I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com; kstubbs@afilias.info; paul.rosenzweig@redbranchconsulting.com; marilynscade@hotmail.com; brett.schaefer@heritage.org; xavier.calvez@icann.org CC: cwg-stewardship@icann.org; accountability-cross-community@icann.org; icann-board@icann.org; executive-team@icann.org; commsteam@icann.org; community-finance@icann.org; finance-staff@icann.org From: sam@lanfranco.net Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org; 'CCWG-Accountability'; icann-board@icann.org; 'Executive Team'; 'COMMS Team'; community-finance@icann.org; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org; 'CCWG-Accountability' <accountability-cross-community@icann.org>; icann-board@icann.org; 'Executive Team' <executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org>; community-finance@icann.org; 'Finance Staff' <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/ From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com>; Schaefer, Brett <brett.schaefer@heritage.org>; Xavier J. Calvez <xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org; CCWG-Accountability <accountability-cross-community@icann.org>; icann-board@icann.org; Executive Team <executive-team@icann.org>; COMMS Team <commsteam@icann.org>; community-finance@icann.org; Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M From: psc@vlaw-dc.com To: Brett.Schaefer@heritage.org; xavier.calvez@icann.org Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org; accountability-cross-community@icann.org; icann-board@icann.org; executive-team@icann.org; commsteam@icann.org; community-finance@icann.org; finance-staff@icann.org Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org; CCWG-Accountability; icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org> Cc: "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org>, Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes... If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: Xavier Calvez <xavier.calvez@icann.org> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-... Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-...). You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-201.... Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes...). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org https://mm.icann.org/mailman/listinfo/accountability-cross-community _______________________________________________ community-finance mailing list community-finance@icann.org https://mm.icann.org/mailman/listinfo/community-finance _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org https://mm.icann.org/mailman/listinfo/accountability-cross-community -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca Skype: slanfranco blog: http://samlanfranco.blogspot.com Phone: +1 613-476-0429 cell: +1 416-816-2852

so excellent clarification, Sam. M Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: marilynscade@hotmail.com; psc@vlaw-dc.com; kstubbs@afilias.info; paul.rosenzweig@redbranchconsulting.com; brett.schaefer@heritage.org; xavier.calvez@icann.org CC: cwg-stewardship@icann.org; accountability-cross-community@icann.org; icann-board@icann.org; executive-team@icann.org; commsteam@icann.org; community-finance@icann.org; finance-staff@icann.org From: sam@lanfranco.net Date: Wed, 20 Jul 2016 17:41:40 -0400 @Marilyn, Just for clarification, I was NOT suggesting going beyond the important disclosure issue at hand. The reference to a gTLD was only in reference to me being overly cautious, and certainly not an effort to ignite another discussion stream. I apologize if that was not clear to all. Sam L. On 7/20/2016 5:27 PM, Marilyn Cade wrote: I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com; kstubbs@afilias.info; paul.rosenzweig@redbranchconsulting.com; marilynscade@hotmail.com; brett.schaefer@heritage.org; xavier.calvez@icann.org CC: cwg-stewardship@icann.org; accountability-cross-community@icann.org; icann-board@icann.org; executive-team@icann.org; commsteam@icann.org; community-finance@icann.org; finance-staff@icann.org From: sam@lanfranco.net Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org; 'CCWG-Accountability'; icann-board@icann.org; 'Executive Team'; 'COMMS Team'; community-finance@icann.org; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org; 'CCWG-Accountability' <accountability-cross-community@icann.org>; icann-board@icann.org; 'Executive Team' <executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org>; community-finance@icann.org; 'Finance Staff' <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/ From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com>; Schaefer, Brett <brett.schaefer@heritage.org>; Xavier J. Calvez <xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org; CCWG-Accountability <accountability-cross-community@icann.org>; icann-board@icann.org; Executive Team <executive-team@icann.org>; COMMS Team <commsteam@icann.org>; community-finance@icann.org; Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M From: psc@vlaw-dc.com To: Brett.Schaefer@heritage.org; xavier.calvez@icann.org Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org; accountability-cross-community@icann.org; icann-board@icann.org; executive-team@icann.org; commsteam@icann.org; community-finance@icann.org; finance-staff@icann.org Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org; CCWG-Accountability; icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org> Cc: "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org>, Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes... If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: Xavier Calvez <xavier.calvez@icann.org> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-... Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-...). You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-201.... Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org>, "community-finance@icann.org" <community-finance@icann.org>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, CCWG-Accountability <accountability-cross-community@icann.org> Cc: Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Finance Staff <finance-staff@icann.org> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes...). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org; cwg-stewardship@icann.org; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org https://mm.icann.org/mailman/listinfo/accountability-cross-community _______________________________________________ community-finance mailing list community-finance@icann.org https://mm.icann.org/mailman/listinfo/community-finance _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org https://mm.icann.org/mailman/listinfo/accountability-cross-community -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca Skype: slanfranco blog: http://samlanfranco.blogspot.com Phone: +1 613-476-0429 cell: +1 416-816-2852 -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca Skype: slanfranco blog: http://samlanfranco.blogspot.com Phone: +1 613-476-0429 cell: +1 416-816-2852

Xavier, Are you planning to answer the questions raised in this thread? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Zakir Syed [mailto:zakirbinrehman@yahoo.com] Sent: Friday, July 22, 2016 4:07 PM To: Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org; 'CCWG-Accountability'; icann-board@icann.org; 'Executive Team'; 'COMMS Team'; community-finance@icann.org; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not? Zakir ________________________________ From: Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>> To: Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org<mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org<mailto:commsteam@icann.org>>; "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org<mailto:finance-staff@icann.org>> Sent: Thursday, July 21, 2016 2:27 AM Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M ________________________________ Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>; kstubbs@afilias.info<mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com><mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com><mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org><mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org><mailto:xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org><mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org><mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org><mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org><mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com> O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com<http://www.redbranchconsulting.com/> My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/<http://redbranchconsulting.com/who-we-are/public-pgp-key/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M ________________________________ From: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. [cid:image001.png@01D1E680.EFF79E80] I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx<http://disclosures.house.gov/ld/ldsearch.aspx>. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf)<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>. You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en<https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en>. Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf<https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf> I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs<https://www.icann.org/resources/pages/iana-stewardship-project-costs> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ community-finance mailing list community-finance@icann.org<mailto:community-finance@icann.org> https://mm.icann.org/mailman/listinfo/community-finance<https://mm.icann.org/mailman/listinfo/community-finance> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca<mailto:Lanfran@Yorku.ca> Skype: slanfranco blog: http://samlanfranco.blogspot.com<http://samlanfranco.blogspot.com/> Phone: +1 613-476-0429 cell: +1 416-816-2852 _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Leon, Thanks, I just saw he was on medical leave in his out of office notice. Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: León Felipe Sánchez Ambía [mailto:leonfelipe@sanchez.mx] Sent: Monday, July 25, 2016 2:47 PM To: Schaefer, Brett Cc: Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Xavier J. Calvez; cwg-stewardship@icann.org; CCWG-Accountability; icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; Finance Staff Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, I believe Xavier is on medical leave as he will be having surgery. I don't have more details but I'm sure Xavier will come back to is with answers as soon as he recovers. Best regards, León El jul 25, 2016, a las 1:29 PM, Schaefer, Brett <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> escribió: Xavier, Are you planning to answer the questions raised in this thread? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Zakir Syed [mailto:zakirbinrehman@yahoo.com] Sent: Friday, July 22, 2016 4:07 PM To: Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not? Zakir ________________________________ From: Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>> To: Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org<mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org<mailto:commsteam@icann.org>>; "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org<mailto:finance-staff@icann.org>> Sent: Thursday, July 21, 2016 2:27 AM Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M ________________________________ Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>; kstubbs@afilias.info<mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com><mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com><mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org><mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org><mailto:xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org><mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org><mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org><mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org><mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com> O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com<http://www.redbranchconsulting.com/> My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/<http://redbranchconsulting.com/who-we-are/public-pgp-key/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M ________________________________ From: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. <image001.png> I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx<http://disclosures.house.gov/ld/ldsearch.aspx>. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf)<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>. You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en<https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en>. Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf<https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf> I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs<https://www.icann.org/resources/pages/iana-stewardship-project-costs> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ community-finance mailing list community-finance@icann.org<mailto:community-finance@icann.org> https://mm.icann.org/mailman/listinfo/community-finance<https://mm.icann.org/mailman/listinfo/community-finance> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca<mailto:Lanfran@Yorku.ca> Skype: slanfranco blog: http://samlanfranco.blogspot.com<http://samlanfranco.blogspot.com/> Phone: +1 613-476-0429 cell: +1 416-816-2852 _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Xavier, I hope you are back in the office and recovered. I believe you said you would be providing this information when you returned? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Monday, July 25, 2016 2:29 PM To: Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org; 'CCWG-Accountability'; icann-board@icann.org; 'Executive Team'; 'COMMS Team'; community-finance@icann.org; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you planning to answer the questions raised in this thread? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Zakir Syed [mailto:zakirbinrehman@yahoo.com] Sent: Friday, July 22, 2016 4:07 PM To: Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not? Zakir ________________________________ From: Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>> To: Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org<mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org<mailto:commsteam@icann.org>>; "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org<mailto:finance-staff@icann.org>> Sent: Thursday, July 21, 2016 2:27 AM Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M ________________________________ Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>; kstubbs@afilias.info<mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com><mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com><mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org><mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org><mailto:xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org><mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org><mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org><mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org><mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com> O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com<http://www.redbranchconsulting.com/> My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/<http://redbranchconsulting.com/who-we-are/public-pgp-key/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M ________________________________ From: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. [cid:image001.png@01D1ED8C.A2494450] I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx<http://disclosures.house.gov/ld/ldsearch.aspx>. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf)<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>. You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en<https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en>. Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf<https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf> I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs<https://www.icann.org/resources/pages/iana-stewardship-project-costs> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ community-finance mailing list community-finance@icann.org<mailto:community-finance@icann.org> https://mm.icann.org/mailman/listinfo/community-finance<https://mm.icann.org/mailman/listinfo/community-finance> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca<mailto:Lanfran@Yorku.ca> Skype: slanfranco blog: http://samlanfranco.blogspot.com<http://samlanfranco.blogspot.com/> Phone: +1 613-476-0429 cell: +1 416-816-2852 _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Thank you, I look forward to seeing the information. ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, August 03, 2016 2:40 PM To: Schaefer, Brett; Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig Cc: cwg-stewardship@icann.org; 'CCWG-Accountability'; icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following. I apologize for the delay in responding. I am close and hope to send an email response by the end of tomorrow, if not earlier. As you all know, we are working hard on the IANA stewardship transition implementation plan and have many critical deliverables with due dates every week, which consume a lot of our time. This is not to say that this topic is not fundamentally important, it is, but there are simply other urgent and important activities that we are attending to at the same time. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Wednesday, August 3, 2016 at 10:40 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, Zakir Syed <zakirbinrehman@yahoo.com<mailto:zakirbinrehman@yahoo.com>>, Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>>, Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>, Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>, Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>, Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I hope you are back in the office and recovered. I believe you said you would be providing this information when you returned? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Monday, July 25, 2016 2:29 PM To: Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you planning to answer the questions raised in this thread? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Zakir Syed [mailto:zakirbinrehman@yahoo.com] Sent: Friday, July 22, 2016 4:07 PM To: Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not? Zakir ________________________________ From: Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>> To: Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org<mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org<mailto:commsteam@icann.org>>; "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org<mailto:finance-staff@icann.org>> Sent: Thursday, July 21, 2016 2:27 AM Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M ________________________________ Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>; kstubbs@afilias.info<mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com><mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com><mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org><mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org><mailto:xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org><mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org><mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org><mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org><mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com> O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com<http://www.redbranchconsulting.com/> My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/<http://redbranchconsulting.com/who-we-are/public-pgp-key/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M ________________________________ From: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. [cid:image001.png@01D1ED95.69F35600] I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx<http://disclosures.house.gov/ld/ldsearch.aspx>. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf)<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>. You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en<https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en>. Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf<https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf> I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs<https://www.icann.org/resources/pages/iana-stewardship-project-costs> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ community-finance mailing list community-finance@icann.org<mailto:community-finance@icann.org> https://mm.icann.org/mailman/listinfo/community-finance<https://mm.icann.org/mailman/listinfo/community-finance> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca<mailto:Lanfran@Yorku.ca> Skype: slanfranco blog: http://samlanfranco.blogspot.com<http://samlanfranco.blogspot.com/> Phone: +1 613-476-0429 cell: +1 416-816-2852 _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

ICANN by its function is a public governance body, if it is a private body by its form and incorporation that is just an anomaly. All the discussions/ activities regarding the transition process etc are basically aimed at addressing this anomaly, in the practical ways possible. ICANN should therefore be subject to same level of transparency requirements as say the government of the US or of India is subject. Quoting 'standard commercial practices' cuts no ice. Government of India will not be able to give this response to a right to information query. More specifically, I would really want to know what exactly were all these vendors doing 'raising awareness about IANA transition' ( if I understand right, this excludes doing so with US government agencies, which would come under lobbying) . Were they focussing within the US or also outside? And on individuals or social groups? (I can tell that none of their outreach ever came to my notice at all). And of course what kind of money (out of taxes raised through control of DNS) got spent on this would be very important to know as well? parminder On Saturday 06 August 2016 02:22 AM, Xavier J. Calvez wrote:

All,

I have taken several days to review the various inputs and questions you have provided in this email chain, and have involved several ICANN staff members on this topic. Here is [finally!] a response.

While ICANN is required under law to report in its form 990 on the identity and amounts paid to its five highest paid independent contractors, we exceed this requirement by reporting on amounts paid to all contractors to which ICANN pays over US$1,000,000 within a fiscal year. See, for example, ICANN’s Form 990 for FY15, at https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf, pages 67-73. None of the vendors in the “Education/engagement” category reach the US$1,000,000 limit, therefore the issue of disclosure of the specific amounts of their work has not been triggered under ICANN’s expansive reporting practices. The reporting on lobbying expenditures, as has been previously discussed, is completed through ICANN’s Form 990 filing, as well as through the forms available at http://disclosures.house.gov/ld/ldsearch.aspx, which each identify both the specific issues covered in the lobbying activity as well as the House of the U.S. Congress or Federal Agency to which the activity was directed.

ICANN’s general vendor contracts (which are separate from the publicly available registry and registrar contracts) are commercial contracts containing commitments between two contracting entities. Many of these contracts contain confidentiality clauses, including those requested by vendors. This is normal throughout commercial contracting practice. For example, some vendors have propriety forms for their contracts that they do not want to release; some are subject to “MFN” clauses, which could require them to offer terms or services to other customers that are equal to more favorable clauses offered to other customers; some have confidential pricing schedules; some have propriety information included within the description of how they will deliver services; etc. ICANN’s ability to enter into these normal commercial contracts allows ICANN to obtain the best services needed at the best prices it can negotiate.

I hope this helps clarify the context under which confidentiality clauses may exist in ICANN’s contract, and that ICANN does not “require” confidentiality from the vendors, as some of you have inquired about.

ICANN has introduced an innovation into its contracting work in recent years: ICANN has imposed a requirement on all its contractors to fill out conflict of interest statements, which require both the contractor and ICANN to carefully consider the impact of other relationships as it may the work performed by ICANN. ICANN takes the issue of conflicts seriously, and expects its vendors to do the same. Most new contracts that ICANN enters into now contain such conflict of interest statements.

In light of the various questions or comments that arose from several of you, we have reviewed specifically the contracts with the vendors that are listed in the category of “Education/Engagement”, subject to Brett’s original request for information.

For the 7 contracts supporting the “education/engagement” services that ICANN has received, please find below the information that can be shared without challenging the contractual terms:

· Albright Stonebridge Group LLC – engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with stakeholders.

· Edelman·- public relations and communications support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition

· Interface Media – video content project in support of IANA Stewardship Transition

· Rice Hadley Gates LLC - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with stakeholders.

· Summit Strategies International LLC - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with US stakeholders.

· WBC Global - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with US stakeholders.

· Wiley Rein LLP: strategic advice on global Internet Governance issues in the context of the IANA Stewardship Transition.

ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors - either using ICANN templates or vendor supplied templates. The confidentiality provisions in these 7 contracts were in many instances vendor supplied forms and do not allow, either explicitly or implicitly, for ICANN to disclose publicly the value of the services rendered, or, in several cases, any information pertaining to the contract without mutual agreement. This is consistent with common business and procurement practices, notably for professional services where services and financial terms are highly customized to each customer and project and are viewed by the service providers as competitive information.

Regarding lobbying expenses disclosure, lobbying is a well-defined activity in the US, and ICANN complies with all defined disclosure requirements, which those of you who are lobbyists themselves know well. None of the groups above were engaged in lobbying on behalf of ICANN. Again, refer to the blog posted in October 2015 on this topic (which I had included in my previous answers to the recurring questions on lobbying) referenced below. In addition, Brett has shared below the information that is disclosed by the lobbying firms that ICANN has engaged, retrieved from the link I shared in my previous email.

ICANN does not have other lobbying activities, corresponding to the established definition of such activities.

https://www.icann.org/resources/pages/lobbying-disclosures-contributions-201...

