Module 1 Introduction to the gTLD Application Process T his mo dule - - PDF document

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Module 1 Introduction to the gTLD Application Process T his mo dule g ive s a pplic a nts a n o ve rvie w o f the pro c e ss fo r a pplying fo r a ne w g e ne ric to p-le ve l do ma in, a nd inc lude s instruc tio ns o n ho w to c o mple

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Module 1

Introduction to the gTLD Application Process

T his mo dule g ive s a pplic a nts a n o ve rvie w o f the pro c e ss fo r a pplying fo r a ne w g e ne ric to p-le ve l do ma in, a nd inc lude s instruc tio ns o n ho w to c o mple te a nd sub mit a n a pplic a tio n, the suppo rting do c ume nta tio n a n a pplic a nt must sub mit with a n a pplic a tio n, the fe e s re q uire d, a nd whe n a nd ho w to sub mit the m. T his mo dule a lso de sc rib e s the c o nditio ns a sso c ia te d with pa rtic ula r type s o f a pplic a tio ns, a nd the sta g e s o f the a pplic a tio n life c yc le . F

r mo re a b o ut the o rig ins, histo ry a nd de ta ils o f I

CANN’ s po lic ie s o n ne w g T L Ds, ple a se se e http:/ / g nso .ic a nn.o rg / issue s/ ne w-g tlds/ . A g lo ssa ry o f re le va nt te rms is inc lude d witha t the Dra fte nd

f this Applic a nt Guide b o o k (Dra ft RF

P).. Pro spe c tive a pplic a nts a re e nc o ura g e d to re a d a nd b e c o me fa milia r with the c o nte ntc o nte nts o f this e ntire mo dule , a s we ll a s the o the rs, b e fo re sta rting the a pplic a tio n pro c e ss to ma ke sure the y unde rsta nd wha t is re q uire d o f the m a nd wha t the y c a n e xpe c t a t e a c h sta g e

f the a pplic a tio n e va lua tio n pro c e ss.

r the c o mple te se t o f the suppo rting do c ume nta tio n

a nd mo re a b o ut the o rig ins, histo ry a nd de ta ils o f the po lic y de ve lo pme nt b a c kg ro und to the Ne w g T L D Pro g ra m, ple a se se e http:/ / g nso .ic a nn.o rg / issue s/ ne w- g tlds/ . T his Applic a nt Guide b o o k is the imple me nta tio n o f Bo a rd- a ppro ve d c o nse nsus po lic y c o nc e rning the intro duc tio n o f ne w g T L Ds, a nd ha s b e e n re vise d e xte nsive ly via pub lic c o mme nt a nd c o nsulta tio n o ve r a two -ye a r pe rio d.

1.1 Application Life Cycle and Timelines

T his se c tio n pro vide s a de sc riptio n o f the sta g e s tha t a n a pplic a tio n pa sse s thro ug h o nc e it is sub mitte d. So me sta g e s will o c c ur fo r a ll a pplic a tio ns sub mitte d; o the rs will

nly o c c ur in spe c ific c irc umsta nc e s. Applic a nts sho uld b e

a wa re o f the sta g e s a nd ste ps invo lve d in pro c e ssing a pplic a tio ns re c e ive d.

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1.1.1 Application Submission Dates

T he a pplic a tio n sub missio n pe rio d o pe ns a t [time ] UT C [da te ]. T he a pplic a tio n sub missio n pe rio d c lo se s a t [time ] UT C [da te ]. Applic a tio ns ma y b e sub mitte d e le c tro nic a lly thro ug h I CANN’ s o nline a pplic a tio n syste m. T

re c e ive c o nside ra tio n, a ll a pplic a tio ns must b e

sub mitte d e le c tro nic a lly thro ug h the o nline a pplic a tio n syste m b y the c lo se o f the a pplic a tio n sub missio n pe rio d. An a pplic a tio n will no t b e c o nside re d, in the a b se nc e o f e xc e ptio na l c irc umsta nc e s, if:

t is re c e ive d a fte r the due da te .c lo se o f the a pplic a tio n sub missio n pe rio d.

