sample cctld human rights impact assessment tool · sample cctld human rights impact assessment...

SampleccTLDHumanRightsImpactAssessmentToolIntroductiontotheTool

ThisHumanRightsAssessmentToolcontainsarangeofscenariosandquestionsrelatedtoHumanRightsrelevanttoaRegistry'soperations(specifically,aCountryCodeTop-levelDomain,orccTLD,registry).Thetoolcoversthefollowingissueareas:

IssueAreas Page#

A.RegistriesasEmployers 3–14

A.1WorkingHours 3

A.2Wages 3

A.3Leave 4

A.4Harassment 5

A.5EmployeePrivacy 6

A.6GrievanceMechanism 7

A.7ForcedLabour 8

A.8ChildLabour 9

A.9PromotingDiversity 10

A.10Non-Discrimination 10

A.11FreedomofAssociation 11

A.12WorkplaceHealthandSafety 12

A.13Intellectualpropertyrights 13

B.RegistriesasProcurersofGoodsandServices 15–20

B.1HumanRightsinSupplyChainManagement 15

B.2Hours,WagesandLeave 15

B.3WorkplaceHealthandSafety 16

B.4ForcedLabour 16

B.5ChildLabour 17

B.6Non-Discrimination 17

B.7Privacy 18

B.8Intellectualpropertyrights 18

B.9CommunityImpact 19

C.Registries,theEnvironment,andLocalCommunities 21–24

C.1EnvironmentalImpacts 21

C.2Security 21

C.3LandManagement 22

C.4CorruptionandBribery 23

D.RegistriesasProvidersofTLDandOtherDomainServices(in-houseoroutsourced) 25–34

D.1AcquiringTLDs 25

D.2HumanRightsinRegistrarEngagement 26

D.3ProvidingDomainNames 27

D.4MaintainingDomainNames 30

D.5Amending/TransferringDomainNames 31

D.6EngagingwithThirdParties 31

D.7TerminatingDomainNames 33

D.8GrievanceMechanismsandResolution 33

D.9Transparency 34

E.DueDiligence 35–37

E.1AssessingImpacts 35

E.2Addressingimpacts 35

E.3Governmentrequests 35

E.4Trackingcompliance 36

E.5Communicationandreporting 36

E.6Accesstoremedy 37

HowtoUseThisToolThistoolisaworkingmodelforassessingthehumanrightsimpactsofInternetinfrastructureproviders,startingwith

country-codetopleveldomain(ccTLD)registries.

Ifyouwouldliketoofferfeedbackonthemodelorareinterestedinpartneringtocarryoutanhumanrightsimpact

assessmentforyourbusiness,pleasecontact:

COLLINKURRE([email protected])orCATHRINEBLOCHVEIBERG([email protected])

Step1:Completethehumanrightsimpactscenario.Foreachscenarioplease:

1.Ratetheprobabilityofthescenariotakingplaceduringoneyearfromnowacrosstheoperationsofyourcompany:oDoesnotoccur

oIsolatedincidentsmayoccur

oOccurssystematically

2.Describethekeypotentialimpactsandwhoisimpacted.3.Ratethenumberofindividualspotentiallyimpactedinanyoneyear:

o0-500persons

o500-5.000persons

o5.000personsandabove

4.Ratetheseverityofthehumanrightsconsequencesfortheaffectedindividuals:oLow

oMedium

oHigh

Step2:CompleteofthehumanrightscomplianceassessmentindicatorsForeachquestionandindicatortherespondantispresentedwiththefollowingansweroptions:

oYes/No.Themoreindicatorsandquestionstherespondant9sabletoanswerinthisway,themorereliabletheassessmentwill

be.

oF/A(Furtherattentionrequired):Thisoptionisintendedasalastresortiftherespondantisuncertainaboutwhatthecorrectansweris,andshouldthereforebeusedinfrequently,ifatall.

oN/A(Notapplicable):usethisoptionifaparticularquestionorindicatorisn'trelevantforthecompany.Pleaseprovidean

explanationinthe"Comments"sectionwhererelevant.

Theindicatorsshowyouthekindofpolicies,procedures,andpracticesyoushouldideallyhaveinplaceinordertoanswer“yes”

tothemainHumanRightsCompliancequestion.

Whenyouanswer“no”toagivenquestionorindicatoritmayimplythatyouhaveidentifiedagapinyourpolicies,procedures,

orpractices.Makeanoteoftheindicator(s)thatresultedinthisgap,andaddthemtoaprioritisedlistofimprovementactions.If

youanswered“Furtherattention”toagivenquestionorindicator,makeanoteofwhatactionyouneedtotakebeforethe

questionorindicatorcanbeansweredwitha“yes.”

Step3:AnswertheHumanRightsCompliancequestionIt’simportantthatalltheindicatorsarecompletedbeforeattemptingtoanswerthemainHumanRightsCompliancequestion.

Oncealloftheindicatorshavebeencompleted,usetheanswerstoassesstheHumanRightsCompliancequestion.

Iftheanswerisdeterminedtobe“yes”totheCompliancequestionbutoneormoreindicatorshavebeenansweredwith“No”or

"FurtherAttention,"anoteshouldbeincludedexplainingwhytheindicatorswerenotconsiderednecessaryfortheCompany.

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A.RegistriesasEmployersAppliestoallemployeesincludingfieldworkersandmaintenancepersonnelandtothird-partyin-premisestaff

A.1WorkingHours

Righttoworkandtojustandfavourableconditionsatwork,RighttorestandleisureHumanrightsimpactscenario

Probability(click

belowtochoose

option)

Severityofconsequencesforimpacted

people(clicktochooseoption)

Indicators YES NO F/A N/A COMMENTSANDDOCUMENTATION FOLLOW-UPACTION

aNormalcompanyworkinghoursarelimitedto48hoursperweekbybothcompanypolicyandpractice(orfewerifprovidedbynationallaw,collectiveagreementorindustrystandards).

b Overtimeisinfrequent,remuneratedatpremiumrate,anddoesnotexceed12hoursinanyoneweekor36hourspermonth.

cTheregistryhasasystemtoplan,recordandmonitorhoursworkedbyeachemployee,andregularlyevaluateswhetherthenumberofemployeesissufficienttomeetproductiontargetswithoutresortingtoovertime.

dWhereovertimeperemployeesystematicallyexceeds12hoursperweek,theregistryincreasesitsworkforcetocorrespondtoproductiontargets,orputsinplacemeasurestoincreaseworkerproductivityandreduceovertime.

e Registryemployeesareallowedatleast24consecutivehoursofrest(ormoreifprovidedbynationallaworindustrystandards)ineverysevendayperiod.

f

Theregistryensuresthatemployeeshavenolessthana30-minutebreakforevery4hoursofwork(ormoreifprovidedbynationallaworindustrystandards)andthatemployeesareallowedtousetoiletfacilitieswhenevernecessaryandnotjustduringdesignatedbreaks.

Humanrights

compliancequestion YES NO F/A N/A COMMENTSANDDOCUMENTATION FOLLOW-UPACTION

Doestheregistryensurethattheworkweekislimitedto48hours;that

overtimeisinfrequentandlimited;andthatemployeesaregivenreasonable

breaksandrestperiods?

A.2Wages

Righttoworkandtojustandfavourableconditionsatwork,RighttoadequatestandardoflivingHumanrightsimpactscenario

Employeesareunabletomake,atminimum,alivingwagesufficienttomeetthebasicneedsoftheemployeeandtheemployee'slegitimatedependents.

Employeesareexposedtoexcessiveworkinghours,excessiveovertimeorlackofrestperiods.(Exceeding48hoursinanormalworkweek.Forshiftwork,exceeding56hoursinanyoneweek,or48hours'averageinathree-weekperiod).Describekeyimpactsandwhoisimpacted

(writetext)

Assessnumbersimpacted

(clicktochooseoption)

3

Probability(choose) Severityofconsequencesforimpacted



aItiscompanypolicytoprovideemployeeswithalivingwagesufficienttomeetbasicfood,clothingandhousingneedsandprovidesomediscretionaryincomeforthemselvesandtheirdependents.

b Theregistryisawareofwhetherthelegalminimumwageinthecountryofoperationmeetstherequirementforalivingwageinpractice.

c

Ifnonationalminimumwageisestablished,orifnationalminimumwagestandardsareinsufficienttomeetthebasicneedsofemployeesandtheirdependents,theregistrycalculatesalivingwagebasedonthecostoflivinginitsareaofoperation.

dPart-timeworkersreceivewagesandbenefitsthatareproportionatetothoseoffull-timeworkers,andreceiveovertimecompensationataminimumof1.25timestheirhourlysalary.

eTheregistrypayswagesatregularintervalsanddoesnottakedeductionsfromwagesfordisciplinarymeasuresorotherdeductionsnotauthorisedbynationallaw.

f Bonusandpiece-ratepaymentsystemsaremonitoredtoensurethatthetotalsalarypaidmeetslivingwagerequirementswithoutresortingtoovertime.

Humanrights


Doestheregistryprovidealivingwagethatenablesworkerstomeetthebasic

needsofthemselvesandtheirdependents?