Though this is not fully reflecting the approaches that some of you had suggested, I hope this is helpful. While there is not much else that can be done at this stage in these specific items, we are thankful for your input and comments on this topic, as this has been a helpful exchange to set directions on future ICANN transparency enhancements, whether as part of WS2 or otherwise.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org> *Date: *Wednesday, August 3, 2016 at 11:43 AM *To: *Xavier Calvez <xavier.calvez@icann.org>, Zakir Syed <zakirbinrehman@yahoo.com>, Marilyn Cade <marilynscade@hotmail.com>, Sam Lanfranco <sam@lanfranco.net>, Phil Corwin <psc@vlaw-dc.com>, Ken Stubbs <kstubbs@afilias.info>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com> *Cc: *"cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, 'CCWG-Accountability' <accountability-cross-community@icann.org>, "icann-board@icann.org" <icann-board@icann.org>, Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "community-finance@icann.org" <community-finance@icann.org>, Finance Staff <finance-staff@icann.org> *Subject: *RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Thank you, I look forward to seeing the information.

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*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Wednesday, August 03, 2016 2:40 PM *To:* Schaefer, Brett; Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig *Cc:* cwg-stewardship@icann.org; 'CCWG-Accountability'; icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Brett,

Thank you for following. I apologize for the delay in responding. I am close and hope to send an email response by the end of tomorrow, if not earlier. As you all know, we are working hard on the IANA stewardship transition implementation plan and have many critical deliverables with due dates every week, which consume a lot of our time.

This is not to say that this topic is not fundamentally important, it is, but there are simply other urgent and important activities that we are attending to at the same time.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Wednesday, August 3, 2016 at 10:40 AM *To: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>>, Zakir Syed <zakirbinrehman@yahoo.com <mailto:zakirbinrehman@yahoo.com>>, Marilyn Cade <marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>>, Sam Lanfranco <sam@lanfranco.net <mailto:sam@lanfranco.net>>, Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>, Ken Stubbs <kstubbs@afilias.info <mailto:kstubbs@afilias.info>>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>>, Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc: *"cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, 'CCWG-Accountability' <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

I hope you are back in the office and recovered. I believe you said you would be providing this information when you returned?

Thanks,

Brett

------------------------------------------------------------------------

*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Schaefer, Brett *Sent:* Monday, July 25, 2016 2:29 PM *To:* Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; 'Xavier J. Calvez' *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Are you planning to answer the questions raised in this thread?

Thanks,

Brett

------------------------------------------------------------------------

*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Zakir Syed [mailto:zakirbinrehman@yahoo.com] *Sent:* Friday, July 22, 2016 4:07 PM *To:* Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not?

Zakir

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*From:*Marilyn Cade <marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>> *To:* Sam Lanfranco <sam@lanfranco.net <mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info <mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org <mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc:* "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org <mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org <mailto:commsteam@icann.org>>; "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Sent:* Thursday, July 21, 2016 2:27 AM *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc.

So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion.

All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures.

As I like to say: Facts are our friends.

Of course, some issues have to be kept confidential.

Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World].

I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'.

Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard.

Will help us all.

M

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Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>; kstubbs@afilias.info <mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org <mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org <mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>; icann-board@icann.org <mailto:icann-board@icann.org>; executive-team@icann.org <mailto:executive-team@icann.org>; commsteam@icann.org <mailto:commsteam@icann.org>; community-finance@icann.org <mailto:community-finance@icann.org>; finance-staff@icann.org <mailto:finance-staff@icann.org> From: sam@lanfranco.net <mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400

As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do.

Sam Lanfranco, NPOC/CSIH

On 7/20/2016 12:06 PM, Phil Corwin wrote:

If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it?

*Philip S. Corwin, Founding Principal*

*Virtualaw LLC*

*1155 F Street, NW*

*Suite 1050*

*Washington, DC 20004*

*202-559-8597/Direct*

*202-559-8750/Fax*

*202-255-6172/Cell*

* *

*Twitter: @VlawDC*

*/"Luck is the residue of design" -- Branch Rickey/*

*From:*Ken Stubbs [mailto:kstubbs@afilias.info] *Sent:* Wednesday, July 20, 2016 11:37 AM *To:* Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here

Ken Stubbs

On 7/20/16 10:32, Lori Schulman wrote:

I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990.

Lori

Lori S. Schulman

Senior Director, Internet Policy

*International Trademark Association (INTA)*

+1-202-704-0408, Skype: lsschulman

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Paul Rosenzweig *Sent:* Wednesday, July 20, 2016 10:16 AM *To:* 'Marilyn Cade' <marilynscade@hotmail.com> <mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com> <mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org> <mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org> <mailto:xavier.calvez@icann.org> *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org> <mailto:accountability-cross-community@icann.org>; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org> <mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org> <mailto:commsteam@icann.org>; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org> <mailto:finance-staff@icann.org> *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect.

Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid.

Xavier – can you tell us what the rationale is? I may be missing something …..

Thanks

Paul

Paul Rosenzweig

paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>

O: +1 (202) 547-0660

M: +1 (202) 329-9650

VOIP: +1 (202) 738-1739

www.redbranchconsulting.com <http://www.redbranchconsulting.com/>

My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Marilyn Cade *Sent:* Wednesday, July 20, 2016 9:05 AM *To:* Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org <mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>; icann-board@icann.org <mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>; community-finance@icann.org <mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I support Phil's clarifying explanation.

I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC.

Or advising governments.

In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN.

And I would expect ICANN to disqualify such entities as their consultants.

Thanks, Phil, for this useful clarification.

M

------------------------------------------------------------------------

From: psc@vlaw-dc.com <mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org <mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>; icann-board@icann.org <mailto:icann-board@icann.org>; executive-team@icann.org <mailto:executive-team@icann.org>; commsteam@icann.org <mailto:commsteam@icann.org>; community-finance@icann.org <mailto:community-finance@icann.org>; finance-staff@icann.org <mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate.

It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract).

At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting.

*Philip S. Corwin, Founding Principal*

*Virtualaw LLC*

*1155 F Street, NW*

*Suite 1050*

*Washington, DC 20004*

*202-559-8597/Direct*

*202-559-8750/Fax*

*202-255-6172/Cell*

* *

*Twitter: @VlawDC*

*/"Luck is the residue of design" -- Branch Rickey/*

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Schaefer, Brett *Sent:* Tuesday, July 19, 2016 1:04 PM *To:* Xavier J. Calvez *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org <mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org <mailto:community-finance@icann.org>; Finance Staff *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors?

Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees?

Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress.

I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US?

Thank you,

Brett

------------------------------------------------------------------------

*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Monday, July 18, 2016 6:30 PM *To:* Schaefer, Brett *Cc:* community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Brett,

Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category.

With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged.

Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx.

I hope this helps and clarifies.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Thursday, July 14, 2016 at 7:07 AM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc: *"community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.).

Thank you,

Brett

On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> wrote:

Dear Brett,

In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category.

This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you.

https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes...

If this not addressing your question, please let me know.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

------------------------------------------------------------------------

*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Date: *Tuesday, July 12, 2016 at 9:45 AM *To: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Brett,

Thank you for following up.

I will make sure to respond no later than the end of this week.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Tuesday, July 12, 2016 at 11:38 AM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided?

Thanks,

Brett

------------------------------------------------------------------------

*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Schaefer, Brett *Sent:* Wednesday, June 22, 2016 2:39 PM *To:* 'Xavier J. Calvez'; community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability *Cc:* Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document.

However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around.

Could you provide that information?

Thanks,

Brett

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Wednesday, June 22, 2016 10:43 AM *To:* Schaefer, Brett; community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability *Cc:* Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear all,

It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead.

https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-...

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Date: *Wednesday, June 22, 2016 at 1:01 PM *To: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear Brett,

Thank you for your interest and question.

We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information).

We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: _https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-...) <https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>_.

You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities.

_https://www.icann.org/resources/pages/lobbying-disclosures-contributions-201...

Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link):

https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf

I hope this helps. Please let me know if you have further questions.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Tuesday, June 21, 2016 at 9:54 PM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes...). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it.

Much appreciated,

Brett

------------------------------------------------------------------------

*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Xavier J. Calvez *Sent:* Saturday, June 18, 2016 12:10 AM *To:* community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability *Cc:* Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear all,

You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period.

_https://www.icann.org/resources/pages/iana-stewardship-project-costs_

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

<iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>

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On Aug 8, 2016, at 3:45 AM, parminder <parminder@itforchange.net> wrote:

ICANN by its function is a public governance body, if it is a private body by its form and incorporation that is just an anomaly. All the discussions/ activities regarding the transition process etc are basically aimed at addressing this anomaly, in the practical ways possible. ICANN should therefore be subject to same level of transparency requirements as say the government of the US or of India is subject. Quoting 'standard commercial practices' cuts no ice. Government of India will not be able to give this response to a right to information query. ...

Parminder - ICANN by its function is not a "public governance body” - it is actually a coordination body that supports the stable and secure operation of the Internet’s various identifier systems. This does not in any way impinge on your main point: i.e. that ICANN should operate under very high transparency requirements – only that it should do so because such transparency was a basic tenet of its establishment and remains so to this day. Thanks! /John p.s. my views alone (and perhaps that of the ICANN bylaws, to some extent…)

On Aug 11, 2016, at 7:35 AM, parminder <parminder@itforchange.net> wrote:

On Monday 08 August 2016 04:26 PM, John Curran wrote:

...

snip Parminder -

ICANN by its function is not a "public governance body” - it is actually a coordination body that supports the stable and secure operation of the Internet’s various identifier systems.

Thanks for your response John. I dont see why the latter (Internet identifier coordination) cannot be or isnt a subset of the former (public governance) . More specifically, I dont see how, for instance, allocation of a generic language term, of immense cultural value, .book, as privately owned gTLD to Amazon, in complete violation of the spirit of trademark laws, is not a public governance or public policy issue.

OECD defines Public governance <http://www.policy-community.eu/results/glossary/public-governance>as ""the formal and informal arrangements that determine how public decisions are made and how public actions are carried out, from the perspective of maintaining a country’s constitutional values in the face of changing problems, actors and environments" . (You may just have to change from 'country's' to the 'world's' to talk about a global public governance function.) Are ICANN decisions and actions not public decisions and public actions?

ICANN and its community undertake decisions that affect those who make use of the Internet identifiers in question. There are still a billion plus people on the planet who do not do so, and ICANN has no ‘governance’ function with respect to them, yet your use of the “public governance body” would lead many to assume otherwise (due to the traditional role of public authorities in public governance) While I recognize that the use of the Internet is pervasive, it is not clear that one can equate its coordination with “public governance”, as the latter term is heavily overloaded with meaning from its usage in authoritarian decision making structures, both within individual states and on a multilateral basis.

I dont see how the most important and contested functions of ICANN are of not a public governance nature. If it is were only doing some technical management, maybe 30 people sitting is a small office somewhere could have achieved it rather well, rather than this whole big juggernaut that we know ICANN to be.

It’s certainly a coordination function, but again, your use of the term “public governance” is readily misunderstood for more classical modes of governance. While you cite the OECD, it’s equally easy to find definitions of “public governance” such as this - "What is public governance? - Public Governance is about the exercise of public authority by state governments aimed at generating rules and regulations and delivering services to a community of citizens.” (Basel Institute on Public Governance, <https://www.baselgovernance.org/theme/public_governance <https://www.baselgovernance.org/theme/public_governance>>)

Also note that ICANN's charter speaks about its raison d'tre to be of 'lessening the burdens of government ' which clearly makes its work to be of public governance (and its implementation) nature. ((I know this term is used specifically to claim tax exemptions, but I am sure this cannot be a false claim.)

You cannot equate “lessening the burdens of government” with actual performance of governance - it may be the case, but is not clearly and inevitably so. If that logic were true, then “The United Nations lessons the need for warfare” would equate to “The work of the United Nations is clearly warfare…”

...

This does not in any way impinge on your main point: i.e. that ICANN should operate under very high transparency requirements – only that it should do so because such transparency was a basic tenet of its establishment and remains so to this day.

So, if I paraphrase and extrapolate rightly, you are saying that ICANN is just whatever it says it is, and that is it.

For purposes of this group’s WS2 activities,I believe that ICANN is public benefit corporation which helps ensure the stable and secure operation of the Internet’s unique identifier systems via specific coordination activities. If you see some other framework into which ICANN belongs, it would be best to elucidate on that point and make sure that the ICANN community believes the same.

… No external cannons of public propriety - like transparency, accountability, etc can be applied to it. It is sui generis and sovereign in its constitution.

I do believe defining its transparency and accountability structures are inherent to the activities of this working group. That does not preclude having additional standards of transparency and accountability applied to its activities, only that the authority for any additional standards is not readily apparent (unlike the legitimacy of structures that the ICANN community defines for such purposes.) Thanks, /John Disclaimer: my views alone.

On Aug 14, 2016, at 12:30 PM, parminder <parminder@itforchange.net> wrote:

On Friday 12 August 2016 12:11 AM, John Curran wrote:

...

snip

ICANN and its community undertake decisions that affect those who make use of the Internet identifiers in question. There are still a billion plus people on the planet who do not do so, and ICANN has no ‘governance’ function with respect to them, yet your use of the “public governance body” would lead many to assume otherwise (due to the traditional role of public authorities in public governance)

More people do not use cars, or guns, or ...... the list is endless. Does not mean that rules around them are not to be considered issues of 'public governance' just for that reason. The Internet today impacts practically everyone, whether one uses it or not. Just as laws of international trade effects everyone, whether one is directly carrying out trade or not.. Excuse me to say it, but this is a very weak argument.

Ah, you’ve transition now into actual laws, and I do agree that such is the realm of public governance. Note that it is also the case that laws are made by governments – something that ICANN is not. Thanks, /John disclaimer: my views alone.

I hesitate to get involved in this debate, it feels like the same arguments are made over and over. Maybe it's time to have a longer discussion at one of our meetings about this topic. Anyhow, briefly, the Antigua/Barbuda Online Gambling case has very little to do with ICANN being an US based regulator but more with a General Agreement on Trade in Services (WTO) case pending between US and Antigua/Barbuda. It's one of those not very rational cases that will continue to impact the Internet gambling environments. Even if ICANN would not be based in the US, the organization still would have to warn applicants. It's an interesting case and might guide our discussion about this topic in interesting ways, for those of you who are WTO junkies like I am, here's the link: WTO | dispute settlement - the disputes - DS285 <https://www.google.be/url?sa=t&rct=j&q=&esrc=s&source=web&cd=1&cad=rja&uact=...> On Sun, Aug 14, 2016 at 7:10 PM, parminder <parminder@itforchange.net> wrote:

On Sunday 14 August 2016 10:06 PM, John Curran wrote:

...

snip

...

More people do not use cars, or guns, or ...... the list is endless. Does not mean that rules around them are not to be considered issues of 'public governance' just for that reason. The Internet today impacts practically everyone, whether one uses it or not. Just as laws of international trade effects everyone, whether one is directly carrying out trade or not.. Excuse me to say it, but this is a very weak argument. Ah, you’ve transition now into actual laws, and I do agree that such is the realm of public governance. Note that it is also the case that laws are made by governments – something that ICANN is not.

ICANN makes considerable number of important laws of our online existence. It, for instance, tells me that I cannot register the domain name cocacola.biz even if it be yet unregistered ... It tells a betting company in Antigua not to risk a gTLD in its name bec betting is illegal in the US and its online business conducted under such a gTLD can suddenly be brought down any day (bec ICANN insists of staying subject to the US jurisdiction) .... A thousand such examples can be cited of laws that ICANN makes and enforces with regard to our online existence. Just by not calling them laws it does not make them not laws.. BTW, ICANN does call them policies, and enforceable policies are laws... That thing about if it quacks like a duck.....

As I said in the last email, hidden powers are to be feared even more than the declared ones....

parminder

...

Thanks, /John

disclaimer: my views alone.

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On 15-Aug-16 06:43, parminder wrote:

I just said that an Antigua based betting company will be ill-advised to try to take up a closed gTLD in its name and conduct its business under it, because it is liable to be seized whenever US authorities want to do so (by their jurisdiction control over ICANN) . Same is true of a drug company, say from India, planning global e-com trade of generic drugs. It will also be ill-advised to risk a closed gTLD in its name to do such global business, for the same reason.