he a pplic a tio n fo rm is inc o mple te (e ithe r the q ue stio ns ha ve no t b e e n fully a nswe re d o r re q uire d suppo rting do c ume nts a re missing ). Applic a nts will no t o rdina rily b e pe rmitte d to supple me nt the ir a pplic a tio ns a fte r sub missio n.

he e va lua tio n fe e ha s no t b e e n pa id b y the de a dline . Re fe r to Se c tio n 1.5 fo r fe e info rma tio n. I CANN ha s g o ne to sig nific a nt le ng ths to e nsure tha t the

nline a pplic a tio n syste m will b e a va ila b le fo r the dura tio n
f the a pplic a tio n sub missio n pe rio d. I

n the e ve nt tha t the syste m is no t a va ila b le , I CANN will pro vide a lte rna tive instruc tio ns fo r sub mitting a pplic a tio ns o n its we b site .

1.1.2 Application Processing Stages

T his sub se c tio n pro vide s a n o ve rvie w o f the sta g e s invo lve d in pro c e ssing a n a pplic a tio n sub mitte d to I

CANN. I

n F ig ure 1-1, the sho rte st a nd mo st stra ig htfo rwa rd pa th is ma rke d with b o ld line s, while c e rta in sta g e s tha t ma y o r ma y no t a pplyb e a pplic a b le in a ny g ive n c a se a re a lso sho wn. A b rie f de sc riptio n o f e a c h sta g e fo llo ws.

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Application Submission Period Initial Evaluation Transition to Delegation Extended Evaluation Dispute Resolution String Contention Administrative Completeness Check Objection Filing

Figure 1-1 – Once submitted to ICANN, applications will pass through multiple stages of processing.

1.1.2.1 Application Submission Period

At the time the a pplic a tio n sub missio n pe rio d o pe ns, a pplic a ntstho se wishing to a pply fo r a sub mit ne w g T L D a pplic a tio ns c a n b e c o me re g iste re d use rs o f the o nline a pplic a tio n syste m.T L D Applic a tio n Syste m (T AS). T hro ug h the a pplic a tio n syste m, a pplic a ntsAfte r c o mple ting the re g istra tio n, a pplic a nts will supply a de po sit fo r e a c h re q ue ste d a pplic a tio n slo t (se e se c tio n 1.4), a fte r whic h the y will re c e ive a c c e ss to the full a pplic a tio n fo rm. T

c o mple te the a pplic a tio n, use rs will a nswe r a se rie s o f

q ue stio ns to pro vide g e ne ra l info rma tio n, de mo nstra te fina nc ia l c a pa b ility, a nd de mo nstra te te c hnic a l a nd

pe ra tio na l c a pa b ility. T

he suppo rting do c ume nts liste d in sub se c tio n 1.2.32 o f this mo dule must a lso b e sub mitte d thro ug h the a pplic a tio n syste m. a s instruc te d in the re le va nt q ue stio ns. Applic a nts must a lso sub mit the ir e va lua tio n fe e s during this pe rio d. Re fe r to Se c tio n 1.5 o f this mo dule fo r a dditio na l info rma tio n a b o ut fe e s a nd pa yme nts.

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llo wing the c lo se o f the a pplic a tio n sub missio n pe rio d,

I CANN will pro vide a pplic a nts can continue to use the

application system as a resource to trackwith pe rio dic

sta tus upda te s o n the pro g re ss o f the ir a pplic a tio ns,

although they may receive communications from ICANN through other means. 1.1.2.2 Administrative Completeness Check

I mme dia te ly fo llo wing the c lo se o f the a pplic a tio n sub missio n pe rio d, I CANN will c he c k a ll a pplic a tio ns fo r c o mple te ne ss. T his c he c k e nsure s tha t:

All ma nda to ry q ue stio ns a re a nswe re d (e xc e pt

tho se q ue stio ns ide ntifie d a s o ptio na l);;