A.3Leave

Righttoworkandtojustandfavourableconditionsatwork,Righttofamilylife,RighttohealthHumanrightsimpactscenario




a

Companyemployeesaregrantedatleastthreeweeksofpaidholidayleaveperyearormoreifrequiredbynationallaworcollectiveagreements.Part-timeandshort-termemployeesareprovidedwithpaidholidayleaveproportionatetothenumberofhoursworked,atarateequaltothatofpermanentfulltimeemployees.

Describekeyimpactsandwhoisimpacted

(writetext)



Employeesarenotprovidedwithleave,includingannualpaidleave(minimum3weeks),paidsickleaveandpaidmaternityleave(minimum14weeks).Describekeyimpactsandwhoisimpacted

(writetext)



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b

Employeesareentitledtopaidsickleaveinaccordancewiththeapplicablenationallaw.Ifsickleaveisnotprovidedforinnationallaw,theregistryconsultswithunionorworkerrepresentativestoestablishalternativemeansofprotectionincaseofillnessorinjury.

c Sickleaveisnotdeductedfromemployees'vacationtime.

d Femaleemployeesareentitledtonolessthanfourteenweeksofpaidmaternityleaveperchild.

e

Theregistrygrantscompassionateorparentalleavetoemployeeswhohaverecentlyadoptedachildorchildren,orhavetakenontheresponsibilitytocareforfosterchildrenorotherdependentchildren.Suchleaveshouldbegrantedonequalbasisi.e.regardlessoftheemployee'sgender.

Humanrights


Doestheregistrygrantemployeespaidholidayleave,sickleave,andparental

leaveinaccordancewithinternationalminimumstandards?

A.4Harassment

TherighttofreedomfromdiscriminationandharassmentHumanrightsimpactscenario




aTheregistryhasacommitmenttopreventworkplaceharassment,andactivelyinformsemployeesoftheirobligationstorefrainfromviolent,threateningorabusiveconduct.

b Theregistryhasacodeofconducttooutlineguidelinesforappropriatebehaviourattheworkplaceandmanageoffensiveorabusivebehaviour.

c Allemployeesareinformedaboutapplicableinternalproceduresandcomplaintmechanismsinrelationtooffensivebehaviourorabusivebehaviour.

d Managersreceivetrainingonhowtoidentifyanddealwithinstancesofharassmentintheworkplace.

eTheregistryinvestigatesallcomplaintsofworkplaceharassmentandtakesappropriatepreventativeanddisciplinaryactionincludingreportingofcriminalactionstotheappropriateauthorities.

f Theregistryhasaninternalsystemforhandlingcasesofoffensiveorabusebehaviour.(Suchasystemcouldincludeadesignatedcommittee.)

Humanrights


Incidentsofsexualorothertypesofphysicalorpsychologicalharassmentoccurintheworkplace.


(writetext)



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Doestheregistryprotectworkersfromworkplaceharassment,including

physical,verbal,non-verbal,sexualorpsychologicalharassment,intimidation,

abuse,orthreats?

A.5EmployeePrivacy

RighttoprivacyA.5.1PersonaldataandmonitoringHumanrightsimpactscenario




aTheregistryhasaprocedurestatingwhatkindsofworkplacemonitoringareallowed;whatkindofpersonalemployeeinformationisretained;whereitisstored;whohasaccess;andwhytheinformationisnecessary.

bEmployeesaremadeawareofallworkplacemonitoring,includingcamerasandInternetore-mailmonitoring,andthespecificpurposeofthemonitoring.

c

Theregistrydoesnotattempttogaininformationfromanindividualwithwhomtheemployeehasaprivilegedrelationship,includingaformeremployer,doctororlawyer,withouttheemployee'spriorwrittenconsent.

d

Employeeshaveaccesstoallpersonaldatacollectedaboutthem,includingdataconcerningdisciplinarydecisionsanddataobtainedthroughmonitoring,butexcludingconfidentialmanagementspecificinformationrelatedtoperformanceevaluations,salarynegotiations,promotions,rotationandsimilaremploymentdecisions.

Humanrights


Doestheregistryrespecttheprivacyofitsemployeeswheneveritgathers

privateinformationormonitorstheworkplace?

A.5.2SensitivepersonaldataHumanrightsimpactscenario



Workplacemonitoringorcollectionofemployeepersonaldataoccurswithouttheknowledgeofemployees,withoutajustifiablepurposeorinadisproportionatemanner.


(writetext)



Theregistryhandlessensitivepersonaldataaboutemployeeswithoutcarefulconsultationofnationalandinternationallawsondataprotection.


(writetext)



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a Theregistryhasacommitmenttoprotectsensitivepersonaldataofitsemployees.

b Theregistryonlygatherspersonaldatathatislawful,proportionateandforajustifiablepurpose.

c Employeesaremadeawareofrequeststoaccesstheirsensitivepersonaldata.

dTheregistryhasinplaceanemployeewhistle-blowerprogramthroughwhichemployeescanreportconcernsonthemanagementoftheirpersonaldata.

Humanrights


Doestheregistrycomplywithnationalandinternationallawsondata

protectioninrelationtogatheringandhandlingsensitivepersonaldata?

A.6GrievanceMechanism

RighttoafairhearingHumanrightsimpactscenario




aTheregistryhasawrittenprocedure,agreeduponwithemployeerepresentatives,forhowemployeegrievancesarereceived,processedandsettled.

b Theprocedureisopentogrievancesconcerningallemployment-andworkplace-relatedissues.

c Allemployees,includingtemporaryorthird-partyemployees,areabletousetheprocedure.

dEmployeesareclearlyinformed,inalanguageunderstandabletothem,onhowtousetheprocedure;whatgrievancescanbereported;andhowgrievancesareprocessedandresolved.

e Employeesareabletolodgegrievancesconfidentiallyandwithoutfearofretributionbymanagementorotheremployees.

f Thegrievanceprocedureisabletorespondtocasesofharassmentbymanagers,includinggenderspecificissues,suchassexualharassment.


(writetext)



Employeesareunabletofileandresolveworkplacegrievancesinasafe,transparentandfairmanner.

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gThereiscommitteeresponsibleforhearing,processing,andsettlinggrievances,andthecommitteehasrepresentationbyemployeerepresentatives.

hAnemployeelodgingagrievanceisallowedtoparticipateinhearingsheldwithrespecttothatgrievanceandisinformedoftheoutcomeofthegrievanceresolutionprocess.

Humanrights


Doestheregistryhaveamechanismforhearing,processing,andsettling

grievancesofemployees?

A.7ForcedLabour

RighttofreedomfromforcedlabourandservitudeHumanrightsimpactscenario




aTheregistryensuresthatallemployeesreceiveemploymentcontractspriortostartingworkfortheregistry,andthatcontractsareunderstoodbytheemployees.

b Noticeperiodsareofreasonablelengthandclearlycommunicatedtoworkerspriortostartingemployment.

c Iflettersofreleaseorotherdocumentsareneededfortheemployeetoleaveemployment,theregistryissuessuchletterswithoutdelay.

dWithinnormalworkinghoursemployeesareabletoearnalivingwagesufficienttomeetthebasicneedsofthemselvesandtheirclosestdependents.

e Overtimeworkispaid,voluntaryandnotcompelledthroughthreatofpaydeductions,terminationorothersanctions.

fAllworkersareallowedtoleaveregistrypremisesduringbreaksandattheendoftheirshifts,andworkersinregistryhousingmayfreelyenterandexittheiraccommodationatanytime.

g

Theregistry(oritsrecruitingagencies)doesnotrequireworkerstopayrecruitmentfeesorlodgemoneydeposits,anddonotretainidentitycards,passports,traveldocumentsorotherpersonalitemswithoutwhichemployeescannotleaveemployment.

Workfromemployeesisobtainedinvoluntarilyandunderrealorperceivedthreat(e.g.Forcedovertime,Recruitmentfees,MoneydepositsandRetentionofpersonaldocuments).


(writetext)



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h

Loansorsalaryadvancementstoemployeesarebasedonfairtermsthatareclearlyexplainedtotheemployee,arenotgrantedtocoverbasiclivingexpenses,arelimitedinsize,anddonotrequiretheemployeetoremainwiththeregistryuntilrepaymentiscompleted.

iIftheregistryusesprisonlabouritensuresthatallprisonworkershavebeenconvictedbyacourtoflaw,andthattheworkisvoluntaryandsupervisedbyapublicauthority.

j Theregistryensuresthatitdoesnotuselabourfromagenciesorfirmsinvolvedinhumantraffickingorotherformsofbondedlabour.

Humanrights


Doestheregistrytakeallnecessarymeasurestoensurethatitdoesnot

participateinanyformofforcedorbondedlabour?

A.8ChildLabour

RightsofthechildHumanrightsimpactscenario




aTheregistrydoesnotemployworkersunder15yearsofageforfull-timework,13yearsofageforlightworkand18yearsofageforhazardouswork.

b Iftheregistryemploysminorsbelowtheageof18,theregistryhasalistofjobfunctionsthatcansafelybeperformedbyminors.

cTheregistryisawareoflocalage-levelsforcompletionofcompulsoryeducationanddoesnotemployworkersunderthatageforworkthatmayinterferewithsucheducation.

d

Theregistryhasareliableproceduretochecktheageofyoungjobcandidatesbybirthcertificate,otherofficialformsofidentification,orbyalternativemeanssuchasphysicalappearanceorknowledgeofhistoricevents.

e

registryapprenticeshipprogrammesdonotconstitutethemainportionoftheworkforce,arelimitedinduration,areperformedinconjunctionwithaschoolprogramme(orsupervisedbyLabourMinistersorLabourOrganisations),anddonotinterferewiththechild'scompulsoryeducation.