I thought that this has to do with the jurisdiction of the registry and the rregistrar itself. And while it may cause concern because there are not as many registries and registrars in non US jurisdictions, there are some and could be more in time. It may also mean that greater efforts should be taken to inform people of the jurisdiction their registration is under and whose laws they are subject to, but I do not see how the location of ICANN main office or place of incorproation affects this issue. In any case aren't the issues relatiing to the jurisdiction of registries and registrars among the ones being discussed in the Juris sub group? But the conversation has been quite far ranging so could well be missing the point of the disagreement. avri --- This email has been checked for viruses by Avast antivirus software. https://www.avast.com/antivirus

Kavouss, Thank you for re-raising this issue, which appears to have been lost. Xavier, I also asked for additional clarifications that, I think, need to be answered to inform he work of the Transparency Working Group in WS2. Specifically, in your response, you said that “ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors” and that they prevent ICANN from publicly disclosing further details than those provided in your e-mail. * Would this confidentiality obligation prevent disclosure through the DIDP process? * Would this confidentiality obligation prevent individual Directors from obtaining this information through their Right of Inspection? * Would this confidentiality obligation prevent an individual Decisional Participant from obtaining this information if they requested it under their Right of Inspection of ICANN accounting books and records pursuant to the provisions of Section 6333 of the CCC? * Would this confidentiality obligation prevent the Empowered Community from obtaining the information through its right to launch a third-party, independent investigation if three Decisional Participants determine that there is a credible allegation that ICANN has committed fraud or that there has been a gross mismanagement of ICANN’s resources? Finally, I did not see where you clarified whether ICANN engaged vendors to perform similar tasks – “lobbying” or educational/engagement – that may not have been captured by the Congressional database, such as at the state level in the U.S. (particularly California), the U.S. Executive Branch, or in non-US countries. Best, Brett From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Kavouss Arasteh Sent: Monday, August 15, 2016 10:36 AM To: Xavier J. Calvez Cc: accountability-cross-community@icann.org Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Xavier I have sent you the following question to which I have not received any reply Perhaps you have been very busy and overlooked my questions I still awaiting for clarifications Regards KAVOUSS Copy of questions raised many weeks ago Dear Xavier Thank you for all info. Pls clarify the following 1.What is prfessional advice :;this advice is given to whom ,on what subject and why is needed 2. what is lobbing here. who lobbies for whom and on what and the need for such lobbies 3 Who checks and confirm the legal costs by three legal entities, who decide that there was a need for such legal advice and who checks and control ther tme spent..Many of these advice were repeatation of previous adfvices and just cut and p[aste from one advice to others .Please review all advices given from the begining of 2015 till now We neeed all these detailed info . Regards Kavouss 2016-08-15 16:25 GMT+02:00 avri doria <avri@apc.org<mailto:avri@apc.org>>: On 15-Aug-16 06:43, parminder wrote:

I just said that an Antigua based betting company will be ill-advised to try to take up a closed gTLD in its name and conduct its business under it, because it is liable to be seized whenever US authorities want to do so (by their jurisdiction control over ICANN) . Same is true of a drug company, say from India, planning global e-com trade of generic drugs. It will also be ill-advised to risk a closed gTLD in its name to do such global business, for the same reason.

I thought that this has to do with the jurisdiction of the registry and the rregistrar itself. And while it may cause concern because there are not as many registries and registrars in non US jurisdictions, there are some and could be more in time. It may also mean that greater efforts should be taken to inform people of the jurisdiction their registration is under and whose laws they are subject to, but I do not see how the location of ICANN main office or place of incorproation affects this issue. In any case aren't the issues relatiing to the jurisdiction of registries and registrars among the ones being discussed in the Juris sub group? But the conversation has been quite far ranging so could well be missing the point of the disagreement. avri --- This email has been checked for viruses by Avast antivirus software. https://www.avast.com/antivirus<https://www.avast.com/antivirus> ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Dear All We do not need to redraft or interprets the Bylaws Regards Kavousd Sent from my iPhone

On 16 Aug 2016, at 15:43, parminder <parminder@itforchange.net> wrote:

To these important posers I may add, is ICANN considering making it clear to the vendors at the contracting stage itself that it has strong transparency obligations and would be bound by them (as governments typically do, which is why this discussion went into whether ICANN's functions are of a 'public governance' nature). parminder

...

On Monday 15 August 2016 08:38 PM, Schaefer, Brett wrote: Kavouss,

Thank you for re-raising this issue, which appears to have been lost.

Xavier, I also asked for additional clarifications that, I think, need to be answered to inform he work of the Transparency Working Group in WS2. Specifically, in your response, you said that “ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors” and that they prevent ICANN from publicly disclosing further details than those provided in your e-mail.

Would this confidentiality obligation prevent disclosure through the DIDP process?

Would this confidentiality obligation prevent individual Directors from obtaining this information through their Right of Inspection?

Would this confidentiality obligation prevent an individual Decisional Participant from obtaining this information if they requested it under their Right of Inspection of ICANN accounting books and records pursuant to the provisions of Section 6333 of the CCC?

Would this confidentiality obligation prevent the Empowered Community from obtaining the information through its right to launch a third-party, independent investigation if three Decisional Participants determine that there is a credible allegation that ICANN has committed fraud or that there has been a gross mismanagement of ICANN’s resources?

Finally, I did not see where you clarified whether ICANN engaged vendors to perform similar tasks – “lobbying” or educational/engagement – that may not have been captured by the Congressional database, such as at the state level in the U.S. (particularly California), the U.S. Executive Branch, or in non-US countries.

Best,

Brett

From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Kavouss Arasteh Sent: Monday, August 15, 2016 10:36 AM To: Xavier J. Calvez Cc: accountability-cross-community@icann.org Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear Xavier I have sent you the following question to which I have not received any reply Perhaps you have been very busy and overlooked my questions I still awaiting for clarifications Regards KAVOUSS Copy of questions raised many weeks ago Dear Xavier Thank you for all info. Pls clarify the following 1.What is prfessional advice :;this advice is given to whom ,on what subject and why is needed 2. what is lobbing here. who lobbies for whom and on what and the need for such lobbies 3 Who checks and confirm the legal costs by three legal entities, who decide that there was a need for such legal advice and who checks and control ther tme spent..Many of these advice were repeatation of previous adfvices and just cut and p[aste from one advice to others .Please review all advices given from the begining of 2015 till now We neeed all these detailed info . Regards Kavouss

2016-08-15 16:25 GMT+02:00 avri doria <avri@apc.org>:

On 15-Aug-16 06:43, parminder wrote:

...

I just said that an Antigua based betting company will be ill-advised to try to take up a closed gTLD in its name and conduct its business under it, because it is liable to be seized whenever US authorities want to do so (by their jurisdiction control over ICANN) . Same is true of a drug company, say from India, planning global e-com trade of generic drugs. It will also be ill-advised to risk a closed gTLD in its name to do such global business, for the same reason.

I thought that this has to do with the jurisdiction of the registry and the rregistrar itself. And while it may cause concern because there are not as many registries and registrars in non US jurisdictions, there are some and could be more in time. It may also mean that greater efforts should be taken to inform people of the jurisdiction their registration is under and whose laws they are subject to, but I do not see how the location of ICANN main office or place of incorproation affects this issue.

In any case aren't the issues relatiing to the jurisdiction of registries and registrars among the ones being discussed in the Juris sub group?

But the conversation has been quite far ranging so could well be missing the point of the disagreement.

avri

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Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org https://mm.icann.org/mailman/listinfo/accountability-cross-community

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Hi, I did not think that WS2 was prevented from suggesting future bylaws changes. It is just that they would have a difficult hurdle on their way to adoption. Especially the fundamental ones. But I do agree that in short term it is not likely. avri On 16-Aug-16 10:10, Arasteh wrote:

Dear all Whatever we agree or add or subtract would not change ICANN Mission and functions as stated in Bylaws that we did spend days and days Regards Kavousd

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+1 Best regards, John Laprise, Ph.D. Consulting Scholar <http://www.linkedin.com/in/jplaprise/> http://www.linkedin.com/in/jplaprise/ From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Greg Shatan Sent: Tuesday, August 16, 2016 10:15 AM To: parminder <parminder@itforchange.net> Cc: accountability-cross-community@icann.org Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Whether or not ICANN is a "public governance" body is largely irrelevant to the issue of ICANN's transparency obligations. ICANN's transparency obligations are an integral part of its method of operation as a corporation and a community. Yet there are times when ICANN falls short on transparency. As a general matter, this concern is significant enough that we have a Transparency Subgroup for WS2 (which is where this discussion should continue in earnest). The specific case of transparency (or lack thereof) on expenditures (and particularly lobbying, "light lobbying," and "non-lobbying lobbying" related expenditures) is a significant example of those concerns. I agree that a claim about following ordinary commercial practice does not resolve the issue. But there is no need to attempt to recast ICANN as a "public governance" body -- we need look no further than ICANN's internal "governance" concepts. To say they are atypical or unique is not a claim to "Internet exceptionalism" (not something I'd heard before this thread, but whatever) -- it is merely to acknowledge that ICANN is sufficiently different from "ordinary practices" that ordinary practices shouldn't apply. More specifically, ICANN's contracts with vendors need to build in levels of transparency that exceed ordinary practices, because ICANN's transparency obligations exceed ordinary transparency obligations. One need look no further than the method by which counsel to the CCWG (Sidley and Adler firms) work with the CCWG. Ordinarily, attorney-client privilege is maintained by keeping communications between attorney and client confidential -- this applies to meetings and attorney advice. Instead, consultations with counsel and counsel's advice are both done in an open and transparent fashion, on recorded and transcribed calls and in documents that are publicly posted. Transparency regarding lobbying and other vendors and service providers should be handled in a similar fashion. To the extent it's not (and it's not...), it's fair to cry "foul" and to demand improvement. This can all be done in the context of ICANN as it is. For the record, I disagree with the attempt to characterize ICANN as a "public governance" body, for reasons substantially the same as those already expressed. In the interests of bandwidth (mine and yours) and avoiding rehashing, I have added my thoughts to the matter. In any event, for the reasons stated above, it is irrelevant to the transparency question to which this thread is devoted. Greg On Tue, Aug 16, 2016 at 9:43 AM, parminder <parminder@itforchange.net <mailto:parminder@itforchange.net> > wrote: To these important posers I may add, is ICANN considering making it clear to the vendors at the contracting stage itself that it has strong transparency obligations and would be bound by them (as governments typically do, which is why this discussion went into whether ICANN's functions are of a 'public governance' nature). parminder On Monday 15 August 2016 08:38 PM, Schaefer, Brett wrote: Kavouss, Thank you for re-raising this issue, which appears to have been lost. Xavier, I also asked for additional clarifications that, I think, need to be answered to inform he work of the Transparency Working Group in WS2. Specifically, in your response, you said that “ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors” and that they prevent ICANN from publicly disclosing further details than those provided in your e-mail. * Would this confidentiality obligation prevent disclosure through the DIDP process? * Would this confidentiality obligation prevent individual Directors from obtaining this information through their Right of Inspection? * Would this confidentiality obligation prevent an individual Decisional Participant from obtaining this information if they requested it under their Right of Inspection of ICANN accounting books and records pursuant to the provisions of Section 6333 of the CCC? * Would this confidentiality obligation prevent the Empowered Community from obtaining the information through its right to launch a third-party, independent investigation if three Decisional Participants determine that there is a credible allegation that ICANN has committed fraud or that there has been a gross mismanagement of ICANN’s resources? Finally, I did not see where you clarified whether ICANN engaged vendors to perform similar tasks – “lobbying” or educational/engagement – that may not have been captured by the Congressional database, such as at the state level in the U.S. (particularly California), the U.S. Executive Branch, or in non-US countries. Best, Brett From: accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Kavouss Arasteh Sent: Monday, August 15, 2016 10:36 AM To: Xavier J. Calvez Cc: accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org> Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Xavier I have sent you the following question to which I have not received any reply Perhaps you have been very busy and overlooked my questions I still awaiting for clarifications Regards KAVOUSS Copy of questions raised many weeks ago Dear Xavier Thank you for all info. Pls clarify the following 1.What is prfessional advice :;this advice is given to whom ,on what subject and why is needed 2. what is lobbing here. who lobbies for whom and on what and the need for such lobbies 3 Who checks and confirm the legal costs by three legal entities, who decide that there was a need for such legal advice and who checks and control ther tme spent..Many of these advice were repeatation of previous adfvices and just cut and p[aste from one advice to others .Please review all advices given from the begining of 2015 till now We neeed all these detailed info . Regards Kavouss 2016-08-15 16:25 GMT+02:00 avri doria <avri@apc.org <mailto:avri@apc.org> >: On 15-Aug-16 06:43, parminder wrote:

I just said that an Antigua based betting company will be ill-advised to try to take up a closed gTLD in its name and conduct its business under it, because it is liable to be seized whenever US authorities want to do so (by their jurisdiction control over ICANN) . Same is true of a drug company, say from India, planning global e-com trade of generic drugs. It will also be ill-advised to risk a closed gTLD in its name to do such global business, for the same reason.

I thought that this has to do with the jurisdiction of the registry and the rregistrar itself. And while it may cause concern because there are not as many registries and registrars in non US jurisdictions, there are some and could be more in time. It may also mean that greater efforts should be taken to inform people of the jurisdiction their registration is under and whose laws they are subject to, but I do not see how the location of ICANN main office or place of incorproation affects this issue. In any case aren't the issues relatiing to the jurisdiction of registries and registrars among the ones being discussed in the Juris sub group? But the conversation has been quite far ranging so could well be missing the point of the disagreement. avri --- This email has been checked for viruses by Avast antivirus software. https://www.avast.com/antivirus _____ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 <tel:202-608-6097> <http://heritage.org/> heritage.org _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org <mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org <mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org <mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community

On 16-Aug-16 12:22, parminder wrote:

I ask you; do you agree or not that ICANN should uphold these transparency standards that are upheld by public bodies?

I believe so

If your answer is yes, the question arises why should ICANN uphold transparency level higher than normally required for for profit corporations or evne for non profit bodies. And the reason is that ICANN undertakes functions of a 'public governance' nature. That is the only rationale I can see, unless you tell me a better one.

...

ICANN's transparency obligations are an integral part of its method of operation as a corporation and a community.

So, this is the rationale you offer.... But then why have ICANN transparency standards been so pathetic, if they are actually inherent to it (can one state a clearer self-contradiction). This is the familiar ICANN sovereignty and exceptionalism thing, coming from Internet exceptionalism....

I think that ICANN is exceptional in its characteristic as a multistakeholder run organization dealing with a global issue that established its principles in a bottom manner. As for the current state of transparency being pathetic, though I think improving by baby steps. that is one thing we are here to fix. We do not need for everyone to accept specific labels in order for this to be the case. We just need to fix it. avri --- This email has been checked for viruses by Avast antivirus software. https://www.avast.com/antivirus

First of all, ICANN has always complied with the lobbying disclosures. :-) I know that some are turning up their noses at the use of lobbyists, but this is not a bad thing when one understands that in order to meet with elected officials and provide information, depending on how much of that one does, one registers as a lobbyist in the United States. I am not now a lobbyist, but at one time in my technical career which spaned 27 years, I was registered, because the majority of my job was to meet with elected officials -- in the USG, in the US Congress and in the US House of Representatives. And my job was to talk about the Internet, to explain it, and to explain its benefits. In those few years that I was in that role, each year, I disclosed all of the relevant information, as did my employer.

From what I see, ICANN does the same. It is also acceptable for an organization to augment its staff with experts that are needed for only a short time period that are experts in communications, or in policy analysis, or in software redesign, or in Security, etc. etc. I too wonder what the right degree of transparency is, but I suspect it is pretty close to where we are now, with a few tweaks. And for anyone who wants to spend the time that I do every year on the ICANN budget, and make a positive contribution on that front, please, please, join me and Chuck Gomes, and Jimson Olufuye and many others, such as the ccTLDs and instead of complaining about lack of transparency, read the detailed reports that we do have access to, and attend the working sessions of the community on the ICANN budget. Marilyn Cade

To: accountability-cross-community@icann.org From: sam@lanfranco.net Date: Tue, 16 Aug 2016 12:52:40 -0400 Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update More thoughts on: On 16-Aug-16 12:22, parminder wrote: I ask you; do you agree or not that ICANN should uphold these transparency standards that are upheld by public bodies? There are two complementary avenues for pursuing what should be ICANN’s commitment to transparency, and discussion should proceed on both fronts. One is try to distill a scope and depth of transparency from ICANN’s mission and vision. That includes considerations of what concepts like “in the public good”, “in the public interest” and “public governance” direct us (the multistakeholder community within ICANN) to consider in the establishment of a standard of transparency to which ICANN should aspire. The other avenue is to identify concrete and existing examples of a lack of transparency within the current operations of ICANN (e.g. lobbying contracts, “service” contracts, etc.) and build a remedial framework of transparency practice within ICANN. Discussion should proceed on both fronts. Sam L. _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org https://mm.icann.org/mailman/listinfo/accountability-cross-community