Re q uire d suppo rting do c ume nts a re pro vide d in

the pro pe r fo rma t(s); a nd

he e va lua tio n fe e s ha ve b e e n re c e ive d. I CANN will po st a list ofa ll a pplic a tio ns c o nside re d c o mple te a nd re a dy fo r e va lua tio n a s so o n a s

practicalpra c tic a b le a fte r the c lo se o f the a pplic a tio n

sub missio n pe rio d. The status Ce rta in q ue stio ns re la te to inte rna l pro c e sse s o r info rma tio n for each : a pplic a nt re spo nse s to the se q ue stio ns will no t b e po ste d. E a c h q ue stio n is la b e le d in the a pplic a tio n will also be fo rm a s to whe the r the info rma tio n will b e po ste d. Se e the full se t o f q ue stio ns in the a tta c hme nt to Mo dule 2. T he a dministra tive c o mple te ne ss c he c k is e xpe c te d to b e c o mple te d fo r a ll a pplic a tio ns in a pe rio d o f a ppro xima te ly 4 we e ks, sub je c t to e xte nsio n de pe nding o n vo lume . I n the e ve nt tha t a ll a pplic a tio ns c a nno t b e pro c e sse d within a 4- we e k pe rio d, I CANN will po st upda te d in the online

application system. pro c e ss info rma tio n a nd a n

e stima te d time line .

1.1.2.3 Initial Evaluation

I nitia l E va lua tio n will b e g in imme dia te ly a fte r the a dministra tive c o mple te ne ss c he c k c o nc lude s. All c o mple te a pplic a tio ns will b e re vie we d during I nitia l E va lua tio n. At the b e g inning o f this pe rio d, b a c kg ro und sc re e ning o n the a pplying e ntity a nd the individua ls na me d in the a pplic a tio n will b e c o nduc te d. Applic a tio ns must pa ss this ste p b e fo re the I nitia l E va lua tio n re vie ws a re c a rrie d o ut.

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T he re a re two ma in e le me nts o f the I nitia l E va lua tio n:

1. String re vie ws (c o nc e rning the a pplie d-fo r g T

L D string ); a nd). String re vie ws inc lude a de te rmina tio n tha t the a pplie d-fo r g T L D string is no t like ly to c a use se c urity o r sta b ility pro b le ms in the DNS, inc luding pro b le ms c a use d b y simila rity to e xisting T L Ds o r re se rve d na me s.

2. Applic a nt re vie ws (c o nc e rning the e ntity a pplying

fo r the g T L D a nd its pro po se d re g istry se rvic e s). Applic a nt re vie ws inc lude a de te rmina tio n o f whe the r the a pplic a nt ha s the re q uisite te c hnic a l,

pe ra tio na l, a nd fina nc ia l c a pa b ility to o pe ra te a

re g istry. Applic a nt re vie ws inc lude a de te rmina tio n o f whe the r the a pplic a nt ha s the re q uisite te c hnic a l a nd fina nc ia l c a pa b ility to o pe ra te a re g istry.

Pa ne ls o f inde pe nde nt e va lua to rs will pe rfo rm the se

re vie ws b a se d o n the info rma tio n pro vide d b y e a c h a pplic a nt in its re spo nse s to the a pplic a tio n fo rm.

he re ma y b e o ne ro und o f q ue stio ns a nd a nswe rs b e twe e n the a pplic a nt a nd e va lua to rs to c la rify info rma tio n c o nta ine d in the a pplic a tio n. Re fe r to Mo dule 2 fo r furthe r de ta ils o n the e va lua tio n pro c e ss. E va lua to rs will re po rt whe the r the a pplic a nt pa sse s o r fa ils e a c h o f the pa rts o f the I nitia l E va lua tio n. T he se re po rts will b e a va ila b le in the o nline a pplic a tio n syste m. AtBy the c o nc lusio n o f the I nitia l E va lua tio n pe rio d, I CANN will po st a no tic e o f a ll a pplic a tio ns tha t ha ve pa sse d the I nitia l E va lua tio n re sults. De pe nding o n the vo lume o f a pplic a tio ns re c e ive d, I CANN ma y po st suc h no tic e s ma y b e po ste d in b a tc he s o ve r the c o urse o f the I nitia l E va lua tio n pe rio d. T he I nitia l E va lua tio n is e xpe c te d to b e c o mple te d fo r a ll a pplic a tio ns in a pe rio d o f a ppro xima te ly 5 mo nths. I f the vo lume o f a pplic a tio ns re c e ive d sig nific a ntly e xc e e ds 500, a pplic a tio ns will b e pro c e sse d in b a tc he s a nd the 5-mo nth time line will no t b e me t. T he first b a tc h will b e limite d to 500 a pplic a tio ns a nd sub se q ue nt b a tc he s will b e limite d to 400 to a c c o unt fo r c a pa c ity limita tio ns due to ma na g ing e xte nde d e va lua tio n, string c o nte ntio n, a nd o the r pro c e sse s a sso c ia te d with e a c h pre vio us b a tc h.