Employmentofchildrenorminors(belowtheageof15yearsforfull-timeworkandbelowtheageof18yearsforhazardouswork)occursintheworkplace.


(writetext)



9

f

Iftheregistrybecomesawarethatitisemployingyoungworkersbelowminimumage,itensuresthattheyareenrolledineducationprogramme,andthattheirdependentsarecompensatedfortheresultinglossofincome.

Humanrights


Doestheregistrycomplywithminimumagestandards?

A.9PromotingDiversity





a Apolicyondiversitymanagementisinplacecontainingacommitmenttohaveadiverseworkforcethatmirrorsthesocietyinwhichtheregistryoperates

b Thepolicyissupportedwithproceduresandguidancedefiningresponsibilitiesandimplementationsmeasures.

c Allmanagersreceivetrainingincompanypolicyandguidanceondiversitymanagement.

d Theregistryhasestablishedgoalsandtargetsforrepresentationofspecificemployeegroupsintheworkforceandcontinuouslymonitorsperformance.

eTheregistryhasestablishedgoalsandtargetsforperformanceofdiverseemployeegroupsinrelationtorecruitment,hiring,jobgrade,andremunerationandcontinuouslymonitorsperformance.

f Wheregoalsarenotmettheregistrytakesactivestepstopromotediversityintheworkforce.

gTheregistryhasestablishedaforum,accessibleandknowntoallemployees,wherebytheycanregistersuggestionsandideasforimprovementindiversitymanagement.

Humanrights


Doestheregistryrecognize,valueandpromotethedifferencesthat

individualsbringtoitsworkforce?

A.10Non-Discrimination


Peoplefromcertainsocietalgroupsdonothaveequalopportunitiestogainemploymentorpromotionintheregistryorincertainpositionsintheregistry.


(writetext)



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aItiscompanypolicytoensurethatdecisionsconcerninghiring,wages,promotion,training,discipline,retirementandterminationarebasedonlyonunbiasedcriteria.

b Eachjobcategoryintheregistryhasawrittendescriptionstatingthesalarylevelandthequalificationsrequiredforthatjobcategory.

cEmploymentadvertisementsdonotreferencediscriminatorycriteria,suchasrace,genderorage(unlesslistedaspartofalegalequalopportunitiespromotion).

dJobapplicantsarenotaskedtogiveinformationabouttheirmaritalstatus,pregnancy,intenttohavechildren,numberofdependents,orsimilarinformationthatmayleadtodiscriminatoryhiringdecisions.

e Allhiringmanagersreceivetrainingregardingthecompany'snon-discriminationpolicies.

fTheregistryhasestablishedagrievancemechanism,accessibleandknowntoallemployees,whereemployeescansafelyreportincidentsofworkplacediscrimination.

gTheregistrytakesreasonablestepstoenablequalifiedpersonswithdisabilitiesorhealthconditionstogainemploymentopportunitieswiththeregistry,forexampleallowingwheelchairaccess,flexibleworkinghours,longerbreaksetc.

Humanrights


Doestheregistryensurethatemployment-relateddecisionsarebasedon

relevantandobjectivecriteria?

A.11FreedomofAssociation

RighttofreedomofassociationHumanrightsimpactscenario



Employment-relateddecisionsaremadeondiscriminatorygrounds,andnotonthebasisofqualifications,skillsandrelevantexperience.(Canbeseeninpracticesrelatedto:recruitment,compensation,accesstotraining,employeebenefitsandservices,promotion,terminationorretirement.Groundsfordiscriminationcanbe:sex,race,colour,disability,religionorbelief,sexualorientation,age,language,nationalorsocialorigin,politicalorotheropinion,tradeunionmembership,marital,caste,healthoranyotherstatusrecognizedbyinternationallaw.)


(writetext)



Theregistrydoesnotalloworfacilitatetherightofemployeestoorganizeandtobargaincollectively,andemployeesareexposedtoharassmentorretaliationbasedontheirorganisational/tradeunion

affiliationornon-affiliation(includingincountriesofoperationwheretrade-unionsareun-commonandsuppressed).


(writetext)



11


a

Theregistryhasacommitmenttorecognisetherightsofitsworkerstofreedomofassociationandcollectivebargaining,includingtherighttofreelyformand/orjoinindependenttradeunions,andthiscommitmentisclearlycommunicatedtoallemployees.

b

Theregistryrecognisesworkers'organisationsforcollectivebargainingpurposesandhasproceduresinplacetoensureregularcollectivebargainingwithauthorisedworkerrepresentativesconcerningallworkplacerelatedissues.

cTheregistryallowsworkerrepresentativesaccesstocollectivebargainingagreements,registrypremises,employeesandotherrelevantdocumentationneededtofulfiltheirduties.

dTheregistryprohibitsdiscriminationoradverseactionsagainstworkerrepresentativesoremployeesforparticipatingorrefrainingtoparticipateinlawfultradeunionactivities.

eTheregistryhasagreedwithworkers'representativesabouttherequirementsofafairhearingtobefollowedinrelationtoalldisciplinarycasesandemployeegrievances.

fTheregistryhasacommittee,withparticipationofemployee-electedrepresentatives,whichisresponsibleforhearing,processing,andsettlingdisciplinarycasesandemployeegrievances.

gTheregistryallowsemployeestoengageinregularemployee-onlymeetingswithinnormalworkinghours,whereemployeescandiscussconcernsregardingworkingconditions.

hWhereallowedbylocallegislation,andifindependenttradeunionsarenotpresent,theregistryinformsemployeesoftheirrighttoformindependentcollectiverepresentationattheworkplace.

iWhereallowedbylocallegislation,theregistryinformsemployeesoftheirrighttoengageinregularcollectivebargainingconcerningallworkplaceissues.

jCompanymanagementmeetsregularlywithemployeerepresentativestodiscusswork-relatedproblemsandanygrievancesemployeesmaywishtoraise.

Humanrights


Doestheregistryrecognisetherightsofitsworkerstofreedomofassociation

andtobargaincollectively?

A.12WorkplaceHealthandSafety

Righttoworkandtojustandfavourableconditionsatwork,Righttoadequatehealth,Righttolife.Humanrightsimpactscenario



Employeesareexposedtounsafeorunhealthyworkingenvironments,resultinginaccidentsorpersonalinjury.


(writetext)



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a Theregistryhaseffectivehealthandsafetyproceduresinplace,whichcomplywithindustry,nationalandinternationalstandards.

b Healthandsafetyinformationandproceduresareavailabletoemployeesinalanguagetheyunderstand.

c Responsibilitiesforhealthandsafetytasksareclearlydefined.

dHealthandsafetyincidentsarereportedandinvestigated,andaconfidentialprocedureisinplaceforreceivingandhandlinghealthandsafetycomplaintsfromemployees.

e Theregistryroutinelymonitorsitsproductionprocesses,machineryandequipmenttoensurethattheyaresafeandingoodworkingorder.

fWorkersandmanagersaretrainedtorespondtoworkplaceemergencies;firstaidkitsandfireextinguishersarereadilyavailable;andescapeexitsareclearlymarkedandfreefromobstruction.

gTheworkplaceismaintainedtoensurecleanandcomfortableconditionsincludingasuitabletemperature,ventilationandlighting;suitablewashingandsanitationareasappropriateforbothgenders.

h

Residentialorovernightfacilitiesaresafeandsanitaryandmeetthebasicneedsofworkersincludingwithregardtosafety,space,temperature,lighting,ventilation,food,water,sanitaryfacilities,privacy,andaffordability.

i Theregistryprovidessafedrinkingwaterforallemployeesandfacilitiesforcleanandsanitaryfoodstorageandeating.

jWhererelevanttheregistryhasputinplacespecialhealthandsafetyprecautionsforpregnantwomen,employeeswithdisabilities,nightworkers,youngworkersandothervulnerablegroups.

kTheregistryhasaproceduretoensurethatallemployeesareprovided,freeofchargeordeposits,withtheprotectiveequipmentandtrainingnecessarytosafelyperformtheirjobfunctions.

lEmployeesarekeptfullyinformed,inalanguageandformunderstandabletothem,ofanyhealthandsafetyrisksassociatedwiththeirjobfunctions,includingrequirementsforprotectiveequipment.

m

Ataminimumofeverytwoyears,andwhenassignedtonewtasks,employeesreceivetrainingbyaknowledgeableexpertinthesafeuseofequipmentandprocesses,andanaccuraterecordiskeptofwhohasbeentrainedandforwhattasks.

Humanrights


Doestheregistryensurethatitsworkersareaffordedsafe,suitableand

sanitaryworkfacilities?

A.13IntellectualPropertyRights

Righttointellectualproperty

13

Humanrightsimpactscenario




aTheregistrypolicyonownershipoftheintellectualpropertyrightsforinventionsorotherworksisagreeduponbyemployeesandtheirrepresentatives.

bTheregistryhasanagreementwithitsemployeesabouthowintellectualpropertyrightsforproductscreatedorinventedinwholeorinpartbyemployeesaretobeshared.