Marilyn, ICANN reports the lobbying information as required by US law, but that does not encompass the education/engagement efforts that often border on lobbying. Nor do US lobbying laws require disclosure of expenses for similar activities elsewhere. I do not know what laws apply in other countries, but it seems unreasonable to expect the community to endeavor to find that information in dozens of countries when ICANN could readily provide it. Also, it is troubling that the confidentiality clauses in ICANN contracts might serve as a loophole for transparency. Specifically, I expect they would block disclosure under the DIDP process. Would they also would prevent an individual Board Member or Decisional Participant from obtaining this information if they requested it under their Right of Inspection? Or impede the EC from obtaining the information through an independent audit? IMO, these are important questions that should be answered and resolved. Best, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Tuesday, August 16, 2016 1:50 PM To: Sam Lanfranco; accountability-cross-community@icann.org Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update First of all, ICANN has always complied with the lobbying disclosures. :-) I know that some are turning up their noses at the use of lobbyists, but this is not a bad thing when one understands that in order to meet with elected officials and provide information, depending on how much of that one does, one registers as a lobbyist in the United States. I am not now a lobbyist, but at one time in my technical career which spaned 27 years, I was registered, because the majority of my job was to meet with elected officials -- in the USG, in the US Congress and in the US House of Representatives. And my job was to talk about the Internet, to explain it, and to explain its benefits. In those few years that I was in that role, each year, I disclosed all of the relevant information, as did my employer. From what I see, ICANN does the same. It is also acceptable for an organization to augment its staff with experts that are needed for only a short time period that are experts in communications, or in policy analysis, or in software redesign, or in Security, etc. etc. I too wonder what the right degree of transparency is, but I suspect it is pretty close to where we are now, with a few tweaks. And for anyone who wants to spend the time that I do every year on the ICANN budget, and make a positive contribution on that front, please, please, join me and Chuck Gomes, and Jimson Olufuye and many others, such as the ccTLDs and instead of complaining about lack of transparency, read the detailed reports that we do have access to, and attend the working sessions of the community on the ICANN budget. Marilyn Cade ________________________________ To: accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Tue, 16 Aug 2016 12:52:40 -0400 Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update More thoughts on: On 16-Aug-16 12:22, parminder wrote: I ask you; do you agree or not that ICANN should uphold these transparency standards that are upheld by public bodies? There are two complementary avenues for pursuing what should be ICANN’s commitment to transparency, and discussion should proceed on both fronts. One is try to distill a scope and depth of transparency from ICANN’s mission and vision. That includes considerations of what concepts like “in the public good”, “in the public interest” and “public governance” direct us (the multistakeholder community within ICANN) to consider in the establishment of a standard of transparency to which ICANN should aspire. The other avenue is to identify concrete and existing examples of a lack of transparency within the current operations of ICANN (e.g. lobbying contracts, “service” contracts, etc.) and build a remedial framework of transparency practice within ICANN. Discussion should proceed on both fronts. Sam L. _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Marilyn, I’m not sure why my e-mail elicited this response. I am glad you are satisfied with the status quo, but the fact that there is a transparency sub-group in WS2 indicates that others are not. If you are not concerned about it, I suggest you focus you efforts on areas you think improvements are required. Best, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Marilyn Cade [mailto:marilynscade@hotmail.com] Sent: Tuesday, August 16, 2016 2:37 PM To: Schaefer, Brett; accountability-cross-community@icann.org Subject: RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I know. Brett, and as you work for a think tank with a need to focus on "it's not enough", I get it. I am a creature of my own country's great assets of taking $ to do this, and that, and one more investigative thing. I was fortunate. I got to do the building part. Helping to create the Internet Summit; America Links Up; and the launch of GetNetWise'; IMUnified... a broadband initiative endorsed by the USG and the FCC, but developed by the private sector. ... and more... initiatives that were about building. not tearing down but focused on the let's do the best we can.And yes, I got to help to create the process that led to ICANN. All accidental, not planned, not a grand conspiracy as some might want to paint it. BUT I also work in more countries perhaps than some on this list. Maybe it is time to think: hmmm. so much of our economy is about R0W [Rest of world], wow, how can I personally think about the RoW while I also think about my own well funded Think Tank. Might be a good strategy for our shared future. M ________________________________ From: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org> To: accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> Date: Tue, 16 Aug 2016 18:10:13 +0000 Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Marilyn, ICANN reports the lobbying information as required by US law, but that does not encompass the education/engagement efforts that often border on lobbying. Nor do US lobbying laws require disclosure of expenses for similar activities elsewhere. I do not know what laws apply in other countries, but it seems unreasonable to expect the community to endeavor to find that information in dozens of countries when ICANN could readily provide it. Also, it is troubling that the confidentiality clauses in ICANN contracts might serve as a loophole for transparency. Specifically, I expect they would block disclosure under the DIDP process. Would they also would prevent an individual Board Member or Decisional Participant from obtaining this information if they requested it under their Right of Inspection? Or impede the EC from obtaining the information through an independent audit? IMO, these are important questions that should be answered and resolved. Best, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Tuesday, August 16, 2016 1:50 PM To: Sam Lanfranco; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update First of all, ICANN has always complied with the lobbying disclosures. :-) I know that some are turning up their noses at the use of lobbyists, but this is not a bad thing when one understands that in order to meet with elected officials and provide information, depending on how much of that one does, one registers as a lobbyist in the United States. I am not now a lobbyist, but at one time in my technical career which spaned 27 years, I was registered, because the majority of my job was to meet with elected officials -- in the USG, in the US Congress and in the US House of Representatives. And my job was to talk about the Internet, to explain it, and to explain its benefits. In those few years that I was in that role, each year, I disclosed all of the relevant information, as did my employer. From what I see, ICANN does the same. It is also acceptable for an organization to augment its staff with experts that are needed for only a short time period that are experts in communications, or in policy analysis, or in software redesign, or in Security, etc. etc. I too wonder what the right degree of transparency is, but I suspect it is pretty close to where we are now, with a few tweaks. And for anyone who wants to spend the time that I do every year on the ICANN budget, and make a positive contribution on that front, please, please, join me and Chuck Gomes, and Jimson Olufuye and many others, such as the ccTLDs and instead of complaining about lack of transparency, read the detailed reports that we do have access to, and attend the working sessions of the community on the ICANN budget. Marilyn Cade ________________________________ To: accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Tue, 16 Aug 2016 12:52:40 -0400 Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update More thoughts on: On 16-Aug-16 12:22, parminder wrote: I ask you; do you agree or not that ICANN should uphold these transparency standards that are upheld by public bodies? There are two complementary avenues for pursuing what should be ICANN’s commitment to transparency, and discussion should proceed on both fronts. One is try to distill a scope and depth of transparency from ICANN’s mission and vision. That includes considerations of what concepts like “in the public good”, “in the public interest” and “public governance” direct us (the multistakeholder community within ICANN) to consider in the establishment of a standard of transparency to which ICANN should aspire. The other avenue is to identify concrete and existing examples of a lack of transparency within the current operations of ICANN (e.g. lobbying contracts, “service” contracts, etc.) and build a remedial framework of transparency practice within ICANN. Discussion should proceed on both fronts. Sam L. _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Greg, I absolutely agree that transparency is broader than lobbying, but that is an identified aspect of the subject for WS2. I also agree that lobbying and other education/engagement is not bad in and of itself, but I think that it should be transparent. Best, Brett __________ ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> On Aug 16, 2016, at 6:26 PM, Greg Shatan <gregshatanipc@gmail.com<mailto:gregshatanipc@gmail.com>> wrote: Brett, I think the Transparency subgroup is about a good deal more than lobbying disclosures (or non-lobbying efforts in a similar vein to lobbying or non-US lobbying). I agree that the lobbying disclosures made by ICANN are not sufficient to reveal the bigger picture, and that this is one worthwhile subject for the Transparency subgroup. I'm not sure Marilyn was saying she was satisfied with the overall status quo, even if she's satisfied with the lobbying disclosures as such. But I'll let Marilyn speak for herself. BTW, I have no issue with the use of lobbying, it's a necessary part of the process. Some people like to use the term pejoratively in all cases, but that's way overbroad to say the least. (Note, I am not now nor have I ever been even remotely close to being a lobbyist.) This thread is a somewhat unfortunate mix of a "micro" discussion on disclosures of lobbying-ish behaviors (and contracts that seem to inhibit such disclosures) and a "macro" discussion of ICANN's Transparency obligations.... Greg On Tue, Aug 16, 2016 at 2:43 PM, Schaefer, Brett <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> wrote: Marilyn, I’m not sure why my e-mail elicited this response. I am glad you are satisfied with the status quo, but the fact that there is a transparency sub-group in WS2 indicates that others are not. If you are not concerned about it, I suggest you focus you efforts on areas you think improvements are required. Best, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097<tel:202-608-6097> heritage.org<http://heritage.org/> From: Marilyn Cade [mailto:marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>] Sent: Tuesday, August 16, 2016 2:37 PM To: Schaefer, Brett; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> Subject: RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I know. Brett, and as you work for a think tank with a need to focus on "it's not enough", I get it. I am a creature of my own country's great assets of taking $ to do this, and that, and one more investigative thing. I was fortunate. I got to do the building part. Helping to create the Internet Summit; America Links Up; and the launch of GetNetWise'; IMUnified... a broadband initiative endorsed by the USG and the FCC, but developed by the private sector. ... and more... initiatives that were about building. not tearing down but focused on the let's do the best we can.And yes, I got to help to create the process that led to ICANN. All accidental, not planned, not a grand conspiracy as some might want to paint it. BUT I also work in more countries perhaps than some on this list. Maybe it is time to think: hmmm. so much of our economy is about R0W [Rest of world], wow, how can I personally think about the RoW while I also think about my own well funded Think Tank. Might be a good strategy for our shared future. M ________________________________ From: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org> To: accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> Date: Tue, 16 Aug 2016 18:10:13 +0000 Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Marilyn, ICANN reports the lobbying information as required by US law, but that does not encompass the education/engagement efforts that often border on lobbying. Nor do US lobbying laws require disclosure of expenses for similar activities elsewhere. I do not know what laws apply in other countries, but it seems unreasonable to expect the community to endeavor to find that information in dozens of countries when ICANN could readily provide it. Also, it is troubling that the confidentiality clauses in ICANN contracts might serve as a loophole for transparency. Specifically, I expect they would block disclosure under the DIDP process. Would they also would prevent an individual Board Member or Decisional Participant from obtaining this information if they requested it under their Right of Inspection? Or impede the EC from obtaining the information through an independent audit? IMO, these are important questions that should be answered and resolved. Best, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097<tel:202-608-6097> heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Tuesday, August 16, 2016 1:50 PM To: Sam Lanfranco; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update First of all, ICANN has always complied with the lobbying disclosures. :-) I know that some are turning up their noses at the use of lobbyists, but this is not a bad thing when one understands that in order to meet with elected officials and provide information, depending on how much of that one does, one registers as a lobbyist in the United States. I am not now a lobbyist, but at one time in my technical career which spaned 27 years, I was registered, because the majority of my job was to meet with elected officials -- in the USG, in the US Congress and in the US House of Representatives. And my job was to talk about the Internet, to explain it, and to explain its benefits. In those few years that I was in that role, each year, I disclosed all of the relevant information, as did my employer. From what I see, ICANN does the same. It is also acceptable for an organization to augment its staff with experts that are needed for only a short time period that are experts in communications, or in policy analysis, or in software redesign, or in Security, etc. etc. I too wonder what the right degree of transparency is, but I suspect it is pretty close to where we are now, with a few tweaks. And for anyone who wants to spend the time that I do every year on the ICANN budget, and make a positive contribution on that front, please, please, join me and Chuck Gomes, and Jimson Olufuye and many others, such as the ccTLDs and instead of complaining about lack of transparency, read the detailed reports that we do have access to, and attend the working sessions of the community on the ICANN budget. Marilyn Cade ________________________________ To: accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Tue, 16 Aug 2016 12:52:40 -0400 Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update More thoughts on: On 16-Aug-16 12:22, parminder wrote: I ask you; do you agree or not that ICANN should uphold these transparency standards that are upheld by public bodies? There are two complementary avenues for pursuing what should be ICANN’s commitment to transparency, and discussion should proceed on both fronts. One is try to distill a scope and depth of transparency from ICANN’s mission and vision. That includes considerations of what concepts like “in the public good”, “in the public interest” and “public governance” direct us (the multistakeholder community within ICANN) to consider in the establishment of a standard of transparency to which ICANN should aspire. The other avenue is to identify concrete and existing examples of a lack of transparency within the current operations of ICANN (e.g. lobbying contracts, “service” contracts, etc.) and build a remedial framework of transparency practice within ICANN. Discussion should proceed on both fronts. Sam L. _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

Hello Brett, I will provide a personal view on your questions.

...

Would they also would prevent an individual Board Member from obtaining this information if they requested it under their Right of Inspection?

I doubt it. For the purposes of a confidential clause between ICANN the organization and a third party – a Board director should have access in the same way as a member of management. In terms of a decisional participant obtaining confidential information – that is a new mechanism. Going forward what we probably need is a standard set of conditions that applies to contracting and confidentiality provisions. Such provisions should allow a decisional participant access to confidential information under an appropriate NDA.

...

Or impede the EC from obtaining the information through an independent audit?

Again depends on how confidentiality clauses are worded in the future. Usually an independent auditor is itself bound by confidentiality provisions and it should be possible to ensure that any confidentiality provisions include the ability for an independent auditor to confirm that a contract has been entered consistently with ICANN's policies. Regards, Bruce Tonkin

On Aug 16, 2016, at 12:38 PM, avri doria <avri@apc.org> wrote:

On 16-Aug-16 12:22, parminder wrote:

...

I ask you; do you agree or not that ICANN should uphold these transparency standards that are upheld by public bodies?

I believe so

Parminder - Could you please cite specifically what “transparency standards” for public bodies you believe that ICANN should comply with? I do believe ICANN should operate with an exceptional level of transparency, but I believe that about my accountant as well (and it makes neither of them a "public governance body"…) If you would be specific regarding which particular norms and standards for transparency you believe ICANN should meet (regardless of your underlying justification why), then perhaps we may find areas of agreement among the working group? Thanks! /John Disclaimer: my views alone.

On Aug 16, 2016, at 1:22 PM, parminder <parminder@itforchange.net> wrote:

As I said, most democratic governments of the world have laws for access to public information. Take India's Right to Information Act for instance. Wikipedia information on it is here <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005>, and here is the actual text <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005>. The US also has very good laws in this regard, to which you can get easy access. Over 95 countries have some kind of freedom of information laws ( seehttps://en.wikipedia.org/wiki/Freedom_of_information_laws_by_country <https://en.wikipedia.org/wiki/Freedom_of_information_laws_by_country> ) and I think most of them have better transparency laws than what ICANN adheres to…

Please be specific. ICANN already has a "Documentary Information Disclosure Policy”, and to the extent you believe it needs to be changed, it would be good to hear how.

First, transparency to whom? Probably you mean accountant's transparent to you, not to the public... But even if you are so good as to be calling for the latter, that is your expectation from someone, which is an entirely private matter, and your will to do or not do. We, on the other hand, are talking about *legitimate* expectation of the *public*, and I see no basis for a legitimate expectation of the public for your accountant to be entirely transparent to it.

Actually, I again do not concur with your characterization of anything that might affect the public as an institution of "public governance", and you’ve failed to clearly distinguish why this is the case for ICANN and not the hundreds of other bodies that make standards and policies for objects that the public uses…

Some of us may have decided that we will jettison all known concepts and theories of political science and governance

Not jettison, but simply not apply without a valid basis.

… and consider the Internet and ICANN sui generis but I would suggest that it is not at all wise to do so. I do not want to comment on what two kinds of ideologies converge in this, what I see as, very dangerous direction, so let me not comment :)

Most excellent.

...

If you would be specific regarding which particular norms and standards for transparency you believe ICANN should meet (regardless of your underlying justification why), then perhaps we may find areas of agreement among the working group?

Yes, I am specific. I want ICANN to uphold the same level of transparency standards that the more democratic governments do, and the details are all in the documents linked above. Tell me how would you want us to go from here.

Cite the standards that you believe are not being met, and the specific changes to ICANN you believe this group should consider in its work. By doing so, we may be able to make progress in areas of commonality despite the lack of alignment in underlying belief systems. /John p.s. my views alone.

On Aug 21, 2016, at 8:25 AM, parminder <parminder@itforchange.net> wrote:

On Tuesday 16 August 2016 11:00 PM, John Curran wrote:

...

On Aug 16, 2016, at 1:22 PM, parminder <parminder@itforchange.net <mailto:parminder@itforchange.net>> wrote:

...

As I said, most democratic governments of the world have laws for access to public information. Take India's Right to Information Act for instance. Wikipedia information on it is here <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005>, and here is the actual text <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005>. The US also has very good laws in this regard, to which you can get easy access. Over 95 countries have some kind of freedom of information laws ( see https://en.wikipedia.org/wiki/Freedom_of_information_laws_by_country <https://en.wikipedia.org/wiki/Freedom_of_information_laws_by_country> ) and I think most of them have better transparency laws than what ICANN adheres to…

Please be specific. ICANN already has a "Documentary Information Disclosure Policy”, and to the extent you believe it needs to be changed, it would be good to hear how.

John, I have been as specific as I can.

Again, please cite the specific changes to ICANN’s practices that you believe this group should consider in its work.

I am not clear what is the 'community's' plan regarding this. Does this group share the expectation that at the end of the transition process, ICANN will adopt information disclosure policies of the same level as that of mature democracies today (I give the public information regimes of India and US as specific examples)? If not, why so?

John, it is your turn to be specific :)

If you believe that changes ICANN’s information disclosure practices are necessary, please specify the changes that you wish to see. I do not have direct experience in making use of ICANN’s information disclosure practices, nor am I recommending that any changes be made, but you apparently are seeking that some changes be made without actually detailing what these changes should be. Thanks, /John Disclaimer: my views alone.

Sorry, John, I am unable to follow the meaning of your insistence on specificity. But I do know clearly well that if we, or 'the community', agrees to the principle that if any comparable information request to the US or Indian government would elicit a legally mandated information disclosure, ICANN should also do it, then an appropriate information disclosure regime can easily be written out for ICANN. The draft can then be tested for this principle, and finalised, and adopted. (This will for instance mean that about 90 percent of ICANN's current non disclosure conditions will be thrown in the waste-paper bin where they belong). If your insistence on specificity means that I should first present an entire draft of the information disclosure policy for ICANN, that I would consider appropriate, without the 'community' or the 'empowered WG' first discussing and agreeing to the higher level principles of it, I find it simply a way to foreclose the important discussion -- because such is quite impractical for anyone to do. I have been involved in enough draftings of documents related to governance/ policies etc, and it is always first discussion and agreement on larger principles, followed by more specific drafting. And so I repeat my specific question to you"Does this group share the expectation that at the end of the transition process, ICANN will adopt information disclosure policies of the same level as that of mature democracies today (I give the public information regimes of India and US as specific examples)? If not, why so?" parminder On Sunday 21 August 2016 06:02 PM, John Curran wrote:

On Aug 21, 2016, at 8:25 AM, parminder <parminder@itforchange.net <mailto:parminder@itforchange.net>> wrote:

...