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A pro c e ss e xte rna l to the a pplic a tio n sub missio n pro c e ss will b e e mplo ye d to e sta b lish e va lua tio n prio rity. T his pro c e ss will b e b a se d o n a n o nline tic ke ting syste m o r

the r o b je c tive c rite ria .

I f b a tc hing is re q uire d, the String Simila rity re vie w will b e c o mple te d o n a ll a pplic a tio ns prio r to the e sta b lishme nt o f e va lua tio n prio rity b a tc he s. F

r a pplic a tio ns ide ntifie d a s

pa rt o f a c o nte ntio n se t, the e ntire c o nte ntio n se t will b e ke pt to g e the r in the sa me b a tc h. I f b a tc he s a re e sta b lishe d, I CANN will po st upda te d pro c e ss info rma tio n a nd a n e stima te d time line . No te tha t the pro c e ssing c o nstra ints will limit de le g a tio n ra te s to a ste a dy sta te e ve n in the e ve nt o f a n e xtre me ly hig h vo lume o f a pplic a tio ns. T he a nnua l de le g a tio n ra te will no t e xc e e d 1,000 pe r ye a r in a ny c a se , no ma tte r ho w ma ny a pplic a tio ns a re re c e ive d.1

1.1.2.4 Objection Filing

rma l o b je c tio ns to a pplic a tio ns c a n b e file d o n a ny o f

fo ur e nume ra te d g ro unds, b y pa rtie s with sta nding to

b je c t. T

he o b je c tio n filing pe rio d will o pe n a fte r I CANN po sts the list o f c o mple te a pplic a tio ns a s de sc rib e d in pa ra g ra ph 1.1.2.2. Ob je c to rs will file dire c tly with dispute re so lutio n se rvic e pro vide rs (DRSPs). Re fe r to Mo dule 3, Dispute Re so lutio n Pro c e dure s, fo r furthe r de ta ils.sub se c tio n 1.1.2.2, a nd will la st fo r a ppro xima te ly 5 ½ mo nths. Ob je c to rs must file suc h fo rma l o b je c tio ns dire c tly with dispute re so lutio n se rvic e pro vide rs (DRSPs), no t with I

CANN. T

he o b je c tio n filing pha se pe rio d will c lo se fo llo wing the e nd o f the I nitia l E va lua tio n pe rio d (re fe r to pa ra g ra phsub se c tio n 1.1.2.3).), with a two -we e k windo w o f time b e twe e n the po sting o f the I nitia l E va lua tio n re sults a nd the c lo se o f the o b je c tio n filing pe rio d. Ob je c tio ns tha t ha ve b e e n file d during the o b je c tio n filing pha se pe rio d will b e a ddre sse d in the dispute re so lutio n pha se sta g e , whic h is o utline d in pa ra g ra phsub se c tio n 1.1.2.67 a nd disc usse d in de ta il in Mo dule 3. All a pplic a nts sho uld b e a wa re tha t third pa rtie s ha ve the

ppo rtunity to file o b je c tio ns to a ny a pplic a tio n during

thisthe o b je c tio n filing pe rio d. Applic a nts who se a pplic a tio ns a re the sub je c t o f a fo rma l o b je c tio n will ha ve a n o ppo rtunity to file a re spo nse a c c o rding to the dispute

1 See the paper "Delegation Rate Scenarios for New gTLDs" at http://icann.org/en/topics/new-gtlds/delegation-rate-scenarios-new-

gtlds-06oct10-en.pdf for additional discussion.