Humanrights


Doestheregistryobtainemployees'informedconsentandprovidethemwith

compensationforinventionsorotherworksgeneratedbythementirelyorin

part?


a Aspartofitsduediligenceprocesses,thecompanycontactsthepatentofficestoobtaininformationaboutinventionsitmaywishtouse.

b Thecompanyobtainsauthorizationfrompatentholdersbeforecommerciallyexploitinganylocallypatentedideasorproducts.

Humanrights


Doesthecompanyobtainauthorizationfromexistingpatentholder(s)before

commerciallyexploitinganylocallypatentedinvention?


(writetext)



Employeesarenotcompensatedforinventionsorotherworksgeneratedinwholeorinpartbythem.

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B.RegistriesasProcurersofGoodsandServicesAppliestoTier1suppliers,andtolower-tiersupplierswhereasignificantpartoftheirproductiongoestotheregistry.

B.1HumanRightsinSupplyChainManagementHumanrightsimpactscenario

Probability(clickbelowtochooseoption)

Severityofconsequencesforimpactedpeople(clicktochooseoption)


a Theregistryhasacommitmenttopromotethecontinuousimprovementofhumanrightsstandardsofitssuppliers.

b Thecommitmentissupportedbytrainingonhumanrightsstandardsforrelevantmanagementandprocurementstaff.

c Theregistryhasconductedanassessmentofitssupplychaintoidentifywhichsuppliershavethegreatestriskofabusivehumanrightsconduct.

dTheregistryhasdefinedminimumrequirementsforthehumanrightsstandardsofsuppliersandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.

e Wherenecessary,theregistrycollaborateswithindividualsupplierstoimplementcontinuousimprovementsofhumanrightsstandards.

fTheregistry'sprocurementpractices,suchasprices,deliverytimesandinternalincentivestructures,encourageimprovedhumanrightsinsuppliersandbusinesspartners.

g Theregistrycollaborateswithothercompaniestopromoteimprovedhumanrightsstandardsinsuppliers.

Humanrightscompliancequestion YES NO F/A N/A COMMENTSANDDOCUMENTATION FOLLOW-UPACTION

Doestheregistrypromoteinternationalhumanrightsstandards(e.g.employee,communityandconsumerrights)initsinteractionswithsuppliersandbusinesspartners?

B.2Hours,Wages,andLeaveRighttoworkandtojustandfavourableconditionsatwork,Righttorestandleisure,Righttoadequatestandardofliving,Righttofamilylife,RighttohealthHumanrightsimpactscenario

Humanrightsstandards(e.g.onemployeetreatment,communityimpactandconsumerrights)arenotadequatelypromotedininteractionswithsuppliersandbusinesspartners

Describekeyimpactsandwhoisimpacted(writetext)

Assessnumbersimpacted(clicktochooseoption)

Supplieremployeesareexposedto:-excessiveworkinghours,excessiveovertimeandlackofrestperiods;-salariesthatdonotconstitutealivingwagesufficienttomeetthebasicneedsoftheemployeeandtheemployee'slegitimatedependents;or-lackofpaidannualleave,paidsickleaveandpaidmaternityleave.

15

Probability(choose)



aTheregistryhasdefinedminimumrequirementsconcerningworkinghours,overtime,restperiods,wagesandlaveandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.

b Theregistryhasconductedanassessmentofitssupplychaintoidentifywhichsuppliershavethegreatestriskofnon-conformancewiththeserequirements.

c Wherenecessary,theregistrycollaborateswithindividualsupplierstoimplementcontinuousimprovementsofthesestandards.

Humanrightscompliancequestion YES NO F/A N/A

Doestheregistrypromotelabourstandardsonworkinghours,overtime,restperiods,wagesandleaveinitsinteractionswithsuppliersandbusinesspartners?

B.3WorkplaceHealthandSafetyRighttoworkandtojustandfavourableconditionsatwork,RighttohealthHumanrightsimpactscenario

Probability(choose)



aTheregistryhasdefinedminimumrequirementsconcerningworkplacehealthandsafetyandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.




Doestheregistrytakestepstoensurethatemployeesofitssuppliersareaffordedsafe,suitableandsanitaryworkfacilities?

B.4ForcedLabourRighttofreedomfromforcedlabourandservitudeHumanrightsimpactscenario





Supplieremployeesareexposedtounsafeorunhealthyworkingenvironments,resultinginaccidentsorpersonalinjury.

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16

Probability

(choose)

Severityofconsequencesfor

impactedpeople(clickto

chooseoption)


aTheregistryhasdefinedminimumrequirementsconcerningforcedandbondedlabourandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.



Humanrights


Doestheregistrytakeallnecessarymeasurestoensurethatitssuppliersdonot

participateinanyformofforcedorbondedlabour?

B.5ChildLabour

RightsoftheChildHumanrightsimpactscenario

Probability

(choose)


impactedpeople(clickto

chooseoption)


a Theregistryhasdefinedminimumrequirementsconcerningminimumageandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.



Humanrights


Doestheregistrytakeallnecessarymeasurestoensurethatitssupplierscomply

withminimumagestandards?

B.6Non-Discrimination


Workfromsupplieremployeesisobtainedinvoluntarilyandunderrealorperceivedthreat(e.g.Forcedovertime,Recruitmentfees,MoneydepositsandRetentionofpersonaldocuments).Describekeyimpactsandwhoisimpacted

(writetext)



Suppliersemploychildrenorminors(belowtheageof15yearsforfull-timeworkandbelowtheageof18yearsforhazardouswork).


(writetext)



17

Probability(choose)

Severityofconsequencesforimpactedpeople(clicktochooseoption)High


aTheregistryhasdefinedminimumrequirementsconcerningnon-discriminationandnon-harassmentandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.




Doestheregistrytakeallnecessarymeasurestoensurethatitssuppliersprohibitharassmentandbaseemployment-relateddecisionsonrelevantandobjectivecriteria?

B.7PrivacyRighttoprivacyHumanrightsimpactscenario

Probability(choose)



a Theregistryhasdefinedminimumrequirementsconcerningprivacyandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.

b Theregistryhasconductedanassessmentofitssupplychaintoidentifywhichsuppliershavethegreatestriskofnotmeetingtheprivacystandards



Doestheregistrytakeallnecessarymeasurestoensurethatitssupplierscomplyprivacystandards?

B.8IntellectualPropertyRightsRighttointellectualproperty,righttosecurity,

Supplieremployeesareexposedtoharassmentoremploymentrelateddecisionsmadeondiscriminatorygrounds,andnotonthebasisofqualifications,skillsandrelevantexperience.(Canbeseeninpracticesrelatedto:recruitment,compensation,accesstotraining,employeebenefitsandservices,promotion,terminationorretirement.Groundsfordiscriminationcanbe:sex,race,colour,Describekeyimpactsandwhoisimpacted(writetext)


Supplierworkplacemonitoringorcollectionofemployeepersonaldataoccurswithouttheknowledgeofsupplieremployees,withoutajustifiablepurposeorinadisproportionatemanner.



18


Probability(choose)



aTheregistryhasdefinedminimumrequirementsconcerningintellectualpropertyandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.

b Wherenecessary,theregistrycollaborateswithindividualsupplierstoimplementcontinuousimprovementsofthesestandards.

cTheregistryhasconsideredapreferenceforfreeandopen-sourcesoftwareandhardwaretoenhancesecurityandreducepotentialunforseenintellectualpropertlyclaims.


Doestheregistrytakeallnecessarymeasurestoensurethatitssupplierscomplywithintellectualpropertyrightsstandards?

B.9CommunityImpactRighttoadequatehealth,RighttoadequatestandardoflivingHumanrightsimpactscenario

Probability(choose)



aTheregistryhasdefinedminimumrequirementsconcerningenvironmentalimpactsandhazardsandcommunicatestheseinwritingtonewandexistingsuppliersandbusinesspartners.




Employeesofsuppliersarenotcompensatedforinventionsorotherworksgeneratedbythem,entirelyorinpart.



Environmentalimpactsofsuppliersleadingtohealthproblems,reducedlivelihoodsandaccesstosafewaterforlocalcommunitiesoccur.



19

Doestheregistrytakeallnecessarymeasurestoensurethatitssuppliershaveaproceduretoassessandaddresstheenvironmentalimpactsofitsoperationsonthehumanrightsoflocalcommunities?

20

C.Registries,theEnvironment,andLocalCommunities

C.1EnvironmentalImpacts

Righttoadequatehealth,RighttoadequatestandardoflivingHumanrightsimpactscenario

Probability(click

belowtochoose

option)


impactedpeople(clicktochoose

option)


a Theregistryfollowsinternationalenvironmentalstandardsorlocallaw,whateveristhehighest.

b

Beforestartingnewoperationsordevelopments,theregistryconductsanimpactstudytoassessthepotentialenvironmentalandsocialimpactsoftheplannedactivities,includinganassessmentoftheirpotentialhumanrightsconsequencesforlocalinhabitantsorotheraffectedcommunities.

cTheregistryhasamethodforidentifyingtheindividualswhoarelikelytobeaffectedbysuchimpactsandengagesinconsultationwiththoseindividuals,priorto,duringandaftercarryingouttheoperations.

dTheregistrysharesthefindingsofitssocialandenvironmentalimpactassessmentstudieswiththeaffectedindividualsinaformandlanguageaccessibletothem.

eInconsultationwiththeaffectedindividuals,theregistrydevelopsappropriatemanagementplanstoprevent,reduceandmitigateadversesocialandenvironmentalimpacts.

fTheregistrycontinuouslymonitorsitssocialandenvironmentalimpactsandprovidesaffectedindividualswithregularaccesstoupdatedinformationaboutthesocialandenvironmentalimpactsofregistryoperations.

g Theregistryhasclearproceduresinplaceforwastemanagement,includinge-wastemanagement.

hTheregistryprovidesorcollaboratesinanaccessible,effective,fairandtransparentmechanismtoreceiveandresolvegrievancesfrompotentiallyaffectedindividuals.