On Tuesday 16 August 2016 11:00 PM, John Curran wrote:

...

On Aug 16, 2016, at 1:22 PM, parminder <parminder@itforchange.net <mailto:parminder@itforchange.net>> wrote:

...

As I said, most democratic governments of the world have laws for access to public information. Take India's Right to Information Act for instance. Wikipedia information on it is here <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005>, and here is the actual text <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005>. The US also has very good laws in this regard, to which you can get easy access. Over 95 countries have some kind of freedom of information laws ( see https://en.wikipedia.org/wiki/Freedom_of_information_laws_by_country ) and I think most of them have better transparency laws than what ICANN adheres to…

Please be specific. ICANN already has a "Documentary Information Disclosure Policy”, and to the extent you believe it needs to be changed, it would be good to hear how.

John, I have been as specific as I can.

Again, please cite the specific changes to ICANN’s practices that you believe this group should consider in its work.

...

I am not clear what is the 'community's' plan regarding this. Does this group share the expectation that at the end of the transition process, ICANN will adopt information disclosure policies of the same level as that of mature democracies today (I give the public information regimes of India and US as specific examples)? If not, why so?

John, it is your turn to be specific :)

If you believe that changes ICANN’s information disclosure practices are necessary, please specify the changes that you wish to see. I do not have direct experience in making use of ICANN’s information disclosure practices, nor am I recommending that any changes be made, but you apparently are seeking that some changes be made without actually detailing what these changes should be.

Thanks, /John

Disclaimer: my views alone.

On Sunday 21 August 2016 09:24 PM, John Curran wrote:

snip (I see that Paul Rosenzweig has embarked on such an activity on this list, which is most excellent...)

Paul's two points are exactly the same specifics that I presented in my previous email (1) junk most of the non disclosure conditions, and (2) ICANN's service providers cannot put conditions that the natue of work that they do cannot be disclosed, and in this matter I specifically want to know what the 7 agencies actually did in terms of education activities reg IANA transition. But obviously you like some sources of specificity more than others, but fine, lets do with that...

Since “information disclosure policies of the same level as that of mature democracies” is otherwise undefined, I would not support such… Suggesting that ICANN emulate generically unstated principles based on whatever each one of us might consider a mature democracy results in meaningless agreement, since we are certain to be able to find inconsistencies both in the countries and their policies that might be considered.

If you would like to state some actual information disclosure _principles_ that you feel are important (i.e. extracting them from those countries you wish to emulate), then perhaps some progress might be made.

I actually linked the Indian Right to information law <http://rti.gov.in/rti-act.pdf>, in a previous email, which is fully detailed on people's right to pubic information, and any possible reasons for non disclosure.... I dont see why it should not apply to ICANN, something almost exactly on the same lines.... So, once again, I have siad and done what you are saying I havent... I somehow seem unable to please you :)

Seeking generically to claim that we should ape “mature governments policies” without actually stating the principles to be followed would appear to be an highly indirect and potentially disingenuous approach to the problem.

As you see above, I am making no generic claims. I quoate the Indian act, the US law is widely available, and there are many groups and websites devoted to the issue of transparency with regard to public information. I am still afraid, i may not be meeting your standards of specificity - so let me repeat, can we apply the Indian right to information act, replacing terms pertaining to the Indian government with that about ICANN? parminder

Thanks, /John

Disclaimer: my views alone.

On Sunday 21 August 2016 11:46 PM, Sam Lanfranco wrote:

I must be a bit dense here. For me much of this */transparency discussion/* reads like a badminton game where the topic (the birdie) is being batted up and down, back and forth.

No density .... Just that it is a political subject, and would have its political to and fro (and worse, just wait till the proposal actually goes to the ICANN board). If transparency is not political, not much is.

Shouldn’t we be looking for enlightenment as to what is an appropriate transparency regime for ICANN. Transparency is a means to accountability and we should be able to critique existing ICANN transparency regime from an accountability vantage point, and work toward an improved ICANN transparency regime by starting from two poles.

Sure, pl do suggest your response to these two posers... Mine are below.

- First, in ICANN’s multistakeholder governance model what might accountability require in terms of transparency?

The required transparency is that applicable to bodies undertaking public functions, including governments .

- Second, what are the “best practice” models of transparency that we can benefit from as we review, critique, and advise on a best practice transparency strategy for ICANN?

Take India's right to information act (which is now also applicable to non profits that take governmental funds) , or US's freedom of information act (about which I admittedly know much less). parminder

Sam L.

(/tempted but won't change Subject: line //:-(/)

Hi John I certainly am not going to take paraminder’s “side” in the discussion of general principles and the idea of a global public governance model. But I think if you want lists of things that are wrong with the DIDP process here are two that could and should be changed immediately: 1. ICANN’s DIDP allows it to reject requests that it deems “not reasonable” or “excessive” or “vexatious.” That catch all gives ICANN plenary authority to more or less reject any request that it wants. That ground for rejecting a DIDP request should be eliminated completely. 2. Likewise, ICANN has recently (on the CCWG-A list) said that it cannot respond to requests for transparency as to how it has spent money relating to lobbying for the transition because of confidentiality agreements that it has voluntarily entered into with its service providers. As a matter of policy ICANN should never enter into agreements that allow it to refuse to disclose how it spends money on matters within the public cognizance. That’s just two off the top of my head. But more generally, the consensus seems to be that the DIDP process is not functioning well. I forget who did the study but I recall clearly that at the Istanbul meeting of the CCWG-A someone presented data that more than 90% of DIDP requests are refused – which seems to me inconsistent with the commitment to make “information available to the public unless there is a compelling reason for confidentiality.” So … there’s a start. I’m sure others can chime in. Paul Paul Rosenzweig <mailto:paul.rosenzweig@redbranchconsulting.com> paul.rosenzweig@redbranchconsulting.com O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 <http://www.redbranchconsulting.com/> www.redbranchconsulting.com My PGP Key: <http://redbranchconsulting.com/who-we-are/public-pgp-key/> http://redbranchconsulting.com/who-we-are/public-pgp-key/ From: accountability-cross-community-bounces@icann.org [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of John Curran Sent: Sunday, August 21, 2016 8:32 AM To: parminder <parminder@itforchange.net> Cc: avri doria <avri@apc.org>; Accountability Cross Community <accountability-cross-community@icann.org> Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update On Aug 21, 2016, at 8:25 AM, parminder <parminder@itforchange.net <mailto:parminder@itforchange.net> > wrote: On Tuesday 16 August 2016 11:00 PM, John Curran wrote: On Aug 16, 2016, at 1:22 PM, parminder <parminder@itforchange.net <mailto:parminder@itforchange.net> > wrote: As I said, most democratic governments of the world have laws for access to public information. Take India's Right to Information Act for instance. Wikipedia information on it is here <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005> , and here is the actual text <https://en.wikipedia.org/wiki/Right_to_Information_Act,_2005> . The US also has very good laws in this regard, to which you can get easy access. Over 95 countries have some kind of freedom of information laws ( see https://en.wikipedia.org/wiki/Freedom_of_information_laws_by_country ) and I think most of them have better transparency laws than what ICANN adheres to… Please be specific. ICANN already has a "Documentary Information Disclosure Policy”, and to the extent you believe it needs to be changed, it would be good to hear how. John, I have been as specific as I can. Again, please cite the specific changes to ICANN’s practices that you believe this group should consider in its work. I am not clear what is the 'community's' plan regarding this. Does this group share the expectation that at the end of the transition process, ICANN will adopt information disclosure policies of the same level as that of mature democracies today (I give the public information regimes of India and US as specific examples)? If not, why so? John, it is your turn to be specific :) If you believe that changes ICANN’s information disclosure practices are necessary, please specify the changes that you wish to see. I do not have direct experience in making use of ICANN’s information disclosure practices, nor am I recommending that any changes be made, but you apparently are seeking that some changes be made without actually detailing what these changes should be. Thanks, /John Disclaimer: my views alone.

On Tuesday 16 August 2016 10:08 PM, avri doria wrote:

snip I think that ICANN is exceptional in its characteristic as a multistakeholder run organization dealing with a global issue that established its principles in a bottom manner.

As for the current state of transparency being pathetic, though I think improving by baby steps. that is one thing we are here to fix. We do not need for everyone to accept specific labels in order for this to be the case. We just need to fix it.

When a body makes policies, especially if on socially important matters, which apply to all public, and it has means to enforce them, it is undertaking a 'public governance' function. This is definitional. There can be disagreement and a discussion on how such 'public governance' is undertaken - through the traditional election based, centralised state system, or new issue specific systems, possibly a multistakeholder kind. But how can the very nature of the function be denied, that is wholly un-understandable and unacceptable. We better not fiddle with such basis concepts of political science. Just trying to get around some immediate difficult problem - like, how to save the global Internet's technical coordination from arbitrary gov interferences - we may not throw away valuable civilisational ideas, concepts and arrangements like 'public' and 'democracy'. They cannot be treated as dispensable 'labels', they are extremely important ideals to respect, and follow. And in this case too, they have a clear practical value. They can help us the give the basis of the kind of standards of transparency that we expect from ICANN. parminder

avri

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On Monday 15 August 2016 07:55 PM, avri doria wrote:

On 15-Aug-16 06:43, parminder wrote:

...

I just said that an Antigua based betting company will be ill-advised to try to take up a closed gTLD in its name and conduct its business under it, because it is liable to be seized whenever US authorities want to do so (by their jurisdiction control over ICANN) . Same is true of a drug company, say from India, planning global e-com trade of generic drugs. It will also be ill-advised to risk a closed gTLD in its name to do such global business, for the same reason. I thought that this has to do with the jurisdiction of the registry and the rregistrar itself. And while it may cause concern because there are not as many registries and registrars in non US jurisdictions, there are some and could be more in time. It may also mean that greater efforts should be taken to inform people of the jurisdiction their registration is under and whose laws they are subject to, but I do not see how the location of ICANN main office or place of incorproation affects this issue.

In the examples I gave (Antiguan betting company, and Indian generic drug company), a company which is also the registry for a closed gTLD is the 'offending party' ( for US administration). We are of course only speaking of such companies which are not registered in the US, and so US gov has no direct control over the concerned registry. In such cases, like with owners of domain names like rojadirecta.com, US government has gone to the higher level in the DNS chain that was registered in the US - which in this case was the .com registry - and enforced removal of the domain space. (The only apparent constraint in doing such a thing is that this should be able to be achieved without unacceptable collateral damage -- like asking ICANN to remove a whole gLTD when just one domain name owner may be offending). In the case on non US closed gTLDs, going to the ICANN to remove the gTLD, is the exact equivalent of this situation, and is something just waiting to happen. This is how the place of incorporation of, or the jurisdictional remit over, the ICANN is relevant. A key issue in the work stream 2 discussion. Yes, I hear some people say that the same arguments are being made over and over again. Well, the problem remains unchanged, so I dont see how the key arguments would change. And, to the extent the problem is very important to some, the arguments can be expected to be repeated. parminder

In any case aren't the issues relatiing to the jurisdiction of registries and registrars among the ones being discussed in the Juris sub group?

But the conversation has been quite far ranging so could well be missing the point of the disagreement.

avri

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Dear All, The Mission, Mandate as well as ICANN functions were extensively discussed by CCWG. The major elements of those are already contained in the new approved Bylaws There is therefore NO NEED to discuss those already agreed issues Kavouss 2016-08-15 12:44 GMT+02:00 parminder <parminder@itforchange.net>:

On Monday 15 August 2016 03:42 PM, Erika Mann wrote:

I hesitate to get involved in this debate, it feels like the same arguments are made over and over. Maybe it's time to have a longer discussion at one of our meetings about this topic.

Anyhow, briefly, the Antigua/Barbuda Online Gambling case has very little to do with ICANN being an US based regulator but more with a General Agreement on Trade in Services (WTO) case pending between US and Antigua/Barbuda. It's one of those not very rational cases that will continue to impact the Internet gambling environments.

Thanks Erika, I know the case has nothing to do with ICANN... And I did not say that it had.. I just said that an Antigua based betting company will be ill-advised to try to take up a closed gTLD in its name and conduct its business under it, because it is liable to be seized whenever US authorities want to do so (by their jurisdiction control over ICANN) . Same is true of a drug company, say from India, planning global e-com trade of generic drugs. It will also be ill-advised to risk a closed gTLD in its name to do such global business, for the same reason.

Whereby, one can see that businesses of other countries are denied an important right that US business fully retains, to get closed gTLD in their names for their online operations. What I fail to understand is how many people here - I note, mostly US based ones - see nothing wrong with it, and also do not see this as an exercise of a public governance (kind of) power by ICANN, in this case in an unjust manner. parminder

Even if ICANN would not be based in the US, the organization still would have to warn applicants.

It's an interesting case and might guide our discussion about this topic in interesting ways, for those of you who are WTO junkies like I am, here's the link: WTO | dispute settlement - the disputes - DS285 <https://www.google.be/url?sa=t&rct=j&q=&esrc=s&source=web&cd=1&cad=rja&uact=...>

On Sun, Aug 14, 2016 at 7:10 PM, parminder <parminder@itforchange.net> wrote:

...

On Sunday 14 August 2016 10:06 PM, John Curran wrote:

...

snip

...

More people do not use cars, or guns, or ...... the list is endless. Does not mean that rules around them are not to be considered issues of 'public governance' just for that reason. The Internet today impacts practically everyone, whether one uses it or not. Just as laws of international trade effects everyone, whether one is directly carrying out trade or not.. Excuse me to say it, but this is a very weak argument. Ah, you’ve transition now into actual laws, and I do agree that such is the realm of public governance. Note that it is also the case that laws are made by governments – something that ICANN is not.

ICANN makes considerable number of important laws of our online existence. It, for instance, tells me that I cannot register the domain name cocacola.biz even if it be yet unregistered ... It tells a betting company in Antigua not to risk a gTLD in its name bec betting is illegal in the US and its online business conducted under such a gTLD can suddenly be brought down any day (bec ICANN insists of staying subject to the US jurisdiction) .... A thousand such examples can be cited of laws that ICANN makes and enforces with regard to our online existence. Just by not calling them laws it does not make them not laws.. BTW, ICANN does call them policies, and enforceable policies are laws... That thing about if it quacks like a duck.....

As I said in the last email, hidden powers are to be feared even more than the declared ones....

parminder

...

Thanks, /John

disclaimer: my views alone.

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John Curran <jcurran@istaff.org> [2016-08-08 06:56:12 -0400]:

ICANN by its function is not a "public governance body” - it is actually a coordination body that supports the stable and secure operation of the Internet’s various identifier systems.

Dear John, It is not a mere "coordination body". It sets policies, which a "coordination body" would not do. Setting down policies with regard to trademarks and domain names, for instance, is not mere "coordination", imho. It is a regulator: it taxes, it regulates, and it engages in governance.[1] ~ Pranesh [1]: I was hoping to address some of these questions in an IGF workshop that I'd proposed for this year on ICANN's role as a regulator, which proposal unfortunately got rejected by the IGF MAG. -- Pranesh Prakash Policy Director, Centre for Internet and Society http://cis-india.org | tel:+91 80 40926283 sip:pranesh@ostel.co | xmpp:pranesh@cis-india.org https://twitter.com/pranesh

John Curran <jcurran@istaff.org> [2016-08-13 16:52:23 -0500]:

On Aug 13, 2016, at 2:51 PM, Pranesh Prakash <pranesh@cis-india.org> wrote:

...

John Curran <jcurran@istaff.org> [2016-08-08 06:56:12 -0400]:

...

ICANN by its function is not a "public governance body” - it is actually a coordination body that supports the stable and secure operation of the Internet’s various identifier systems.

Dear John, It is not a mere "coordination body". It sets policies, which a "coordination body" would not do.

Incorrect. There are coordination bodies for a wide range of activities that also set policies, standards, and charge fees. Some examples include technical standards/coordination bodies for Bluetooth, USB, data center/open interconnection standards, etc.

Those are standards-setting bodies. Those of us who study patents (and especially patent pools) believe that they too wield power, and are important governance actors. They aren't mere "coordination" bodies.

The coordination of Internet identifiers (like domain names) may be a much more visible activity to the public, but that does not change the inherent nature of the function - it is about coordination of a reliable and secure system of unique identifiers, not about governing anyone or anything.

One doesn't understand why you are so opposed to the label "governance" here. If one goes by the definition of "Internet governance" that emerged from the WGIG ("Internet governance is the development and application of shared principles, norms, rules, decision-making procedures, and programs that shape the evolution and use of the Internet.") then ICANN clearly engages in Internet governance.

You are not governed by your use of USB connector, but benefit from the coordination which underlies same.