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re so lutio n se rvic e pro vide r’ s rule s a nd pro c e dure s (re fe r to Mo dule 3). . An a pplic a nt wishing to file a fo rma l o b je c tio n to a no the r a pplic a tio n tha t ha s b e e n sub mitte d wo uld do so within the o b je c tio n filing pe rio d, fo llo wing the o b je c tio n filing pro c e dure s in Mo dule 3. Applic a nts a re e nc o ura g e d to ide ntify po ssib le re g io na l, c ultura l, pro pe rty inte re sts, o r o the r se nsitivitie s re g a rding T L D string s a nd the ir use s b e fo re a pplying a nd, whe re po ssib le , c o nsult with inte re ste d pa rtie s to mitig a te a ny c o nc e rns in a dva nc e .

1.1.2.5 Public Comment

Pub lic c o mme nt me c ha nisms a re pa rt o f I CANN’ s po lic y de ve lo pme nt, imple me nta tio n, a nd o pe ra tio na l pro c e sse s. As a priva te -pub lic pa rtne rship, I CANN is de dic a te d to : pre se rving the o pe ra tio na l se c urity a nd sta b ility o f the I nte rne t, pro mo ting c o mpe titio n, a c hie ving b ro a d re pre se nta tio n o f g lo b a l I nte rne t c o mmunitie s, a nd de ve lo ping po lic y a ppro pria te to its missio n thro ug h b o tto m-up, c o nse nsus-b a se d pro c e sse s. T his ne c e ssa rily invo lve s the pa rtic ipa tio n o f ma ny sta ke ho lde r g ro ups in a pub lic disc ussio n. I n the ne w g T L D a pplic a tio n pro c e ss, a ll a pplic a nts sho uld b e a wa re tha t pub lic c o mme nt fo ra a re a me c ha nism fo r the pub lic to b ring re le va nt info rma tio n a nd issue s to the a tte ntio n o f tho se c ha rg e d with ha ndling ne w g T L D a pplic a tio ns. Anyo ne ma y sub mit a c o mme nt in a pub lic c o mme nt fo rum. I CANN will o pe n a pub lic c o mme nt pe rio d a t the time a pplic a tio ns a re pub lic ly po ste d o n I CANN’ s we b site (re fe r to sub se c tio n 1.1.2.2), whic h will re ma in o pe n fo r 45 c a le nda r da ys. T his pe rio d will a llo w time fo r the c o mmunity to re vie w a nd sub mit c o mme nts o n po ste d a pplic a tio n ma te ria ls, a nd will a llo w fo r sub se q ue nt c o nso lida tio n o f the re c e ive d c o mme nts, distrib utio n to the pa ne ls pe rfo rming re vie ws, a nd a na lysis a nd c o nside ra tio n

f the c o mme nts b y the e va lua to rs within the 5-mo nth

time fra me a llo tte d fo r I nitia l E va lua tio n. T his pub lic c o mme nt pe rio d is sub je c t to e xte nsio n, sho uld the vo lume

f a pplic a tio ns o r o the r c irc umsta nc e s re q uire . To be

considered by evaluators, comments must be received in the designated public comment forum within the stated time period. Co mme nts re c e ive d during the pub lic c o mme nt pe rio d will b e ta g g e d to a spe c ific a pplic a tio n. E va lua to rs will

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pe rfo rm due dilig e nc e o n the c o mme nts (i.e ., de te rmine the ir re le va nc e to the e va lua tio n, ve rify the a c c ura c y o f c la ims, a na lyze me a ning fulne ss o f re fe re nc e s c ite d) a nd ta ke the info rma tio n pro vide d in the se c o mme nts into c o nside ra tio n. Co nside ra tio n o f the a pplic a b ility o f the info rma tio n sub mitte d thro ug h pub lic c o mme nts will b e inc lude d in the e va lua to rs’ re po rts. A g e ne ra l pub lic c o mme nt fo rum will re ma in o pe n thro ug h a ll sta g e s o f the e va lua tio n pro c e ss, to pro vide a me a ns fo r the pub lic to b ring fo rwa rd a ny o the r re le va nt info rma tio n

r issue s.