Humanrights


Doestheregistryhaveaproceduretoassessandaddresstheimpactofitsoperations

onthehumanrightsoflocalcommunities?

C.2Security

Righttofreedomfromtorture,ordegradingtreatmentorpunishment,Righttolife,libertyandsecurityofpersonHumanrightsimpactscenario

Environmentalimpactsleadingtohealthproblems,reducedlivelihoodsorreducedaccesstosafewaterforlocalcommunitiesoccur.


(writetext)



21

Probability

(choose)


impactedpeople(clicktochoose

option)


aTheregistryregularlyconductssecurityriskassessments,andensuresthatcompanysecurityarrangements,includingthedeploymentofprivateguardsorpublicsecuritypersonnel,areproportionatetothesecurityrisk.

b Companysecurityriskassessmentsincludeanassessmentoftheriskofhumanrightsabusesbyprivateandpublicsecuritypersonnelinthecountryorareasofoperation.

c

Theregistryselectsprivatesecurityfirmsbasedoninformationaboutprofessionalability,levelofstafftraining,qualityofequipment,pastinvolvementinhumanrightsabuses,linkswithpoliticalfactionsororganisationsandotherrelevantcriteria.

d

Contractswithprivatesecurityfirmsincluderequirementsrelatedtointernationalhumanrightsstandardsforlawenforcementanduseofforce;requiretheinvestigationanddisciplineofanyunlawfulorabusiveconductbysecurityguards;andallowforterminationofthecontractincaseofsuchconduct.

eThereisamanualdefiningthedutiesofsecuritypersonnel,andallsecuritypersonnelreceivetrainingonrulesofconductbasedoninternationalhumanrightsstandardsforlawenforcementandtheuseofforce.

f

Wherepublicsecuritypersonnelareassignedtocompanyfacilities,theregistryseekstoensuretransparencyconcerningitsinteractionswithpublicsecurityagencies,andtheregistrycommunicatestotherelevantpublicsecurityagenciesitsdesirethatsecurityfunctionsbeconductedinaccordancewithinternationalhumanrightsstandardsforlawenforcementandtheuseofforce.

g

Theregistryhasaprocedureforrecordingsecurity-relatedincidents,includingamechanismforhandlingcomplaintsfromstafforlocalcommunitiesrelatedtotheconductofsecuritypersonnel,andforwardscredibleallegationsofhumanrightsabusestotherelevantauthorities.

h

Theregistryhasaprocedureformonitoringandevaluatingitssecurityarrangements,includingtheproportionalityofthesecurityarrangement;impactonlocalcommunities;impactonexistinglocaltensionsorconflicts;securityincidentsrecorded;andcredibleallegationsofhumanrightsabusesbyregistrysecuritypersonnel.Representativesfromthelocalcommunityareconsultedaspartofthemonitoring.

Humanrights


Doestheregistrytakestepstoensurethatcompanysecurityarrangementsarein

accordancewithinternationalhumanrightsprinciplesforlawenforcementandthe

useofforce?

C.3LandManagement

Righttoownproperty,Righttoadequatehousing,Righttoadequatestandardofliving

Localcommunitiesareexposedtoharassment,intimidation,useofforceorotherimpropertreatmentbyprivatesecurityguards,policeormilitaryprovidingsecurityforcompanypersonnelorforassetsthatare

owned,operatedorusedbytheregistry.


(writetext)



22


Probability(choose)



aPriortobuying,renting,acquiringorotherwiseaccessinglandorproperty,whetherdirectlyorthroughathirdparty,theregistryidentifiesallexistingownersandusersorofthelandorproperty.

b

Theregistryalsoinvestigatesthepastusageandownershipofthelandorpropertytoensurethatpastusersandownershavenotbeenwrongfullyremoved,andthatanyexpropriationsbytheauthoritieshavebeenconductedinaccordancewithinternationallaw.

c

Theregistryconsultswithaffectedusersandownersofthelandorproperty(includingwomen,tenants,settlers,minoritiesandothervulnerablegroups)andseekstheirfreeandinformedconsentbeforecontinuingtoacquireoraccessthelandorproperty.

dTheregistryensuresthataffectedownersandusersofthelandorpropertyareadequatelycompensated,atorabovemarketreplacementrates,forthelandorproperty,includingfordamagestoland,damagestoassets,andlossofincome.


Beforebuying,renting,acquiringorotherwiseaccessinglandorproperty,doestheregistryensurethatallaffectedownersandusersofthelandorproperty,havebeenadequatelyconsultedandcompensated?

C.4CorruptionandBriberyRighttoaccesstoinformation,RighttotakepartiningovernmentHumanrightsimpactscenario

Probability(choose)



a Theregistryinformsallemployeesaboutitsanti-corruptioncommitment.

b Theregistryprovidesanti-corruptiontrainingatalllevelswithintheorganization

c Informationondisciplinaryproceduresforviolationsofcompanyanti-corruptionpoliciesisavailabletoemployees.

d Theregistryactivelyseeksemployeefeedbackanddialogueonitsanti-corruptioninitiatives.

Acquisition,leasing,orrentingoflandorpropertyleadstoimproperdisplacementofowners,residentsoruserswithoutadequatepriorinformedconsultationorwithoutadequatecompensation.Describekeyimpactsandwhoisimpacted(writetext)


Payments,giftsorservicesaremadeorofferedbyregistryoritsrepresentatives,agentsorsupplierstocivilservantsorpublicauthorities,togainorfacilitatedecisionsandservices



23

eTheregistryhasandpromotesafunctionbywhichemployeescansafelyreportsuspicionofcorruptionrelatedcases(e.g.hotlineormailbox)andallocatesresourcestosystematicallyaddresstheissuesthatareidentified.

fTheregistryevaluatesthepotentialareasofcorruptionincludingfactorssuchastypeoftransaction,countriesofoperation,industries,andcustomersorbusinesspartnersinvolved.

g Theregistryevaluatestheriskofcorruptionwhenemployees,agents,intermediariesorconsultantsdealwithpublicofficialsincludingemployeesofstateownedcompanies.

hTheregistryevaluatestheriskofinternalandexternalconflictsofinterestinrelationtobusinesspartnersandgovernmentofficialsincludingemployeesofstateownedcompanies.

i Theregistryhasdevelopedanactionplantoaddresstheriskofcorruption,andhasdefinedresponsibilitiesforeachtaskincludingdetailedpoliciesforhigh-riskareas.

jTheregistryhasidentifiedtheweakestspotsofcorruptionwithintheregistryandseekstoaddresstheseweaknessesinthepreventionofcorruptioninternalfunctionswiththehighestriskofcorruption,andaddressesweaknessesinthepreventionofcorruption.

kTheregistrysharesexperience,proceduresandchallengesofcorruptionwithotherorganizationsi.e.thelocalbusinesscommunity,sectorinitiatives,networksetc.

l Theregistryhasinitiatedorjoinedinitiativeswithothercompaniesinthesamesectorforthepurposeofpromotingafairbusinessenvironment.

m Theregistrystimulatesmulti-stakeholderdialogueonchallengesofcorruption.

n Theregistryencouragesthelocalbusinesscommunityandbusinesspartnerstoinitiatecooperationtofightcorruption.


Doestheregistryevaluateandassesstheriskofcorruptionwhendoingbusiness?

24

D.RegistriesasProvidersofTLDandOtherDomainServices(in-houseoroutsourced)

D.1AcquiringTLDs

Righttofreedomofexpression,righttoprivacy,freedomofassociation,freedomfromdiscriminationD.1.1AgreementswithICANN


Probability(click

belowtochoose

option)




a TheagreementwithICANNincludesacommitmenttorespectinternationalhumanrights.

b TheagreementwithICANNincludesacommitmenttorespecttherighttoprivacyofregistrarsandregistrants.

c InformationaddedtothepublicWHOISregistryisinlinewithlocalandinternationallawaswellashumanrights.

d InformationaddedtothepublicWHOISregistrycanbeminimizedtoimproveregistrantsprivacy.

e TheagreementwithICANNincludesacommitmenttorespecttherighttofreedomofexpressionofregistrarsandregistrants.

f TheagreementwithICANNincludesacommitmenttorespecttherighttofreedomofassociationofregistrarsandregistrants.

g TheagreementwithICANNincludesacommitmenttoensuretherighttofreedomfromdiscriminationofregistrarsandregistrants.

Humanrights


Arerelevanthumanrightsissuesapartoftheagreementbetweentheregistryand

ICANN?