There is a difference between "governing" and "being governed by", which you are eliding here. Nevertheless: There are multiple competing standards for the USB. There is only one canonical set of domain names. Even if you believe that ICANN only does "coordinating" (it emphatically doesn't), it's "coordination" definitely leads to my being governed by my ISP's choice to use ICANN-recognized root servers.

...

Setting down policies with regard to trademarks and domain names, for instance, is not mere "coordination", imho.

Yes, you have made plain your opinion already.

...

It is a regulator: it taxes, it regulates, and it engages in governance.[1]

Whereas I would say it is a coordination body - one which sets policies and charges various fees related to Internet identifiers. The bylaws and articles of incorporation would also suggest a similar characterization of ICANN (to the extent that you consider them at all germane to the discussion...)

I disagree with your characterisation. Still, I hope you'll agree with me when I note that the more monopoly and power a coordination body holds, then more it engages in a "governance" function. (A nation-state, even a minimalist one, after all, is a "coordination body - one that sets polices and charges various fees related to national affairs", but also a governance body.) Regards, Pranesh -- Pranesh Prakash Policy Director, Centre for Internet and Society http://cis-india.org | tel:+91 80 40926283 sip:pranesh@ostel.co | xmpp:pranesh@cis-india.org https://twitter.com/pranesh

Hi, On Sun, Aug 14, 2016 at 09:26:48AM -0500, Pranesh Prakash wrote:

Those are standards-setting bodies. Those of us who study patents (and especially patent pools) believe that they too wield power, and are important governance actors. They aren't mere "coordination" bodies.

Could you say more about what you think the differences are among "coordination", "wielding power", and "governance"; and also whether you think there is a difference between the way that those terms apply to standards development organizations that work as effective patent pools and those that do not? It seems to me that some of these distinctions could make a difference.

here. If one goes by the definition of "Internet governance" that emerged from the WGIG ("Internet governance is the development and application of shared principles, norms, rules, decision-making procedures, and programs that shape the evolution and use of the Internet.") then ICANN clearly engages in Internet governance.

[and later]

more it engages in a "governance" function. (A nation-state, even a minimalist one, after all, is a "coordination body - one that sets polices and charges various fees related to national affairs", but also a governance body.)

But the difference here is surely one of sovereignty. A nation-state's government can undertake "governance" in the sense that it can not only develop and apply "shared principles, norms, rules, decision-making procedures, and programs", but also that it can decide which of those are ones the violations of which people can be fined or go to jail or whatever. That is not something that other bodies can do. Part of the reason some people (I, at least; I won't speak for John) get concerned about the word "governance" is because there is a tendency to slide pretty fast from "here are the rules" to "here are the controls by which we shall enforce your conformance to these rules." That latter move has a faint scent of the illegitimate about it, because in a network of networks there isn't anybody -- and shouldn't be anybody -- who has the legimtate authority to make the former move. For instance, …

only one canonical set of domain names. Even if you believe that ICANN only does "coordinating" (it emphatically doesn't), it's "coordination" definitely leads to my being governed by my ISP's choice to use ICANN-recognized root servers.

… it most definitely does not lead to that. Indeed, an awful lot of networks connected to the Internet _aren't_ using only the ICANN-recognized root servers, because just about everyone uses split DNS some of the time. Split DNS is just another way of accepting that the global name space is in fact not the only one. It's the only _global_ one, but there are lots of local ones. (This is a problem for global co-ordination, I agree.) Moreover, you could just use another DNS root, if you wanted, even if your ISP didn't want to. The reason we don't see a lot of root splintering is not because of governance or rules. It's because fracturing the global namespace is much worse for everyone than having these choices. There is nothing in any rule or technology preventing an alternative root. What there is, however, is the vast utiity that accrues to everyone if we have just one namespace. So we have a tussle to work out what that namespace will look like. So, I think that the emphasis on "governance" is at least problematic in two ways: it emphasises the role of sovereignty in a system that is designed almost exactly to resist such sovereignty, and it fails to acknowledge that the outcomes we appear to have are driven primarily by utility functions rather than governance. Best regards, A -- Andrew Sullivan ajs@anvilwalrusden.com

I understand that the main argument John and Andrew are giving is that there is no coercive power of enforcement behind ICANN's decisions and it is for this reason that is cannot be called as 'governing'. First of all, this is simply a solid assertion of the quite discredited position of "Internet exceptionalism' which is much written about and I would not expound upon it. Let me just speak about the coercive power behind ICANN's decisions. First of all even in the case of a state it is mostly open for people, if they want to avoid being subject to its laws, to leave it... In earlier times that would mean going to the jungle or something, but since there are so few of them left now, it mostly means going to another state. Snowden is a famous example of someone who did it. To say that it is up to anyone not to use the ICANN's DNS services today has more or less a similar meaning (except that there are even fewer ways to go to a place of its non-application). In the same way the possibility of leaving a state is not practical for most, leaving the 'network' isnt either. And so one is, nilly willy, subject to all the policies that apply to the 'network', and ICANN policies is a part of it. I dont have to go into detailed descriptions of how ICANNs policies dictate online behaviour of all of us, and how many have, at their cost, found out the coercive power of these policies on their online presence/ behaviour. This has been much discussed, including on this list. But if you are not convinced, we can have that particular discussion. The fact is that ICANN policies have considerable force or enforceability behind it, and it it not appropriate for us to act as if they dont. And to the extent that it applies to all people of the world, and concerns a matter of considerable social importance, makes is a matter that is legitimately an issue of public governance. How that public governance is ordered is another matter. And of course, ICANN authority is enmeshed with other authorities... Right now the decision that ICANN would be taking, of whether ICANN would continue to be subject to the US jurisdiction or not, will directly and strongly mean extension of US government's coercive force over rest of the world, or not, on many very important matters. As activists, for whom social power is the central issue, people like me have learnt that such power that denies itself is one of the most dangerous.... In the constant denial of the social and political power of ICANN, one sees this continuing danger. parminder On Sunday 14 August 2016 09:26 PM, Andrew Sullivan wrote:

Hi,

On Sun, Aug 14, 2016 at 09:26:48AM -0500, Pranesh Prakash wrote:

...

Those are standards-setting bodies. Those of us who study patents (and especially patent pools) believe that they too wield power, and are important governance actors. They aren't mere "coordination" bodies. Could you say more about what you think the differences are among "coordination", "wielding power", and "governance"; and also whether you think there is a difference between the way that those terms apply to standards development organizations that work as effective patent pools and those that do not? It seems to me that some of these distinctions could make a difference.

...

here. If one goes by the definition of "Internet governance" that emerged from the WGIG ("Internet governance is the development and application of shared principles, norms, rules, decision-making procedures, and programs that shape the evolution and use of the Internet.") then ICANN clearly engages in Internet governance. [and later]

...

more it engages in a "governance" function. (A nation-state, even a minimalist one, after all, is a "coordination body - one that sets polices and charges various fees related to national affairs", but also a governance body.) But the difference here is surely one of sovereignty. A nation-state's government can undertake "governance" in the sense that it can not only develop and apply "shared principles, norms, rules, decision-making procedures, and programs", but also that it can decide which of those are ones the violations of which people can be fined or go to jail or whatever. That is not something that other bodies can do.

Part of the reason some people (I, at least; I won't speak for John) get concerned about the word "governance" is because there is a tendency to slide pretty fast from "here are the rules" to "here are the controls by which we shall enforce your conformance to these rules." That latter move has a faint scent of the illegitimate about it, because in a network of networks there isn't anybody -- and shouldn't be anybody -- who has the legimtate authority to make the former move. For instance, …

...

only one canonical set of domain names. Even if you believe that ICANN only does "coordinating" (it emphatically doesn't), it's "coordination" definitely leads to my being governed by my ISP's choice to use ICANN-recognized root servers. … it most definitely does not lead to that. Indeed, an awful lot of networks connected to the Internet _aren't_ using only the ICANN-recognized root servers, because just about everyone uses split DNS some of the time. Split DNS is just another way of accepting that the global name space is in fact not the only one. It's the only _global_ one, but there are lots of local ones. (This is a problem for global co-ordination, I agree.)

Moreover, you could just use another DNS root, if you wanted, even if your ISP didn't want to. The reason we don't see a lot of root splintering is not because of governance or rules. It's because fracturing the global namespace is much worse for everyone than having these choices. There is nothing in any rule or technology preventing an alternative root. What there is, however, is the vast utiity that accrues to everyone if we have just one namespace. So we have a tussle to work out what that namespace will look like.

So, I think that the emphasis on "governance" is at least problematic in two ways: it emphasises the role of sovereignty in a system that is designed almost exactly to resist such sovereignty, and it fails to acknowledge that the outcomes we appear to have are driven primarily by utility functions rather than governance.

Best regards,

A

On Sunday 14 August 2016 10:43 PM, John Curran wrote:

snip Parminder -

It’s also difficult to go anywhere and not make use of standard fasteners (nuts, bolts, etc.) - the chair holding you up is likely dependent upon them right now, and the near universal adoption of same is as pervasive as the Internet, if not more so… Since you equate such popularity with "public governance", you might want to keep apprised of these standards as well - <http://www.astm.org/Standards/fastener-standards.html>

Each of these “laws" most certainly "applies to all people of the world” - I am not certain if anyone has yet let them know that they are engaged (per your dictate) in "a matter that is legitimately an issue of public governance.” but it looks to be a large undertaking to do so...

John Nothing here is my dictate. These are just the normal political terms and arrangements, as they exist in the world today. it is you and ICANN which is trying to claim a (post democratic) exception. Yes, all those that you describe are important standards, applied across the world. However, nowhere is the application of these standards done in a manner that claims exemption from an higher layer of public governance to which they remain subject. Unlike ICANN these process do not claim a global sovereignty of its/ their own. The problem is that you and others want to both (1) claim ICANN processes as being merely standards making and technical coordination and (2) also claim sovereignty for ICANN from any higher layer of public governance. You cannot have both. That is the point. If done by claiming sovereignty from any higher layer of public governance, ICANN's so called technical functions, that are both socially very important, and have great de facto enforceability, become issues of public governance. parminder

/John

p.s. my views alone.

Xavier, Thank you for the response. I appreciate that this is more disclosure than ICANN has provided previously. But I remain concerned over the lack of transparency. You said that “ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors.” I have several follow-up questions: · Would this confidentiality obligation prevent disclosure through the DIDP process? · Would this confidentiality obligation prevent individual Directors from obtaining this information through their Right of Inspection? · Would this confidentiality obligation prevent an individual Decisional Participant from obtaining this information if they requested it under their right of inspection of ICANN accounting books and records pursuant to the provisions of Section 6333 of the CCC? · Would this confidentiality obligation prevent the Empowered Community from obtaining the information through its right to launch a third-party, independent investigation if three Decisional Participants determine that there is a credible allegation that ICANN has committed fraud or that there has been a gross mismanagement of ICANN’s resources? Finally, I did not see where you clarified whether ICANN engaged other vendors to perform similar tasks in non-US countries. Best, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Friday, August 05, 2016 4:52 PM To: Schaefer, Brett; Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; cwg-stewardship@icann.org; 'CCWG-Accountability' Cc: icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update All, I have taken several days to review the various inputs and questions you have provided in this email chain, and have involved several ICANN staff members on this topic. Here is [finally!] a response. While ICANN is required under law to report in its form 990 on the identity and amounts paid to its five highest paid independent contractors, we exceed this requirement by reporting on amounts paid to all contractors to which ICANN pays over US$1,000,000 within a fiscal year. See, for example, ICANN’s Form 990 for FY15, at https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf<https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf>, pages 67-73. None of the vendors in the “Education/engagement” category reach the US$1,000,000 limit, therefore the issue of disclosure of the specific amounts of their work has not been triggered under ICANN’s expansive reporting practices. The reporting on lobbying expenditures, as has been previously discussed, is completed through ICANN’s Form 990 filing, as well as through the forms available at http://disclosures.house.gov/ld/ldsearch.aspx<http://disclosures.house.gov/ld/ldsearch.aspx>, which each identify both the specific issues covered in the lobbying activity as well as the House of the U.S. Congress or Federal Agency to which the activity was directed. ICANN’s general vendor contracts (which are separate from the publicly available registry and registrar contracts) are commercial contracts containing commitments between two contracting entities. Many of these contracts contain confidentiality clauses, including those requested by vendors. This is normal throughout commercial contracting practice. For example, some vendors have propriety forms for their contracts that they do not want to release; some are subject to “MFN” clauses, which could require them to offer terms or services to other customers that are equal to more favorable clauses offered to other customers; some have confidential pricing schedules; some have propriety information included within the description of how they will deliver services; etc. ICANN’s ability to enter into these normal commercial contracts allows ICANN to obtain the best services needed at the best prices it can negotiate. I hope this helps clarify the context under which confidentiality clauses may exist in ICANN’s contract, and that ICANN does not “require” confidentiality from the vendors, as some of you have inquired about. ICANN has introduced an innovation into its contracting work in recent years: ICANN has imposed a requirement on all its contractors to fill out conflict of interest statements, which require both the contractor and ICANN to carefully consider the impact of other relationships as it may the work performed by ICANN. ICANN takes the issue of conflicts seriously, and expects its vendors to do the same. Most new contracts that ICANN enters into now contain such conflict of interest statements. In light of the various questions or comments that arose from several of you, we have reviewed specifically the contracts with the vendors that are listed in the category of “Education/Engagement”, subject to Brett’s original request for information. For the 7 contracts supporting the “education/engagement” services that ICANN has received, please find below the information that can be shared without challenging the contractual terms: • Albright Stonebridge Group LLC – engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with stakeholders. • Edelman·- public relations and communications support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition • Interface Media – video content project in support of IANA Stewardship Transition • Rice Hadley Gates LLC - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with stakeholders. • Summit Strategies International LLC - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with US stakeholders. • WBC Global - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with US stakeholders. • Wiley Rein LLP: strategic advice on global Internet Governance issues in the context of the IANA Stewardship Transition. ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors - either using ICANN templates or vendor supplied templates. The confidentiality provisions in these 7 contracts were in many instances vendor supplied forms and do not allow, either explicitly or implicitly, for ICANN to disclose publicly the value of the services rendered, or, in several cases, any information pertaining to the contract without mutual agreement. This is consistent with common business and procurement practices, notably for professional services where services and financial terms are highly customized to each customer and project and are viewed by the service providers as competitive information. Regarding lobbying expenses disclosure, lobbying is a well-defined activity in the US, and ICANN complies with all defined disclosure requirements, which those of you who are lobbyists themselves know well. None of the groups above were engaged in lobbying on behalf of ICANN. Again, refer to the blog posted in October 2015 on this topic (which I had included in my previous answers to the recurring questions on lobbying) referenced below. In addition, Brett has shared below the information that is disclosed by the lobbying firms that ICANN has engaged, retrieved from the link I shared in my previous email. ICANN does not have other lobbying activities, corresponding to the established definition of such activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en<https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en>. Though this is not fully reflecting the approaches that some of you had suggested, I hope this is helpful. While there is not much else that can be done at this stage in these specific items, we are thankful for your input and comments on this topic, as this has been a helpful exchange to set directions on future ICANN transparency enhancements, whether as part of WS2 or otherwise. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Wednesday, August 3, 2016 at 11:43 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, Zakir Syed <zakirbinrehman@yahoo.com<mailto:zakirbinrehman@yahoo.com>>, Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>>, Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>, Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>, Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Thank you, I look forward to seeing the information. ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, August 03, 2016 2:40 PM To: Schaefer, Brett; Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following. I apologize for the delay in responding. I am close and hope to send an email response by the end of tomorrow, if not earlier. As you all know, we are working hard on the IANA stewardship transition implementation plan and have many critical deliverables with due dates every week, which consume a lot of our time. This is not to say that this topic is not fundamentally important, it is, but there are simply other urgent and important activities that we are attending to at the same time. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Wednesday, August 3, 2016 at 10:40 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, Zakir Syed <zakirbinrehman@yahoo.com<mailto:zakirbinrehman@yahoo.com>>, Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>>, Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>, Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>, Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>, Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I hope you are back in the office and recovered. I believe you said you would be providing this information when you returned? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Monday, July 25, 2016 2:29 PM To: Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you planning to answer the questions raised in this thread? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Zakir Syed [mailto:zakirbinrehman@yahoo.com] Sent: Friday, July 22, 2016 4:07 PM To: Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not? Zakir ________________________________ From: Marilyn Cade <marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>> To: Sam Lanfranco <sam@lanfranco.net<mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info<mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org<mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org<mailto:commsteam@icann.org>>; "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org<mailto:finance-staff@icann.org>> Sent: Thursday, July 21, 2016 2:27 AM Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc. So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion. All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures. As I like to say: Facts are our friends. Of course, some issues have to be kept confidential. Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World]. I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'. Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard. Will help us all. M ________________________________ Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>; kstubbs@afilias.info<mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com<mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> From: sam@lanfranco.net<mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400 As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do. Sam Lanfranco, NPOC/CSIH On 7/20/2016 12:06 PM, Phil Corwin wrote: If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it? Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: Ken Stubbs [mailto:kstubbs@afilias.info] Sent: Wednesday, July 20, 2016 11:37 AM To: Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' Subject: Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here Ken Stubbs On 7/20/16 10:32, Lori Schulman wrote: I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990. Lori Lori S. Schulman Senior Director, Internet Policy International Trademark Association (INTA) +1-202-704-0408, Skype: lsschulman From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Paul Rosenzweig Sent: Wednesday, July 20, 2016 10:16 AM To: 'Marilyn Cade' <marilynscade@hotmail.com><mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com><mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org><mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org><mailto:xavier.calvez@icann.org> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org><mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org><mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org><mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org><mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect. Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid. Xavier – can you tell us what the rationale is? I may be missing something ….. Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com<mailto:paul.rosenzweig@redbranchconsulting.com> O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com<http://www.redbranchconsulting.com/> My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/<http://redbranchconsulting.com/who-we-are/public-pgp-key/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Marilyn Cade Sent: Wednesday, July 20, 2016 9:05 AM To: Phil Corwin <psc@vlaw-dc.com<mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org<mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update I support Phil's clarifying explanation. I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC. Or advising governments. In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN. And I would expect ICANN to disqualify such entities as their consultants. Thanks, Phil, for this useful clarification. M ________________________________ From: psc@vlaw-dc.com<mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org<mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>; icann-board@icann.org<mailto:icann-board@icann.org>; executive-team@icann.org<mailto:executive-team@icann.org>; commsteam@icann.org<mailto:commsteam@icann.org>; community-finance@icann.org<mailto:community-finance@icann.org>; finance-staff@icann.org<mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate. It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract). At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting. Philip S. Corwin, Founding Principal Virtualaw LLC 1155 F Street, NW Suite 1050 Washington, DC 20004 202-559-8597/Direct 202-559-8750/Fax 202-255-6172/Cell Twitter: @VlawDC "Luck is the residue of design" -- Branch Rickey From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Schaefer, Brett Sent: Tuesday, July 19, 2016 1:04 PM To: Xavier J. Calvez Cc: cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org<mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org<mailto:community-finance@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors? Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees? Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress. [cid:image001.png@01D1F257.2031DBB0] I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US? Thank you, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Monday, July 18, 2016 6:30 PM To: Schaefer, Brett Cc: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category. With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged. Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx<http://disclosures.house.gov/ld/ldsearch.aspx>. I hope this helps and clarifies. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Thursday, July 14, 2016 at 7:07 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Cc: "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.). Thank you, Brett On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> wrote: Dear Brett, In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category. This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> If this not addressing your question, please let me know. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Tuesday, July 12, 2016 at 9:45 AM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Brett, Thank you for following up. I will make sure to respond no later than the end of this week. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, July 12, 2016 at 11:38 AM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided? Thanks, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: Schaefer, Brett Sent: Wednesday, June 22, 2016 2:39 PM To: 'Xavier J. Calvez'; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document. However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around. Could you provide that information? Thanks, Brett From: Xavier J. Calvez [mailto:xavier.calvez@icann.org] Sent: Wednesday, June 22, 2016 10:43 AM To: Schaefer, Brett; community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead. https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>> Date: Wednesday, June 22, 2016 at 1:01 PM To: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear Brett, Thank you for your interest and question. We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information). We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf)<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>. You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities. https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en<https://www.icann.org/resources/pages/lobbying-disclosures-contributions-2015-11-18-en>. Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link): https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf<https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf> I hope this helps. Please let me know if you have further questions. Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 From: "Schaefer, Brett" <Brett.Schaefer@heritage.org<mailto:Brett.Schaefer@heritage.org>> Date: Tuesday, June 21, 2016 at 9:54 PM To: Xavier Calvez <xavier.calvez@icann.org<mailto:xavier.calvez@icann.org>>, "community-finance@icann.org<mailto:community-finance@icann.org>" <community-finance@icann.org<mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org<mailto:accountability-cross-community@icann.org>> Cc: Executive Team <executive-team@icann.org<mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org<mailto:commsteam@icann.org>>, "icann-board@icann.org<mailto:icann-board@icann.org>" <icann-board@icann.org<mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org<mailto:finance-staff@icann.org>> Subject: RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Xavier, Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf<https://www.icann.org/en/system/files/files/iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it. Much appreciated, Brett ________________________________ Brett Schaefer Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org<http://heritage.org/> From: accountability-cross-community-bounces@icann.org<mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] On Behalf Of Xavier J. Calvez Sent: Saturday, June 18, 2016 12:10 AM To: community-finance@icann.org<mailto:community-finance@icann.org>; cwg-stewardship@icann.org<mailto:cwg-stewardship@icann.org>; CCWG-Accountability Cc: Executive Team; COMMS Team; icann-board@icann.org<mailto:icann-board@icann.org>; Finance Staff Subject: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update Dear all, You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period. https://www.icann.org/resources/pages/iana-stewardship-project-costs<https://www.icann.org/resources/pages/iana-stewardship-project-costs> Thank you. Best, Xavier Xavier Calvez ICANN CFO 12025 Waterfront Drive, Suite 300 Los Angeles, CA 90094 Office : +1 (310) 301 5838 Mobile : +1 (805) 312 0052 Fax : +1 (310) 957-2348 <iana-stewardship-expenses-professional-vendor-01jun16-en.pdf> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> _______________________________________________ community-finance mailing list community-finance@icann.org<mailto:community-finance@icann.org> https://mm.icann.org/mailman/listinfo/community-finance<https://mm.icann.org/mailman/listinfo/community-finance> _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community> -- ------------------------------------------------ "It is a disgrace to be rich and honoured in an unjust state" -Confucius 邦有道，贫且贱焉，耻也。邦无道，富且贵焉，耻也 ------------------------------------------------ Dr Sam Lanfranco (Prof Emeritus & Senior Scholar) Econ, York U., Toronto, Ontario, CANADA - M3J 1P3 email: Lanfran@Yorku.ca<mailto:Lanfran@Yorku.ca> Skype: slanfranco blog: http://samlanfranco.blogspot.com<http://samlanfranco.blogspot.com/> Phone: +1 613-476-0429 cell: +1 416-816-2852 _______________________________________________ Accountability-Cross-Community mailing list Accountability-Cross-Community@icann.org<mailto:Accountability-Cross-Community@icann.org> https://mm.icann.org/mailman/listinfo/accountability-cross-community<https://mm.icann.org/mailman/listinfo/accountability-cross-community>