A distinc tio n sho uld b e ma de b e twe e n pub lic c o mme nts, whic h ma y b e re le va nt to I CANN’ s ta sk o f de te rmining whe the r a pplic a tio ns me e t the e sta b lishe d c rite ria , a nd fo rma l o b je c tio ns tha t c o nc e rn ma tte rs o utside tho se e va lua tio n c rite ria . T he fo rma l o b je c tio n pro c e ss wa s c re a te d to a llo w a full a nd fa ir c o nside ra tio n o f o b je c tio ns b a se d o n c e rta in limite d g ro unds o utside I CANN’ s e va lua tio n o f a pplic a tio ns o n the ir me rits. Pub lic c o mme nts a sso c ia te d with fo rma l o b je c tio ns will no t b e c o nside re d b y pa ne ls during I nitia l E va lua tio n; ho we ve r, the y ma y b e sub se q ue ntly c o nside re d b y a n e xpe rt pa ne l during a dispute re so lutio n pro c e e ding (se e sub se c tio n 1.1.2.7). Go ve rnme nts ma y pro vide a no tific a tio n using the pub lic c o mme nt fo rum to c o mmunic a te c o nc e rns re la ting to na tio na l la ws. Ho we ve r, a g o ve rnme nt’ s no tific a tio n o f c o nc e rn will no t in itse lf b e de e me d to b e a fo rma l

b je c tio n. A no tific a tio n b y a g o ve rnme nt do e s no t

c o nstitute g ro unds fo r re je c tio n o f a g T L D a pplic a tio n. Go ve rnme nts ma y a lso c o mmunic a te dire c tly to a pplic a nts using the c o nta c t info rma tio n po ste d in the a pplic a tio n, e .g ., to se nd a no tific a tio n tha t a n a pplie d-fo r g T L D string mig ht b e c o ntra ry to a na tio na l la w, a nd to try to a ddre ss a ny c o nc e rns with the a pplic a nt. As no te d a b o ve , a pplic a nts a re e nc o ura g e d to ide ntify po te ntia l se nsitivitie s in a dva nc e a nd wo rk with the re le va nt pa rtie s to mitig a te c o nc e rns re la te d to the a pplic a tio n.

1.1.2.6 Extended Evaluation

E xte nde d E valuatio n applie sis available o nly to c e rtain applic ants that do no t pass I nitial E valuatio n. Applic a nts fa iling c e rta in e le me nts o f the I nitia l E va lua tio n c a n re q ue st a n E xte nde d E va lua tio n. I f the a pplic a nt do e s no t pa ss I nitia l E va lua tio n a nd do e s no t e xpre ssly re q ue st

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a n E xte nde d E va lua tio n, the a pplic a tio n will pro c e e d no furthe r. T he E xte nde d E va lua tio n pe rio d a llo ws fo r o ne a n a dditio na l ro unde xc ha ng e o f q ue stio ns a nd a nswe rsinfo rma tio n b e twe e n the a pplic a nt a nd e va lua to rs to c la rify info rma tio n c o nta ine d in the a pplic a tio n. T he re vie ws pe rfo rme d in E xte nde d E va lua tio n do no t intro duc e a dditio na l e va lua tio n c rite ria . An a pplic a tio n ma y b e re q uire d to e nte r a n E xte nde d E va lua tio n ma y a lso b e re q uire d if the a pplie d-fo r g T L D string o r o ne o r mo re pro po se d re g istry se rvic e s ra ise te c hnic a l issue s tha t mig ht a dve rse ly a ffe c t the se c urity a ndo r sta b ility o f the DNS. T he E xte nde d E va lua tio n pe rio d pro vide s a time fra me fo r the se issue s to b e inve stig a te d. Applic a nts will b e info rme d if suc h re vie ws a re a re vie w is re q uire d a tb y the e nd o f the I nitia l E va lua tio n pe rio d. E va lua to rs a nd a ny a pplic a b le e xpe rts c o nsulte d will c o mmunic a te the ir c o nc lusio ns a t the e nd o f the E xte nde d E va lua tio n pe rio d. T he se re po rts will b e a va ila b le in the

nline a pplic a tio n syste m.