D.1.2Agreementswithgovernment


Probability

(choose)




a Theagreementwiththecorrespondinggovernmentincludesacommitmenttorespectinternationalhumanrights


(writetext)



TheagreementbetweentheregistryandICANNdoesnotcoverhowtheregistryshouldalignitselfwithhumanrights,includingonissuessuchasfreedomofexpressionandrighttoprivacy,andinrelationtothe

registry'stermsandconditions.


(writetext)



InthecaseofaccTLD,theagreementbetweentheregistryandthecorrespondinggovernmentdoesnotcoverhowtheregistryshouldalignitselfwithhumanrights,includingonissuessuchasfreedomofexpression

andrighttoprivacy,initstermsandconditions.

25

b Theagreementwiththecorrespondinggovernmentincludesacommitmenttocomplywiththerighttoprivacyofregistrarsandregistrants.

c Theagreementwiththecorrespondinggovernmentincludesacommitmenttocomplytherighttofreedomofexpressionofregistrarsandregistrants.

d Theagreementwiththecorrespondinggovernmentincludesacommitmenttoensuretherighttofreedomofassociationofregistrarsandregistrants.

e Theagreementwiththecorrespondinggovernmentincludesacommitmenttoensuretherighttofreedomfromdiscriminationofregistrarsandregistrants.

Humanrights


Arehumanrightsintegratedintotheagreementbetweentheregistryandthe

correspondinggovernment?

D.2HumanRightsinRegistrarEngagement

Righttofreedomofexpression,righttoprivacy,freedomofassociation,freedomfromdiscriminationD.2.1Humanrightsininteractionswithregistrars


Probability

(choose)




a Theregistryhasacommitmenttopromotethecontinuousimprovementofhumanrightsstandardsofitsregistrars.

b Thecommitmentissupportedbytrainingonhumanrightsstandardsforrelevantstaff.

c Theregistryhasdefinedminimumrequirementsforthehumanrightsstandardsofregistrarsandcommunicatestheseinwritingtonewandexistingregistrars.

dThecontractbetweenregistryandregistrarcommitsregistrarstoavoidcontributingtoactionsthatmayinterferewiththerighttoprivacyofregistrantsorotherusers,exceptwheresuchactionsarelawful,proportionateandforajustifiablepurpose.

eThecontractbetweenregistryandregistrarincludesacommitmenttorespectinternationalhumanrights,suchastherighttoprivacy,freedomofexpression,freedomfromdiscriminationandfreedomofassociation.

f

Inrelationtotakedownsandblockingofspecificdomains,thecontractbetweenregistryandregistrarcommitsregistrarstorespecttherighttofreedomofexpressionofregistrantsandotherusers,andtoavoidcontributingtoactionsthatmayinterferewiththisright,exceptwheresuchactionsarelawful,proportionateandforajustifiablepurpose.

g

Thecontractbetweenregistryandregistrarcommitsregistrarstomaintainopennessandthefreeflowofinformationovertheinternetexceptinfew,exceptional,andlimitedcircumstancesprescribedbyinternationalhumanrightslaw,suchasinthecaseofabusiveordiscriminatorycontent.

h Theregistryhasinplaceproceduresforongoingmonitoringofregistrars'compliancewiththerequirementssetoutinthecontract.

Humanrightsstandardsarenotadequatelypromotedininteractionswithregistrars.


(writetext)



26

iThecontractbetweentheregistryandregistrarcontainsprovisionsfortheregistrartoinformtheregistryinthecasethattheregistrarisnotwillingtodelegatespecificdomainsonthebasisoflegitimateandreasonablegrounds.

jTheregistrymaintainsaninventoryofspecificdomainswithlimitedavailabilitytoensurewideavailabilityofregistration,andinformsregistrantsoftheavailabilityofalternativeoptionstoregisterdomains.

k Iftheregistrychoosestolimittheregistrationofdomains,thedelegationisinlinewithhumanrightsandclearlycommunicatedwithappropriatedueprocess.

Humanrights


Doestheregistrypromoteinternationalhumanrightsstandardsinitsinteractions

withregistrars?

D.2.2Humanrightsincontracttermswithregistrars


Probability

(choose)




aThecontractbetweenregistryandregistrarincludesacommitmenttorespectinternationalhumanrights,suchastherighttoprivacy,freedomofexpression,freedomfromdiscriminationandfreedomofassociation.

bThecontractbetweenregistryandregistrarcommitsregistrarstoavoidcontributingtoactionsthatmayinterferewiththerighttoprivacyofregistrantsorotherusers,exceptwheresuchactionsarelawful,proportionateandforajustifiablepurpose.

c

Inrelationtotakedownsandblockingofspecificdomains,thecontractbetweenregistryandregistrarcommitsregistrarstorespecttherighttofreedomofexpressionofregistrantsandotherusers,andtoavoidcontributingtoactionsthatmayinterferewiththisright,exceptwheresuchactionsarelawful,proportionateandforajustifiablepurpose.

d

Thecontractbetweenregistryandregistrarcommitsregistrarstomaintainopennessandthefreeflowofinformationovertheinternetexceptinfew,exceptional,andlimitedcircumstancesprescribedbyinternationalhumanrightslaw,suchasinthecaseofabusiveordiscriminatorycontent.

e Theregistryhasinplaceproceduresforongoingmonitoringofregistrars'compliancewiththerequirementssetoutinthecontract.

f Inthecasethatthereisadirectcontractualrelationbetweentheregistryandtheregistrantthecontractisalignmentwiththeregistrycommitmenttohumanrights.

Humanrights


Doestheregistrysetrequirementsonregistrarstorespecthumanrightsintheir

engagementwithregistrantsandotherusers?

D.3ProvidingDomainNames

Freedomofexpression,righttoprivacy,freedomofassociation,freedomfromdiscrimination,righttomaterialgainsfrominventionsandmoralrightsofauthorsD.3.1Contractsbetweenregistrarandregistrant


Theregistrydoesnotrequireregistrarstorespecthumanrightsintheirengagementwithregistrants.


(writetext)



27

Probability

(choose)



Low


a Theregistryensuresthattheirtermsofserviceareclearlyandopenlycommunicatedinthecontractsbetweenregistrarsandregistrants.

b Theregistryensuresthatregistrarscommunicateclearlyandopenlyaboutcontractualcommitmentsbetweenregistryandregistrantsintheircontractswithregistrants.

cThecontractbetweentheregistryandregistrarincludesprovisionstoensurethatthehumanrightscommitmentsareconveyedtotheregistrantinawaythatiseasilyaccessible.

Humanrights


Doestheregistryensurethatregistrarsinformregistrantsabouttheircontractual

commitmentstotheregistry,andabouttheregistry'stermsofservice?

D.3.2Accesstodomains


Probability

(choose)




a Theregistryensuresthatitsownpricesettingofdomainsallowsforequalaccesstoitsservices.

b Theregistryengageswithregistrarstoensurethattheirpricesareatalevelthatallowsforequalaccesstoacquiringdomains.

c Theregistryengageswiththeregistrartoensureaccesstothedomainforpeoplewithdisabilitiesorlanguageconstraintsimpairingtheiruseoftheregistrarplatform.

d Theregistryensuresthatthedomainsarewidelyavailable,accessibleandaffordabletoall.

e Theregistryensuresthatnoregistrantisexcludedfromaccesstoadomainbytheregistrar,unlesssuchexclusionisbasedonnationallawofthecountryoftheregistry.

Humanrights


Doestheregistryensurefairandequalaccesstoacquiringdomains?

D.3.3Managingpersonaldata


Probability

(choose)



Registrantsarenotclearlyandopenlyinformedabouttheircontractualcommitmentstotheregistryortheregistry'stermsofservice.


(writetext)



5.000personsandabove

CertaingroupsarefullyorpartlyexcludedfromacquiringavailableTLDs,duetopricingorotherobstacles.


(writetext)



Personaldataiscollected,storedorusedwithoutaclearlydefinedpurpose,inanunlawfulorunsafemanner,orwithouttheinformedandcontinuedconsentofregistrants.


(writetext)



28

Indicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

a Personaldataiscollectedforaspecificandclearlydefinedpurpose.Theregistryhasmechanismstoensurethatdataisaccurate,completeandkeptup-to-date.

bTheregistryhasprocessestoensurethatpersonaldataisdeletedwhenitisnolongernecessarytofulfilthepurposesforwhichitwascollected,exceptifthedataisstrictlynecessaryforoperationalpurposes.

c

Theregistryhasmeasurestopreventthatpersonaldataisdisclosed,madeavailableorotherwiseusedforpurposesotherthanthoseforwhichitiscollected;exceptwiththeconsentoftheregistrantoruser,orbytheauthorityoflaw.

d Dataisonlyusedtoidentifyuserpatternsinananonymizedform.

e Employeeshaveadutyofconfidentialitybylawandwrittenagreementsregardingnon-disclosure.

f

Personaldataisprotectedbyreasonablesecuritysafeguardsagainstsuchrisksaslossorunauthorisedaccess,fraud,destruction,use,modificationordisclosureofdata.Anybreachinsecurityorintheconfidentialityofpersonaldataareremediatedwithin24hours,ifatallpossible.

gSecurityauditsarecontinuouslyconductedtoensureimplementationofcorrectiveactions(e.g.incaseofsecurityincidents)andtomaximizecompliancewithprivacyanddataprotectionpoliciesandguidelines.

h

Registrantsandusersmayobtaininformationaboutdatarelatingtohim/her;havethosedatacommunicatedwithinareasonabletimeinaninexpensiveandreasonablemanner;beabletochallengedatarelatingtohim/herand,ifthechallengeissuccessful,havethedataerasedorrectified.

iThereisageneralpolicyofopennessaboutpracticesandpolicieswithrespecttopersonaldata.Meansarereadilyavailableofestablishingthenatureofpersonaldatacollected,themainpurposesoftheiruse,andtheidentityofthedatacontroller.

j

Registryservicesthatincludeprivacysettingsarebydefaultsettomaximizetheprivacyprotectionoftheregistrantand/oruser.Theregistryprovidesclearinformationandwarningstoregistrantsandusers,includingminors,ofthepotentialconsequencesofchangestheymakeintheirdefaultprivacysettings.

k Theregistryisawareofandcomplieswithrelevantnationallaws,internationalguidelines,andindustrystandardsregardingthetransferofpersonaldata.