I have not followed the process closely, and will like a clarification about the role of the CCWG elist - this one, the plenary list - vis a vis various sub group discussions. I understand that the final decision making capacity lies with the full group (if only the designated full members), and sub groups only help to focus discussions and produce drafts. If so, sub groups and their coordinators should be happy to receive as much input/ direction from plenary list discussions as possible. This is how I see it work for most groups with similar tasks. But then those who have shaped and engaged closely with this particular process will know better... A clarification will be useful... parminder On Monday 22 August 2016 08:33 PM, Xavier J. Calvez wrote:

Dear Brett, Kavouss, et al,

As a reminder, this extensive email conversation was initiated by my email announcing the publication of our quarterly update on the IANA Stewardship transition expenses (Mid June). We have all used one of the item included in this information (Other professional services, and specifically the Engagement/education section) as an opportunity to exchange views on furthering ICANN’s transparency.

There have been many issues raised on this topic through this exchange, and well beyond the initial call of the email. This should move into a more structured conversation, such as WS2 Transparency subgroup, where issues of transparency and document disclosure are scheduled for conversation. I look forward to supporting the deliberations there and participating in the conversations.

Regarding your specific question at the end of your email below, I have already noted below that “ICANN does not have other lobbying activities, corresponding to the established definition of such activities.” ICANN does not have additional lobbying activities in the United States or outside of the U.S.

Best,

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org> *Date: *Tuesday, August 9, 2016 at 1:19 PM *To: *Xavier Calvez <xavier.calvez@icann.org>, Zakir Syed <zakirbinrehman@yahoo.com>, Marilyn Cade <marilynscade@hotmail.com>, Sam Lanfranco <sam@lanfranco.net>, Phil Corwin <psc@vlaw-dc.com>, Ken Stubbs <kstubbs@afilias.info>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com>, "cwg-stewardship@icann.org" <cwg-stewardship@icann.org>, 'CCWG-Accountability' <accountability-cross-community@icann.org> *Cc: *"icann-board@icann.org" <icann-board@icann.org>, Executive Team <executive-team@icann.org>, COMMS Team <commsteam@icann.org>, "community-finance@icann.org" <community-finance@icann.org>, Finance Staff <finance-staff@icann.org> *Subject: *RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Thank you for the response. I appreciate that this is more disclosure than ICANN has provided previously.

But I remain concerned over the lack of transparency. You said that “ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors.” I have several follow-up questions:

· Would this confidentiality obligation prevent disclosure through the DIDP process?

· Would this confidentiality obligation prevent individual Directors from obtaining this information through their Right of Inspection?

· Would this confidentiality obligation prevent an individual Decisional Participant from obtaining this information if they requested it under their right of inspection of ICANN accounting books and records pursuant to the provisions of Section 6333 of the CCC?

· Would this confidentiality obligation prevent the Empowered Community from obtaining the information through its right to launch a third-party, independent investigation if three Decisional Participants determine that there is a credible allegation that ICANN has committed fraud or that there has been a gross mismanagement of ICANN’s resources?

Finally, I did not see where you clarified whether ICANN engaged other vendors to perform similar tasks in non-US countries.

Best,

Brett

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*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Friday, August 05, 2016 4:52 PM *To:* Schaefer, Brett; Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; cwg-stewardship@icann.org; 'CCWG-Accountability' *Cc:* icann-board@icann.org; Executive Team; COMMS Team; community-finance@icann.org; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

All,

I have taken several days to review the various inputs and questions you have provided in this email chain, and have involved several ICANN staff members on this topic. Here is [finally!] a response.

While ICANN is required under law to report in its form 990 on the identity and amounts paid to its five highest paid independent contractors, we exceed this requirement by reporting on amounts paid to all contractors to which ICANN pays over US$1,000,000 within a fiscal year. See, for example, ICANN’s Form 990 for FY15, at https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf, pages 67-73. None of the vendors in the “Education/engagement” category reach the US$1,000,000 limit, therefore the issue of disclosure of the specific amounts of their work has not been triggered under ICANN’s expansive reporting practices. The reporting on lobbying expenditures, as has been previously discussed, is completed through ICANN’s Form 990 filing, as well as through the forms available at http://disclosures.house.gov/ld/ldsearch.aspx, which each identify both the specific issues covered in the lobbying activity as well as the House of the U.S. Congress or Federal Agency to which the activity was directed.

ICANN’s general vendor contracts (which are separate from the publicly available registry and registrar contracts) are commercial contracts containing commitments between two contracting entities. Many of these contracts contain confidentiality clauses, including those requested by vendors. This is normal throughout commercial contracting practice. For example, some vendors have propriety forms for their contracts that they do not want to release; some are subject to “MFN” clauses, which could require them to offer terms or services to other customers that are equal to more favorable clauses offered to other customers; some have confidential pricing schedules; some have propriety information included within the description of how they will deliver services; etc. ICANN’s ability to enter into these normal commercial contracts allows ICANN to obtain the best services needed at the best prices it can negotiate.

I hope this helps clarify the context under which confidentiality clauses may exist in ICANN’s contract, and that ICANN does not “require” confidentiality from the vendors, as some of you have inquired about.

ICANN has introduced an innovation into its contracting work in recent years: ICANN has imposed a requirement on all its contractors to fill out conflict of interest statements, which require both the contractor and ICANN to carefully consider the impact of other relationships as it may the work performed by ICANN. ICANN takes the issue of conflicts seriously, and expects its vendors to do the same. Most new contracts that ICANN enters into now contain such conflict of interest statements.

In light of the various questions or comments that arose from several of you, we have reviewed specifically the contracts with the vendors that are listed in the category of “Education/Engagement”, subject to Brett’s original request for information.

For the 7 contracts supporting the “education/engagement” services that ICANN has received, please find below the information that can be shared without challenging the contractual terms:

· Albright Stonebridge Group LLC – engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with stakeholders.

· Edelman·- public relations and communications support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition

· Interface Media – video content project in support of IANA Stewardship Transition

· Rice Hadley Gates LLC - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with stakeholders.

· Summit Strategies International LLC - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with US stakeholders.

· WBC Global - engagement and education support to raise awareness of, increase understanding of and increase participation in the IANA Stewardship Transition with US stakeholders.

· Wiley Rein LLP: strategic advice on global Internet Governance issues in the context of the IANA Stewardship Transition.

ICANN enters into confidentiality obligations as a result of bilateral negotiations with vendors - either using ICANN templates or vendor supplied templates. The confidentiality provisions in these 7 contracts were in many instances vendor supplied forms and do not allow, either explicitly or implicitly, for ICANN to disclose publicly the value of the services rendered, or, in several cases, any information pertaining to the contract without mutual agreement. This is consistent with common business and procurement practices, notably for professional services where services and financial terms are highly customized to each customer and project and are viewed by the service providers as competitive information.

Regarding lobbying expenses disclosure, lobbying is a well-defined activity in the US, and ICANN complies with all defined disclosure requirements, which those of you who are lobbyists themselves know well. None of the groups above were engaged in lobbying on behalf of ICANN. Again, refer to the blog posted in October 2015 on this topic (which I had included in my previous answers to the recurring questions on lobbying) referenced below. In addition, Brett has shared below the information that is disclosed by the lobbying firms that ICANN has engaged, retrieved from the link I shared in my previous email.

ICANN does not have other lobbying activities, corresponding to the established definition of such activities.

https://www.icann.org/resources/pages/lobbying-disclosures-contributions-201...

Though this is not fully reflecting the approaches that some of you had suggested, I hope this is helpful. While there is not much else that can be done at this stage in these specific items, we are thankful for your input and comments on this topic, as this has been a helpful exchange to set directions on future ICANN transparency enhancements, whether as part of WS2 or otherwise.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Wednesday, August 3, 2016 at 11:43 AM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>>, Zakir Syed <zakirbinrehman@yahoo.com <mailto:zakirbinrehman@yahoo.com>>, Marilyn Cade <marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>>, Sam Lanfranco <sam@lanfranco.net <mailto:sam@lanfranco.net>>, Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>, Ken Stubbs <kstubbs@afilias.info <mailto:kstubbs@afilias.info>>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>> *Cc: *"cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, 'CCWG-Accountability' <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Thank you, I look forward to seeing the information.

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*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Wednesday, August 03, 2016 2:40 PM *To:* Schaefer, Brett; Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Brett,

Thank you for following. I apologize for the delay in responding. I am close and hope to send an email response by the end of tomorrow, if not earlier. As you all know, we are working hard on the IANA stewardship transition implementation plan and have many critical deliverables with due dates every week, which consume a lot of our time.

This is not to say that this topic is not fundamentally important, it is, but there are simply other urgent and important activities that we are attending to at the same time.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Wednesday, August 3, 2016 at 10:40 AM *To: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>>, Zakir Syed <zakirbinrehman@yahoo.com <mailto:zakirbinrehman@yahoo.com>>, Marilyn Cade <marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>>, Sam Lanfranco <sam@lanfranco.net <mailto:sam@lanfranco.net>>, Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>, Ken Stubbs <kstubbs@afilias.info <mailto:kstubbs@afilias.info>>, Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>>, Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc: *"cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, 'CCWG-Accountability' <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

I hope you are back in the office and recovered. I believe you said you would be providing this information when you returned?

Thanks,

Brett

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*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Schaefer, Brett *Sent:* Monday, July 25, 2016 2:29 PM *To:* Zakir Syed; Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; 'Xavier J. Calvez' *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Are you planning to answer the questions raised in this thread?

Thanks,

Brett

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*Brett* *Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Zakir Syed [mailto:zakirbinrehman@yahoo.com] *Sent:* Friday, July 22, 2016 4:07 PM *To:* Marilyn Cade; Sam Lanfranco; Phil Corwin; Ken Stubbs; Paul Rosenzweig; Schaefer, Brett; 'Xavier J. Calvez' *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

This is very useful discussion particularly on this very list. Any idea, how are the consultants/contractors hired by ICANN?. If this is through an RFP/competitive bid thn may be the RFP will have the detail/requirement what is required which in other words will mean what the consultants do. Not?

Zakir

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*From:*Marilyn Cade <marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>> *To:* Sam Lanfranco <sam@lanfranco.net <mailto:sam@lanfranco.net>>; Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>; Ken Stubbs <kstubbs@afilias.info <mailto:kstubbs@afilias.info>>; Paul Rosenzweig <paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>>; "'Schaefer, Brett'" <brett.schaefer@heritage.org <mailto:brett.schaefer@heritage.org>>; 'Xavier J. Calvez' <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc:* "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>; 'CCWG-Accountability' <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>; "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>; 'Executive Team' <executive-team@icann.org <mailto:executive-team@icann.org>>; 'COMMS Team' <commsteam@icann.org <mailto:commsteam@icann.org>>; "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>; 'Finance Staff' <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Sent:* Thursday, July 21, 2016 2:27 AM *Subject:* Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I'd like to stick to the topic we are discussing which is disclosure about 'advisors', and lobbyists, and not venture until the gTLDs contracts. I fear that would become a bog that is too unbounded, with some questioning the marketing plans of different gTLDs, like give aways, etc.

So, I ask that as this is the CCWG-ACCT, and the topic is about the amounts paid for consultants specifically working on the IANA transition -- and who they are -- and that they have only ICANN as a client, not also members of ICANN's community on directly related subjects -- we stick to that discussion.