E va lua to rs a nd a ny a pplic a b le e xpe rts c o nsulte d will c o mmunic a te the c o nc lusio ns re sulting fro m the a dditio na l re vie w b y the e nd o f the E xte nde d E va lua tio n pe rio d. At the c o nc lusio n o f the E xte nde d E va lua tio n pe rio d, I CANN will po st a ll e va lua to rsumma ry re po rts, b y pa ne l, fro m the I nitia l a nd E xte nde d E va lua tio n pe rio ds. I f a n a pplic a tio n pa sse s the E xte nde d E va lua tio n, it c a n the n pro c e e d to the ne xt re le va nt sta g e . I f the a pplic a tio n do e s no t pa ss the E xte nde d E va lua tio n, it will pro c e e d no furthe r. T he E xte nde d E va lua tio n is e xpe c te d to b e c o mple te d fo r a ll a pplic a tio ns in a pe rio d o f a ppro xima te ly 5 mo nths, tho ug h this time fra me c o uld b e inc re a se d b a se d o n vo lume . I n this e ve nt, I CANN will po st upda te d pro c e ss info rma tio n a nd a n e stima te d time line .

1.1.2.67 Dispute Resolution

Dispute re so lutio n applie s o nly to applic ants thatwho se applic atio ns are the subje c t o f a fo rmal o bje c tio n. Whe re fo rma l o b je c tio ns a re file d a nd filing fe e s pa id during the o b je c tio n filing pha se ,pe rio d, inde pe nde nt dispute re so lutio n se rvic e pro vide rs (DRSPs) will initia te a nd c o nc lude pro c e e ding s b a se d o n the o b je c tio ns re c e ive d. T he fo rma l o b je c tio n pro c e dure e xists to pro vide a pa th fo r tho se who wish to o b je c t to a n a pplic a tio n tha t ha s b e e n re c e ive d b ysub mitte d to I

CANN. Dispute re so lutio n se rvic e

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pro vide rs pro vide se rve a s the fo ra to a djudic a te the pro c e e ding s b a se d o n the sub je c t ma tte r a nd the ne e de d e xpe rtise . Co nso lida tio n o f o b je c tio ns file d will o c c ur whe re a ppro pria te , a t the disc re tio n o f the DRSP. Pub lic c o mme nts ma y a lso b e re le va nt to o ne o r mo re

b je c tio n g ro unds. (Re fe r to Mo dule 3, Dispute Re so lutio n

Pro c e dure s, fo r the o b je c tio n g ro unds.) T he DRSPs will ha ve a c c e ss to a ll pub lic c o mme nts re c e ive d, a nd will ha ve disc re tio n to c o nside r the m. As a re sult o f the a dispute re so lutio n pro c e e ding , e ithe r the a pplic a nt will pre va il (in whic h c a se the a pplic a tio n c a n pro c e e d to the ne xt re le va nt sta g e ), o r the o b je c to r will pre va il (in whic h c a se e ithe r the a pplic a tio n will pro c e e d no furthe r o r the a pplic a tio n will b e b o und to a c o nte ntio n re so lutio n pro c e dure ). Re fe r I n the e ve nt o f multiple

b je c tio ns, a n a pplic a nt must pre va il in a ll dispute

re so lutio n pro c e e ding s c o nc e rning the a pplic a tio n to Mo dule 3, Ob je c tio n a nd Dispute Re so lutio n, fo r de ta ile d info rma tio npro c e e d to the ne xt re le va nt sta g e . Applic a nts will b e no tifie d b y the Dispute Re so lutio n Se rvic e Pro vide rDRSP(s) o f the re sults o f dispute re so lutio n pro c e e ding s. T he o nline a pplic a tio n syste m will a lso b e upda te d with the se re sults. Dispute re so lutio n pro c e e ding s, whe re a pplic a b le , a re e xpe c te d to b e c o mple te d fo r a ll a pplic a tio ns within a ppro xima te ly a 5-mo nth time fra me . I n the e ve nt tha t vo lume is suc h tha t this time fra me c a nno t b e a c c o mmo da te d, I CANN will wo rk with the dispute re so lutio n se rvic e pro vide rs to c re a te pro c e ssing pro c e dure s a nd po st upda te d time line info rma tio n.

