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ICANN's '''Contractual Compliance and Consumer Safeguards''' department charged by [[ICANN]] with enforcing the contractual compliance of registries and registrars through complaint-driven informal and formal resolution processes, ICANN-initiated monitoring, and compliance audits.
ICANN's '''Contractual Compliance and Consumer Safeguards''' department is charged by [[ICANN]] with enforcing the contractual compliance of registries and registrars through complaint-driven informal and formal resolution processes, ICANN-initiated monitoring, and compliance audits.
The history of ICANN's compliance enforcement runs parallel to the history of the organization's agreements with contracted parties: specifically, [[Registry Agreement|registry agreements]] and [[Registrar Accreditation Agreement|registrar accreditation agreements]] with registries and registrars, respectively. Contractual Compliance's role changed over time as those agreements were amended to include additional expectations, obligations, and mandates of contracted parties.
The history of ICANN's compliance enforcement runs parallel to the history of the organization's agreements with contracted parties: specifically, [[Registry Agreement|registry agreements]] and [[Registrar Accreditation Agreement|registrar accreditation agreements]] with registries and registrars, respectively. Contractual Compliance's role changed over time as those agreements were amended to include additional expectations, obligations, and mandates of contracted parties.
transfer requests; registry violations, such as providing more favorable treatment to some registrars; renewal reminders, fees, or redemption issues; and incorrect [[WHOIS]] data or access issues.<ref>[https://www.icann.org/en/system/files/files/contractual-compliance-complaint-31mar18-en.pdf Contractual Compliance Complaints]</ref>
transfer requests; registry violations, such as providing more favorable treatment to some registrars; renewal reminders, fees, or redemption issues; and incorrect [[WHOIS]] data or access issues.<ref>[https://www.icann.org/en/system/files/files/contractual-compliance-complaint-31mar18-en.pdf Contractual Compliance Complaints]</ref>
===Compliance Reports===
===Complaint Reports===
Periodic reporting of compliance performance was initiated by the department in July 2014.<ref name="perfstats">[https://features.icann.org/compliance/dashboard/report-list ICANN.org - Contractual Compliance Performance Reports], last visited December 2021</ref> The department also publishes annual reports of complaints, complaint processing, and formal resolutions of complaints.<ref name="perfstats" /> ICANN's Annual Report incorporates some of the contractual compliance information as well. In 2017, the department began assembling quarterly reports of activities and performance. Quarterly reporting was discontinued in 2019.<ref name="perfstats" />
Periodic reporting of department performance was initiated by the department in July 2014.<ref name="perfstats">[https://features.icann.org/compliance/dashboard/report-list ICANN.org - Contractual Compliance Performance Reports], last visited December 2021</ref> The department also publishes annual reports of complaints, complaint processing, and formal resolutions of complaints.<ref name="perfstats" /> ICANN's Annual Report incorporates some of the contractual compliance information as well. In 2017, the department began assembling quarterly reports of activities and performance. Quarterly reporting was discontinued in 2019.<ref name="perfstats" />
====Complaint Review and Rejection====
It is notable that in any given year, a large percentage of complaint tickets received by Contract Compliance are rejected upon review. In 2020, for example, out of 15,739 complaint tickets received against registrars, 12,834 were closed before submission of the first notice to the subject registrar.<ref>[https://features.icann.org/compliance/dashboard/2020/complaints-approach-process-registrars ICANN.org Contractual Compliance Dashboard - 2020 Registrar Complaints per Compliance Approach and Process]</ref> While there are many reasons that a complaint might be closed before a first notice is sent, a majority of these complaints are closed because the complaint is deemed to be outside the scope of ICANN's authority to act. During Prep Week for ICANN 70, Contractual Compliance noted that 2,279 of the 2,676 DNS abuse complaints submitted between February 2020 and January 2021 were deemed out of scope.<ref name="70prep">[https://cdn.filestackcontent.com/content=t:attachment,f:%22Pre-ICANN%2070%20Webinar%20Contractual%20Compliance_10March2021.pdf ICANN 70 Archive: Contractual Compliance Update Presentation Slides], March 10, 2021</ref> In the fourth quarter of 2020, 3,832 of the 7,644 complaints received against registrars and registries (excluding complaints regarding DNS abuse issues) were deemed out of scope.<ref name="70prep" />
As the department explains, "The volume of complaints closed before 1st Inquiry / Notice refers to complaints that are not sent to the Registrar or Registry Operator. A reason for closing a complaint before 1st Inquiry / Notice could be: complaint is invalid, a duplicate complaint is already open, requested evidence or additional information not provided by reporter, data changed, etc. ... Closure rate before first Notice means these complaints are resolved or rejected before sending to a Registrar/Registry. This is a direct result of the quality checks performed by ICANN’s Contractual Compliance department."<ref>[https://features.icann.org/compliance/dashboard/archives#definition ICANN Contractual Compliance Dashboard - Explanations of Terms and Figures]</ref> In its Prep Week presentation at ICANN 70, compliance staff elaborated on common rationales for "out-of-scope" determinations:
* Complainant did not respond to ICANN’s request for evidence;
* Complaint was about a domain registered in a [[ccTLD]];
* Complaint misunderstood ICANN’s role and authority;
* Complainant submitted a duplicate complaint before resolution of the original complaint; or
* Complainant submitted a complaint about an issue that was already resolved at the time the complaint was reviewed<ref name="70prep" />
===GDPR and Registration Data Complaints===
===GDPR and Registration Data Complaints===