All law firms in the US 'clear' conflicts before accepting a new client, and all corporations 'clear' their consultants. While this may be confidential in both these cases, I do agree that a public interest NGO, which is what ICANN is, can best serve itself, and the interest of the broader ICANN community by as much transparency as possible. BUT let's keep it high level and civil in our request for facts and figures.

As I like to say: Facts are our friends.

Of course, some issues have to be kept confidential.

Who the consultants are has been published, what they were paid would add to the transparency. What they do, at a high level, should be published as well. I will say again that I think that the work is probably much needed. I spend a lot of time -- without being paid -- explaining ICANN as I do my other IG work and it is is a worthwhile task and an important one if we are to demystify ICANN to RoW [Rest of World].

I am sure it is all above board, but it has now taken on a sort of taint of 'why not tell'.

Let's keep this high level and not make it a hunt for the details, but just get the high level facts, and make that a standard.

Will help us all.

M

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Subject: Re: [CCWG-ACCT] [community-finance] IANA Stewardship Transition - Project Expenses - FY16 Q3 update To: psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>; kstubbs@afilias.info <mailto:kstubbs@afilias.info>; paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>; marilynscade@hotmail.com <mailto:marilynscade@hotmail.com>; brett.schaefer@heritage.org <mailto:brett.schaefer@heritage.org>; xavier.calvez@icann.org <mailto:xavier.calvez@icann.org> CC: cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>; icann-board@icann.org <mailto:icann-board@icann.org>; executive-team@icann.org <mailto:executive-team@icann.org>; commsteam@icann.org <mailto:commsteam@icann.org>; community-finance@icann.org <mailto:community-finance@icann.org>; finance-staff@icann.org <mailto:finance-staff@icann.org> From: sam@lanfranco.net <mailto:sam@lanfranco.net> Date: Wed, 20 Jul 2016 12:23:12 -0400

As the non-lawyer economist here I would like to observe that the discussion has honed in on a specific enough question, one that has an ICANN definitive answer, and that it should be put both to the Board and the new CEO for a an answer and clarification. I previously worried that the ICANN DNS contract with .sucks seemed to verge on ICANN exposing itself to the RICO act in the U.S., given the .sucks marketing plan. Maybe I am overly cautious but as a not-for-profit corporation operating in the public interest ICANN is more than obliged to provide clarity here. Silence won't do.

Sam Lanfranco, NPOC/CSIH

On 7/20/2016 12:06 PM, Phil Corwin wrote:

If the contract non-disclosure clause indeed violates IRS disclosure requirements then how could ICANN legal agree to it?

*Philip S. Corwin, Founding Principal*

*Virtualaw LLC*

*1155 F Street, NW*

*Suite 1050*

*Washington, DC 20004*

*202-559-8597/Direct*

*202-559-8750/Fax*

*202-255-6172/Cell*

* *

*Twitter: @VlawDC*

*/"Luck is the residue of design" -- Branch Rickey/*

*From:*Ken Stubbs [mailto:kstubbs@afilias.info] *Sent:* Wednesday, July 20, 2016 11:37 AM *To:* Paul Rosenzweig; 'Marilyn Cade'; Phil Corwin; 'Schaefer, Brett'; 'Xavier J. Calvez' *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability'; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team'; 'COMMS Team'; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' *Subject:* Re: [community-finance] [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I believe Lori is correct here. IRS requirements on disclosures are usually quite specific here

Ken Stubbs

On 7/20/16 10:32, Lori Schulman wrote:

I don’t believe that 501©3 orgs can consider any consulting fees confidential as the top fees are required to be reported on the 990.

Lori

Lori S. Schulman

Senior Director, Internet Policy

*International Trademark Association (INTA)*

+1-202-704-0408, Skype: lsschulman

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Paul Rosenzweig *Sent:* Wednesday, July 20, 2016 10:16 AM *To:* 'Marilyn Cade' <marilynscade@hotmail.com> <mailto:marilynscade@hotmail.com>; 'Phil Corwin' <psc@vlaw-dc.com> <mailto:psc@vlaw-dc.com>; 'Schaefer, Brett' <brett.schaefer@heritage.org> <mailto:brett.schaefer@heritage.org>; 'Xavier J. Calvez' <xavier.calvez@icann.org> <mailto:xavier.calvez@icann.org> *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; 'CCWG-Accountability' <accountability-cross-community@icann.org> <mailto:accountability-cross-community@icann.org>; icann-board@icann.org <mailto:icann-board@icann.org>; 'Executive Team' <executive-team@icann.org> <mailto:executive-team@icann.org>; 'COMMS Team' <commsteam@icann.org> <mailto:commsteam@icann.org>; community-finance@icann.org <mailto:community-finance@icann.org>; 'Finance Staff' <finance-staff@icann.org> <mailto:finance-staff@icann.org> *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I agree completely with Marilyn and Phil. I have been on both sides of non-disclosure agreements – both ones requested by me and ones requested by my clients. Typically, a client (in the position of ICANN) may request that a consultant sign an NDA so as to protect the confidentiality of its efforts or its intellectual property. Sometimes a consultant might have a proprietary methodology or process that they are using on behalf of the client that they wish to protect.

Neither circumstance applies here that I can see. And in no case that I am aware of has a client ever asked me to keep confidential my fee … I don’t broadcast them, but I’m in the private sector. For ICANN, which is an NGO acting in the global public interest, I cannot see any reason at all why ICANN would want or agree to a confidentiality arrangement as to the size of the fee paid.

Xavier – can you tell us what the rationale is? I may be missing something …..

Thanks

Paul

Paul Rosenzweig

paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>

O: +1 (202) 547-0660

M: +1 (202) 329-9650

VOIP: +1 (202) 738-1739

www.redbranchconsulting.com <http://www.redbranchconsulting.com/>

My PGP Key: http://redbranchconsulting.com/who-we-are/public-pgp-key/

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Marilyn Cade *Sent:* Wednesday, July 20, 2016 9:05 AM *To:* Phil Corwin <psc@vlaw-dc.com <mailto:psc@vlaw-dc.com>>; Schaefer, Brett <brett.schaefer@heritage.org <mailto:brett.schaefer@heritage.org>>; Xavier J. Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>; icann-board@icann.org <mailto:icann-board@icann.org>; Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>; COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>; community-finance@icann.org <mailto:community-finance@icann.org>; Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

I support Phil's clarifying explanation.

I also think that anyone who is in this category, should have to declare if they re also representing companies in a SO/AC.

Or advising governments.

In the BC, we do not allow an ICANN consultant to be a BC member, regardless of the amount, but if someone is a backdoor advisor to ICANN and also a group of entities, in a SO/AC, that would not be so obvious, but I think that for integrity sake, of course, any such entity would recuse themselves from advising companies, while also advising ICANN.

And I would expect ICANN to disqualify such entities as their consultants.

Thanks, Phil, for this useful clarification.

M

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From: psc@vlaw-dc.com <mailto:psc@vlaw-dc.com> To: Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>; xavier.calvez@icann.org <mailto:xavier.calvez@icann.org> Date: Wed, 20 Jul 2016 00:48:08 +0000 CC: cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>; icann-board@icann.org <mailto:icann-board@icann.org>; executive-team@icann.org <mailto:executive-team@icann.org>; commsteam@icann.org <mailto:commsteam@icann.org>; community-finance@icann.org <mailto:community-finance@icann.org>; finance-staff@icann.org <mailto:finance-staff@icann.org> Subject: Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

In the U.S. much of what used to be done by registered lobbyists is now performed by “strategic advisors” who walk right up to the line of what constitutes lobbying (and maybe a few inches over), and nonetheless facilitate door opening to key members of Congress and the Executive branch, and who “educate” rather than “lobby” members of both branches of government. So while the seven firms may not be engaged in what is considered lobbying under current U.S. law, they are still likely engaged in helping to assure officials outcomes desired by ICANN corporate.

It is for that reason – as well as for the exercise of effective oversight over ICANN budgeting and expenditures – that the community should have more data on this. If ICANN is prohibited by its contracts with these firms from disclosing its expenditures that is unfortunate – and in the future I would hope that ICANN would tell any firms being considered for such duties that its own transparency obligations to the community preclude it from agreeing to such restrictions (I’d wager that the majority of the firms would waive confidentiality rather than lose the contract).

At a minimum, ICANN should disclose the aggregate amounts spent with these seven firms since they were engaged – surely their contracts don’t bar such aggregate reporting.

*Philip S. Corwin, Founding Principal*

*Virtualaw LLC*

*1155 F Street, NW*

*Suite 1050*

*Washington, DC 20004*

*202-559-8597/Direct*

*202-559-8750/Fax*

*202-255-6172/Cell*

* *

*Twitter: @VlawDC*

*/"Luck is the residue of design" -- Branch Rickey/*

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Schaefer, Brett *Sent:* Tuesday, July 19, 2016 1:04 PM *To:* Xavier J. Calvez *Cc:* cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability; icann-board@icann.org <mailto:icann-board@icann.org>; Executive Team; COMMS Team; community-finance@icann.org <mailto:community-finance@icann.org>; Finance Staff *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Are you saying that ICANN’s contracts for Education/Engagement/Advice with (1) Albright Stonebridge Group LLC, (2) Edelman, (3) Interface Media, (4) Rice Hadley Gates LLC, (5) Summit Strategies International LLC, (6) WBC Global, and (7) Wiley Rein LLP each contain confidentiality provisions that prohibit ICANN from disclosing the specific amount paid to each of these individual vendors?

Does this only apply to the CCWG and the public or does it also apply to other parts of the ICANN community, specifically the Supporting Organizations and Advisory Committees?

Thank you for the link on lobbying disclosures. For those who are interested, here are ICANN’s lobbying expenditures based on the disclosure website of the U.S. Congress.

I do have a couple of additional questions. Would this source capture lobbying exclusively directed toward the US Executive Branch? Has ICANN spent any funds during this period lobbying governments other than the US?

Thank you,

Brett

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*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Monday, July 18, 2016 6:30 PM *To:* Schaefer, Brett *Cc:* community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability; Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Brett,

Yes, the information I provided in my latest email had been included in some previous communication. I just wanted to make sure you had a clear visibility on this information, which provides for (i) categories of expenses, (ii) the individual names of the vendors grouped for each category, and (iii) the total value of the expenses for each category.

With respect to the contractual obligations of confidentiality in commercial contracts, ICANN is subject to them, like all business organizations. That said, we disclose what we can consistent with standard business confidentiality provisions in vendor contracts. We cannot disclose the specific amount of spend with each vendor but we were able to disclose the names of the service providers engaged.

Regarding the lobbying expenses, as you are aware, both organizations that hire lobbyists and firms that lobby on behalf of organizations are required under U.S. federal law to file lobbying disclosure reports. In addition to ICANN’s quarterly lobbying disclosures posted on our website, you can find the amounts ICANN has paid to individual outside lobbying firms at http://disclosures.house.gov/ld/ldsearch.aspx.

I hope this helps and clarifies.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Thursday, July 14, 2016 at 7:07 AM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Cc: *"community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>>, Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

This is pretty much the same information that was provided before. I am asking for a breakdown of how much was paid to each vender in the lobbying category (Akin Gump, etc.) and the education/engagement/advice category (Albright Stoneridge, etc.).

Thank you,

Brett

On Jul 13, 2016, at 8:13 PM, Xavier J. Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> wrote:

Dear Brett,

In response to your question listed below on 22 June: the detailed information provided on Other professional fees (other than legal fees, detailed in a separate section of the “Transition project cost” expense webpage, on the IANA Stewardship Transition webpage) can be found in the section called “Professional Services – Expenses Breakdown”. Within this section, you will find a link to a document that provides the list of Professional Services (other than legal fees) incurred, by category, with the names of the vendors, and the total amount of expenditures for the category.

This link is copied below and was provided in my first answer to your question. I have also attached the file to which this link refers in case the link would not work for you.

https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes...

If this not addressing your question, please let me know.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

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*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Date: *Tuesday, July 12, 2016 at 9:45 AM *To: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Brett,

Thank you for following up.

I will make sure to respond no later than the end of this week.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Tuesday, July 12, 2016 at 11:38 AM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Thanks for promising to get this information to me in Helsinki. Do you have an estimate for when it will be provided?

Thanks,

Brett

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*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*Schaefer, Brett *Sent:* Wednesday, June 22, 2016 2:39 PM *To:* 'Xavier J. Calvez'; community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability *Cc:* Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

I appreciate the detailed breakdown on the legal fees That is indeed what I was looking for though I would think it useful to have the totals provided in the summary document.

However, I did not see similar information for lobbying or education/ engagement/advice in the links provided. In fact, the only specific information that I saw listed is for Jamie Hedlund at $200,000. No information on other individual firms or vendors is listed at all – only the top line budget expenditure in the summary document link originally sent around.

Could you provide that information?

Thanks,

Brett

*From:*Xavier J. Calvez [mailto:xavier.calvez@icann.org] *Sent:* Wednesday, June 22, 2016 10:43 AM *To:* Schaefer, Brett; community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability *Cc:* Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear all,

It appears that the first link in my email further below (detail of legal fees by firm) does not resolve correctly. Please use the below instead.

https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-...

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>> *Date: *Wednesday, June 22, 2016 at 1:01 PM *To: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *Re: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear Brett,

Thank you for your interest and question.

We currently publish the list of all vendors from whom ICANN obtain services in relation to the IANA Stewardship transition. The $$ value of the services received is aggregated by category of expenses, which you mention below (US Government affairs, Education/engagement/advice,…). This presentation is driven by 2 factors: providing clarity as to the type of services received, and abiding by the contractual obligation of confidentiality in force with each of the vendors (resulting from standard business sensitive information).

We do publish however the detail of the legal advice, by firm and by working group, on this same page (see for example the link to the report of fees by firm: _https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-...) <https://www.icann.org/en/system/files/files/iana-stewardship-expenses-legal-firm-fy16-01jun16-en.pdf%29>_.

You will also find more information relative to ICANN’s lobbying in the following blog published a few months ago. In this blog, you will also find links to the disclosure reports that ICANN makes on lobbying activities.

_https://www.icann.org/resources/pages/lobbying-disclosures-contributions-201...

Lastly, further information on lobbying appears in ICANN’s form 990 (Schedule C, Part II-B. On page 33/73 of the FY15 form 990 published at the following link):

https://www.icann.org/en/system/files/files/fy-2015-form-990-10may16-en.pdf

I hope this helps. Please let me know if you have further questions.

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

*From: *"Schaefer, Brett" <Brett.Schaefer@heritage.org <mailto:Brett.Schaefer@heritage.org>> *Date: *Tuesday, June 21, 2016 at 9:54 PM *To: *Xavier Calvez <xavier.calvez@icann.org <mailto:xavier.calvez@icann.org>>, "community-finance@icann.org <mailto:community-finance@icann.org>" <community-finance@icann.org <mailto:community-finance@icann.org>>, "cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>" <cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>>, CCWG-Accountability <accountability-cross-community@icann.org <mailto:accountability-cross-community@icann.org>> *Cc: *Executive Team <executive-team@icann.org <mailto:executive-team@icann.org>>, COMMS Team <commsteam@icann.org <mailto:commsteam@icann.org>>, "icann-board@icann.org <mailto:icann-board@icann.org>" <icann-board@icann.org <mailto:icann-board@icann.org>>, Finance Staff <finance-staff@icann.org <mailto:finance-staff@icann.org>> *Subject: *RE: [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Xavier,

Thank you. Could you please provide a more detailed breakdown of legal advice, US government affairs, and educations/engagement/advice? In each category, there are multiple firms/vendors listed (https://www.icann.org/en/system/files/files/iana-stewardship-expenses-profes...). I would appreciate the amount provided to each individual vendor. If it is provided somewhere, I would appreciate you letting me know where to find it.

Much appreciated,

Brett

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*Brett**Schaefer*/ Jay Kingham Senior Research Fellow in International Regulatory Affairs Margaret Thatcher Center for Freedom Davis Institute for National Security and Foreign Policy/ The Heritage Foundation 214 Massachusetts Avenue, NE Washington, DC 20002 202-608-6097 heritage.org <http://heritage.org/>

*From:*accountability-cross-community-bounces@icann.org <mailto:accountability-cross-community-bounces@icann.org> [mailto:accountability-cross-community-bounces@icann.org] *On Behalf Of *Xavier J. Calvez *Sent:* Saturday, June 18, 2016 12:10 AM *To:* community-finance@icann.org <mailto:community-finance@icann.org>; cwg-stewardship@icann.org <mailto:cwg-stewardship@icann.org>; CCWG-Accountability *Cc:* Executive Team; COMMS Team; icann-board@icann.org <mailto:icann-board@icann.org>; Finance Staff *Subject:* [CCWG-ACCT] IANA Stewardship Transition - Project Expenses - FY16 Q3 update

Dear all,

You find at the link below the updated project’s expenses as of FY16 Q3 (from July 2014 to March 2016). As indicated a few months ago, we have added new detailed information on the staff support with the individual positions, names and percentages of effort over the period.

_https://www.icann.org/resources/pages/iana-stewardship-project-costs_

Thank you.

Best,

Xavier

Xavier Calvez

ICANN

CFO

12025 Waterfront Drive, Suite 300

Los Angeles, CA 90094

Office : +1 (310) 301 5838

Mobile : +1 (805) 312 0052

Fax : +1 (310) 957-2348

<iana-stewardship-expenses-professional-vendor-01jun16-en.pdf>

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