Humanrights

compliancequestion YES NO F/A N/A COMMENTS FOLLOW-UPACTION

Doestheregistryrespecttheprivacyofregistrantsandotherusers,andprotecttheir

personaldata?

D.3.4Securityinservicesandoperations


Probability

(choose)



Servicesprovidedbytheregistryarenotsecureduetolackofprecautionarymeasures.


(writetext)



29


a TheregistryhasdocumentedDNSSECsigningproceduresinplace.

b TheregistryhasformalsecuritycontrolframeworksinlinewithISOstandards.

c Theregistryimplementscurrentapplicableprivacystandards(e.g.DNSoverTLS,orDNSoverQEUC).

d TheregistryoffersbothIPv4andIPv6forallitsservices.

e Aregularsecurityreviewandauditofregistrysoftwareplatformsisperformedthroughindependentthirdpartyaudits.

f Iftheregistryhasserviceshostedonthird-partyhostingordistributionplatforms,theapplicablelegalframeworkandtermsofservicecomplywithhumanrightsstandards.

g Throughthecontractswiththeregistryandorregistrantitisclearlycommunicatedinwhichjurisdictionsandunderwhichtermsofservicetheirdataishandled.

h Iftheregistryhasservicesinternallyhosted,theToEsarereflectedintheregistry'sowntermsofservice.

iIftheregistryhasphysicalserverslocatedindifferentphysicallocationsindifferentjurisdictions,theregistryensuresthatsecuritystandardsaremetinalllocationsandjurisdictions.

Humanrights


Doestheregistryapplysufficientandappropriatemeasures,includingnewest

standardsandtechnologies,toensurethesecurityofitsservicesandoperations?

D.4MaintainingDomainNames

Righttofreedomofexpression,righttoprivacy,freedomofassociation,righttosecurityHumanrightsimpactscenario

Probability

(choose)




aInanyoperationstoensurerobustnessresilienceandstabilityoftheTLD,policiesandproceduresareinplacetoensuretheprivacy,freedomofexpressionandotherhumanrightsofregistrantsandusers.

b Theregistryhasinplaceasystemtomonitorsystemfunction.

c Registrarsareinformedincaseoftechnicalfailure.

d Registrarsarerequiredbytheregistrytoinformregistrantsincaseoftechnicalfailure.

e Registrarsareinformedincaseofsecuritybreaches.

f Registrarsarerequiredbytheregistrytoinformregistrantsincasesofsecuritybreaches,consequencesandremediationapproaches.

g Theregistryhasstandardiseditsprocessesinaccordancewithinternationalstandards,suchasISO9001orequivalent.

Personaldataiscompromisedduetosystemmalfunctionorsecuritybreach.


(writetext)



30

h TheregistryhasasysteminplacetomitigateattacksagainsttheTLD(e.g.amplificationattacks).

i Theregistryhassystemsinplacetomitigateinfrastructureabuses(e.g.malware,botnetsetc.).

Humanrights


Doestheregistryasysteminplacetoensuretheongoingmaintenanceandfunction

oftheTLD?

D.5Amending/TransferringDomainNames


Probability

(choose)




a Theregistryhasinplaceasystemtoeasilyamendandtransferdomains.

b AnytransferalsoramendmentsaredonewithpermissionbytheregistrantandinlinewithhumanrightsstandardsandapplicablenationallawsthatgoverntheRegistry.

c Registrarsarerequiredtofileamendmentstothesystemoftheregistry.

Humanrights


Doestheregistryhaveasysteminplacetotransferdomainsinawaywhichalignsto

nationalregulationandinaccordancewithhumanrightsstandards?

D.6EngagingwithThirdParties

Righttofreedomofexpression,righttoprivacy,freedomofassociation,righttosecurityD.6.1Interferencewiththerighttoprivacy


Probability

(choose)




a Theregistryhasapolicycommitmenttocomplywithrelevantinternationalandregionalstandardsonprivacyanddataprotection.

bRegistrantsareinformedaboutcircumstancesinwhichtheregistryisunderalegalobligationtorevealtheiridentification,connectionortrafficdatabyrequestfromgovernmentagencies.


(writetext)



Registrantsareunabletoamendortransfertheirdomains.

Personaldataisaccessed,disclosedormonitoredinamannerwhichisunlawful,disproportionateorinbreachofinternationalhumanrightsprinciples.


(writetext)



31

c

Theregistryhasacommitmenttoevaluateanyinternalorexternalrequest-includinggovernmentrequests-thatmayinterferewiththeregistrants'orusers'righttoprivacyaccordingtointernationalprivacystandards,e.g.tomonitororaccesspersonaldata.Theregistryrequiresdetailsregardingthenecessityandjustificationforanyrestrictiverequest.Requestsarerequiredinwrittenform,ifatallpossible.

dProcedurestobefollowedincaseofarequestthatinterferewithregistrants'orusers'righttoprivacyareclearlydescribedandincludedinrelevantcompanyguidelines/instructions.

e Anylegitimaterequestthatinterferewiththerighttoprivacyisnarrowlyinterpretedandenforcedintheshortesttimeperiodpossible.

fWhenrequestsappeartobeinconflictwithinternationalstandardsonprivacytheregistryhasprocessestoseekjudicialreviewinaccordancewithestablishedinternationaltreaties,guidelines,orotherresources.

g Registrants,governmentauthorities,andotherrelevantstakeholdersarenotifiedintheeventofdatabreachorunauthorizedprocessingofpersonaldata.

Humanrights


Doestheregistryavoidcontributingtoactionsthatmayinterferewiththeprivacyof

registrantsandusers,exceptwheresuchactionsarelawful,proportionateandfora

justifiablepurpose?

D.6.2Interferencewiththerighttofreedomofexpression


Probability

(choose)




a Theregistryhasacommitmenttointernationalandregionalstandardsonfreedomofexpression.

bTheregistrywillasthegeneralrulemaintainopennessandthefreeflowofinformationovertheinternetexceptinfew,exceptional,andlimitedcircumstancesprescribedbyinternationalhumanrightslaw,suchasabusiveordiscriminatorycontent.

c

Theregistryhasacommitmenttoevaluateanyinternalorexternalrequesttoconductanintentionaltakedownaspecificdomainaccordingtointernationalstandardsonfreedomofexpression.Theregistryrequiresdetailsregardingthenecessityandjustificationforanyrestrictiverequest.Requestsarerequiredinwrittenform,ifatallpossible.

d

Incaseoftakingdownorblockingofspecificdomain,thisisbasedonadecisionbyacompetentjudicialauthorityorabodythatisindependentofanypolitical,commercialorotherunwarrantedinfluence.ThedecisioncanbereviewedbyanindependentandimpartialtribunalorregulatorybodyinaccordancewiththerequirementsofArticle6oftheEuropeanConventiononHumanRights.

e Procedurestobefollowedincaseofarequesttorestrictadomainserviceareclearlydescribedandincludedinrelevantcompanyguidelines/instructions.

f Anylegitimaterequestthatinterferewiththerighttofreedomofexpressionisnarrowlyinterpretedandenforcedintheshortesttimeperiodpossible.

Registrantsorusersarebarredfromcommunicating,seekingorimpartinginformationinamanner,whichisunlawfulordisproportionateorinbreachofinternationalhumanrightsprinciples.


(writetext)



32

g

Whenrequestsappeartobeinconflictwiththeinternationalstandardsonfreedomofexpression,theregistryhasprocessestoseekjudicialreview,appealtorelevantbranchesoftheadministration,andengagewithrelevantbodiesorotherstakeholders,includingfromcivilsociety,foradviceandsupport.

h

Theregistryconsiders,asthegeneralrule,requeststocompletelydisconnectregistrantsfromaccesstotheirTLDtobedisproportionateandinviolationofhumanrightsprinciples,regardlessofthejustificationprovided,includingonthegroundsofviolatingintellectualpropertyrightslaw.

i

Theregistryhasprocessestoensurethatitwillnotinterferewiththeregistrants'andotherusers'freedomtoaccesscontentanduseapplicationsoftheirchoice,unlesssuchinterferenceisstrictlynecessaryandproportionatetosafeguardtheintegrityandsafetyofthedomainorservice,executeacourtorder,orcomplywithawrittenrequestfromtheregistrantoruser.

Humanrights


Doestheregistryhaveacommitmenttorespecttherighttofreedomofexpressionof

registrantsandusers,andtoavoidcontributingtoactionsthatmayinterferewith

thisright,exceptwheresuchactionsarelawful,proportionateandforajustifiable

purpose?

