
disaster, or other financial, physical or operational event. In
conjunction with its efforts in this regard, ICANN shall work
collaboratively with the Department to ensure that such plan reflects
the international nature of the DNS.
12. Collaborate on other activities as
appropriate to fulfill the purpose of this Agreement, as agreed by the
Parties.
13. Building on ICANN's recent efforts to
reexamine its mission, structure, and processes for their efficacy and
appropriateness in light of the needs of the evolving DNS, collaborate
with the Department to ensure that ICANN's corporate organizational
documents optimally support the policy goal of privatization of the
technical management of the DNS (collaboration to be completed by March
31, 2004).
14. By December 31, 2003, develop a
strategic plan that sets forth ICANN's goals for securing long-term
sustainability of its critical domain name and numbering system
management responsibilities, including the necessary corporate structure
and financial and personnel resources to meet such responsibilities.
Such plan should address, among other areas, the following items, and
should include measurable objectives and milestones for achievement of
such objectives:
a. Conduct a review of corporate
administrative structure and personnel requirements, including
executive compensation and management succession plan (implementation
of any recommendations resulting from review to be completed by March
31, 2004);
b. Conduct a review of internal
mechanisms that promote and ensure Board of Directors, executive management, and
staff corporate responsibility (implementation of any recommendations
resulting from review to be completed by March 31, 2004);
c. Develop and implement a financial
strategy that explores options for securing more predictable and
sustainable sources of revenue (strategy development to be completed by
June 30, 2004 and implementation to commence by December 31, 2004);
d. Review and augment its corporate
compliance program, including its system for auditing material
contracts for compliance by all parties to such agreements
(implementation of any recommendations resulting from review to be
completed by June 30, 2004);
e. Develop a collaborative program with
private and intergovernmental parties to conduct outreach to
governments and local Internet communities in targeted regions,
including key constituencies (commence program operation by December 31,
2004);
f. Develop and implement an appropriate
and effective strategy for multi-lingual communications (commence
strategy implementation by December 31, 2004); and
g. Conduct review of system-wide efforts
to automate operational processes (implementation of any
recommendations resulting from review to be completed by June 30, 2005).
15. Provide a status report to the
Department on its progress towards the completion of its tasks under
this Agreement, including implementation of ICANN's strategic plan, on
or before five (5) business days following the end of each six-month
period that this Agreement is in effect.
III. Strike Section VII of the Agreement and
replace it, in its entirety, with:
A. In furtherance of the objective of
this Agreement, to support the completion of the transition of DNS
management to the private sector, the Department and ICANN will hold
regular meetings between senior Departmental officials and ICANN senior
management and leadership to assess progress.
B. This Agreement will become effective
upon signature of ICANN and the Department. This Agreement will
terminate on September 30, 2006. This Agreement may not be amended
except upon the mutual written agreement of the Parties. Either Party
may terminate this Agreement by providing one hundred twenty (120) days
written notice to the other Party. If this Agreement is terminated,
each Party shall be solely responsible for the payment of any expenses
it has incurred. This Agreement is subject to the availability of funds.
IV. Except as specifically modified by this Amendment 6, the terms
and conditions of the Agreement, as previously amended, remain
unchanged.
FOR THE NATIONAL TELECOMMUNICATIONS AND
INFORMATION ADMINISTRATION: |
FOR INTERNET CORPORATION FOR ASSIGNED NAMES
AND NUMBERS: |
/s/_______________________________
Name: Michael D. Gallagher
Title: Acting Assistant Secretary for Communications and Information
Date: September 16, 2003
|
/s/_______________________________
Name: Paul Twomey
Title: President and CEO
Date: September 16, 2003
|
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Page Updated
17-Sep-2003
©2002
The Internet Corporation for Assigned Names and Numbers.
All rights
reserved.
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