D.7TerminatingDomianNames


Probability

(choose)




a TheregistryhasinplaceaprocedureforterminationoftheTLD.

b TheregistryhasinplacerequirementsintheengagementwiththeregistraronthetermsforterminationoftheaccesstotheTLD.

c Theregistryengageswiththeregistraronhowtoengagewithregistrantsontermination,includingnoticeperiodsandlengthofstorageofpersonaldata.

Humanrights


Doestheregistryensurethatregistrantsareinformedabouttheprocedurefor

termination?

D.8GrievanceMechanismsandResolution

Righttoremedy,freedomofexpression,righttoprivacy,freedomofassociation,righttonon-descriminationHumanrightsimpactscenario

Registrantsanddomainusersarenotprovidedaccesstomechanismstoraisegrievancesandachieveremedy.

Probability

(choose)



RegistrantsarenotgivenpriornoticeabouttheterminationoftheiraccesstotheTLD.


(writetext)




(writetext)



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aRegistrantsandusers,includingminors,areprovidedwitheffective,safe,confidentialandtransparentmechanismsforvoicingandresolvingconcernsrelatingtohumanrightsissues.

bSubjecttolegalrestrictions,registrantsandusers,includingminors,whohavebeensubjecttointerferencewiththeirrightsisprovidedwithadviceonhowandwheretheymayrespond.

c Theregistryprovidesfor(orcollaboratesin)theswift,fairandcomprehensiveinvestigationandremediationofregistrantorusercomplaints.

d Theregistryprovidesindependentmediationorcomplaintbodyinthecasethataregistrarorregistrantdoesnotagreewithadecisionmadebysaidregistry.

Humanrights


Doestheregistryhaveamechanism(ormechanisms)inplacetorecieve,processand

adressgreivancesofregistrantsandotherdomainusers?

D.9Transparency

RighttofreedomofinformationHumanrightsimpactscenario

Registrantsanddomainusersareunabletoaccessinformationonthehumanrightsrelatedcommitments,policies,proceduresandperformanceoftheregistry.

Probability

(choose)




aTheregistry'spoliciesonhumanrightsareexplainedtoregistrars,registrants,andusersinclearlanguageandanaccessibleform,takingintoaccountforexamplepeople,withdisabilities,children,elderlyandethnicminorities.

b

Requeststhatinterferewithregistrants'orusers'righttoprivacyorfreedomofexpressionaredocumentedandcommunicatedtocustomersandotherrelevantstakeholderstothefullestextentpossible.Subjecttolegalrestrictions,affectedregistrantsandusersareinformedabouttheprocedurefortherequest,aswellastheactiontaken.

cSubjecttolegalrestrictions,theregistrypubliclyreportsdatabycountryonthenumberandcharacterofrequestsreceived,e.g.tomonitororaccessregistrants'orusers'dataorrestrictdomainservices,andhowithasrespondedtotheserequests.

Humanrights


Doestheregistryallowregistrants,domainusersandotherinterestedstakeholders

toaccessinformationonregistrycommitments,policies,proceduresand

performanceonhumanrights?


(writetext)



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E.DueDiligenceQuestions

F.1AssessingImpactsIndicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

aTheregistryhasapolicycommitmenttoassessthepotentialadverseimpactsontheinternationalhumanrights,suchasrighttoprivacyandfreedomofexpression,associatedwithdesigning,selling,andoperatingdomainservices.

bProductimpactassessmentsarecarriedoutpriortoimplementingnewproductsorservices,toidentifyandmitigatepotentialadverseimpactthesemayhaveonhumanrights.

cTheassessmentincludesengagementwithstakeholdergroups,independentexpertresources,humanrightsgroups,andotherwithspecificknowledgeonnationallawsandregulation,tothewidestextentpossible.

Humanrightscompliancequestion YES NO F/A N/A COMMENTS FOLLOW-UPACTION

Doestheregistryidentifyandassesstheriskofcontributingtoadverseimpactsontheinternationalhumanrights?

F.2AddressingImpactsIndicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

aTheregistryhasadoptedstrategiestoanticipate,respondandminimisepotentialadverseimpactsonhumanrights.

b

Theregistryhasclearandunambiguoustermsofservice,iteratingthattheregistryiscommittedtointernationalhumanrightsstandards,includingonprivacy,dataprotection,andfreedomofexpression,andwillnotinterfereinthefreeflowofinformationovertheinternetexceptinfew,exceptional,andlimitedcircumstancesprescribedbyinternationalhumanrightslaw.

c Theregistryhasafunction,reportingtosenior-levelmanagement,withresponsibilityforoverseeingcompliancewithitsprinciplesonhumanrights.

d Sufficientorganisationalresourcesareinplacetoensureimplementationoftheregistry´scommitmenttohumanrights.

e Employeesreceivetrainingontheregistry'sprinciplesonhumanrights.

f Employeeshaveeffectivemeanstosafelyreportnoncompliancewiththeregistry'sprinciplesonhumanrights.


Doestheregistryhavesystemsandorganisationalcapacityinplacetoaddresspotentialadverseimpactsoninternationalhumanrights?

F.3GovernmentRequestsIndicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

aGovernmentrequeststhatinterferewiththerighttoprivacyortherighttofreedomofexpressionaresubjecttooperationalprocessesthatassesstherequestforhumanrightscompliance.

35

bIncomplexcases,theassessmentincludesengagementwithindependentexperts,humanrightsgroups,andotherswithspecificknowledgeonnationallawsandregulation.

cGovernmentsarerequestedtoprovidedetailsregardingthenecessityandjustificationforanyrestrictiverequest.Requestsarerequiredinwrittenform,ifpossible.

d

Whengovernmentrequestsappeartobeinconflictwithhumanrightsstandardsonfreedomofexpressionortherighttoprivacy,theregistryhasprocessestoseekjudicialreview,appealtorelevantbranchesoftheadministration,engagewithrelevantUNbodiesorotherstakeholders,includingfromcivilsociety,foradviceandsupport.

e Anymeasurethatinterfereswiththerighttofreedomofexpressionistakenonthebasisofaspecificdecisionbyastateauthorityexpresslyempoweredbylawtodoso.

f

Governmentrequeststhatappearinconsistentwithhumanrightslawareaddressedbyseniorlevelmanagementtodecideontherisksofrespondingvis-a-visrejectingtherequest.Nationalandinternationalresources,includingindustrypeers,areengagedtotheextentpossible.


Doestheregistryhaveproceduresinplacetohandlegovernmentrequeststopreventinterferancewiththerightstoprivacyandfreedomofexpression?

F.4TrackingComplianceIndicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

aPeriodicauditsareconductedtoassesscompliancewiththeregistry'sprinciplesonhumanrights.Theseauditsincludefeedbackfromregistrantsandotherpotentiallyaffectedstakeholders.

bSuppliersandbusinesspartnersareheldcontractuallyaccountableforcompliancewiththeregistry´sprinciplesonhumanrights.Aneffectiveprogrammeisinplacetomonitorcomplianceandensurecorrectiveaction.


Doestheregistryhavesystemsinplacetotrackcompliancewithitsprinciplesonhumanrights?

F.5CommunicationandReportingIndicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

aTheregistry'spoliciesonhumanrightsareexplainedtoregistrars,registrantsandusersinaclearandaccessibleformandlanguage,takingintoaccountforexamplepeoplewithdisabilities,children,elderlyandethnicminorities.

b

Requeststhatinterferewithregistrants'orusers'righttoprivacyortheirrighttofreedomofexpressionaredocumentedandcommunicatedtocustomersandotherrelevantstakeholderstothefullestextentpossible.Subjecttolegalrestrictions,affectedregistrantsandusersareinformedabouttheprocedurefortherequest,andtheactiontaken.

36

cSubjecttolegalrestrictions,theregistrypubliclyreportsdatabycountryonthenumberandcharacterofrequestsreceived,e.g.tomonitororaccessregistrants'orusers'dataorrestrictdomainservices,andhowithasrespondedtotheserequests.

dIncasearegistrantorusertriestoaccessspecificcontentwhichhasbeenblocked,theyareprovidedwithanexplanationofwhythecontentisblockedincludingcontactdetails.


Doestheregistrycommunicateandreportonitseffortstoupholdinternationalprinciplesonhumanrights?

F.6AccesstoRemedyIndicators YES NO F/A N/A COMMENTS FOLLOW-UPACTION

aRegistrantsandusers,includingminors,areprovidedwitheffective,safe,confidentialandtransparentmechanismsforvoicingandresolvingconcernsrelatingtohumanrightsissues.

bSubjecttolegalrestrictions,registrantsandusers,includingminors,whohavebeensubjecttointerferencewiththeirrightsareprovidedwithadviceonhowandwheretheymayrespond.

c Theregistryprovidesfororcollaboratesintheswift,fairandcomprehensiveinvestigationandremediationofregistrantorusercomplaints.


Doregistrantsanduserswhoserightsmaybeaffectedbytheregistry'ssystems,productsorserviceshaveaccesstosafe,effectiveandfairremediesthroughwhichpotentialimpactscanbereported,investigatedandremediated?

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sample cctld human rights impact assessment tool · sample cctld human rights impact assessment...

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