1.1.2.78 String Contention

S tring c o nte ntio n applie s o nly whe n the re is mo re than o ne qualifie d applic antapplic atio n fo r the same o r similar g T L D string s. String c o nte ntio n re fe rs to the sc e na rio in whic h the re is mo re tha n o ne q ua lifie d a pplic a nta pplic a tio n fo r the sa me ide ntic a l g T L D string o r fo r g T L Ds tha t a re simila r g T L D string s. I n this Applic a nt Guide b o o k, “simila r” me a ns string s so simila r tha t the y c re a te a pro b a b ility o f de trime nta l use r c o nfusio n if mo re tha n o ne o f the string s is de le g a te d. I CANN will re so lve c a se s o f string c o nte ntio n e ithe r thro ug h c o mpa ra tive e va lua tio n o r thro ug h a n a lte rna tive me c ha nism fo r e ffic ie nt re so lutio n o f string c o nte ntio n into the ro o t zo ne .

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Applic a nts a re e nc o ura g e d to re so lve string c o nte ntio n c a se s a mo ng the mse lve s prio r to the string c o nte ntio n re so lutio n sta g e . I n the a b se nc e o f re so lutio n b y the c o nte nding a pplic a nts, string c o nte ntio n c a se s a re re so lve d e ithe r thro ug h a c o mmunity prio rity e va lua tio n (if a c o mmunity-b a se d a pplic a nt e le c ts it) o r thro ug h a n a uc tio n. I n the e ve nt o f c o nte ntio n b e twe e n a pplie d-fo r g T L D string s tha t re pre se nt g e o g ra phic a l na me s, the pa rtie s ma y b e a ske dre q uire d to fo llo w a diffe re nt pro c e ss to re so lve the c o nte ntio n. Se e sub se c tio n 2.2.1.4 o f Mo dule 2 fo r mo re info rma tio n. Gro ups o f a pplie d-fo r string s tha t a re e ithe r ide ntic a l o r c o nfusing ly simila r a re c a lle d c o nte ntio n se ts. All a pplic a nts sho uld b e a wa re tha t if a n a pplic a tio n is ide ntifie d a s b e ing pa rt o f a c o nte ntio n se t, string c o nte ntio n re so lutio n pro c e dure s will no t b e g in until a ll a pplic a tio ns in the c o nte ntio n se t ha ve c o mple te d a ll a spe c ts o f e va lua tio n, inc luding dispute re so lutio n, if a pplic a b le . T

illustra te , a s sho wn in F

ig ure 1-2, Applic a nts A, B, a nd C a ll a pply fo r .E XAMPL E a nd a re ide ntifie d a s a c o nte ntio n se t. Applic a nts A a nd C pa ss I nitia l E va lua tio n, b ut Applic a nt B do e s no t. Applic a nt B e le c tsre q ue sts E xte nde d E va lua tio n. A third pa rty file s a n o b je c tio n to Applic a nt C’ s a pplic a tio n, a nd Applic a nt C e nte rs the dispute re so lutio n pro c e e ding pro c e ss. Applic a nt A must wa it to se e whe the r Applic a nts B a nd C suc c e ssfully c o mple te the E xte nde d E va lua tio n a nd dispute re so lutio n pha se s, re spe c tive ly, b e fo re it c a n pro c e e d to the string c o nte ntio n re so lutio n sta g e . I n this e xa mple , Applic a nt B pa sse s the E xte nde d E va lua tio n, b ut Applic a nt C do e s no t pre va il in the dispute re so lutio n pro c e e ding . String c o nte ntio n re so lutio n the n pro c e e ds b e twe e n Applic a nts A a nd B.

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Figure 1-2 – All applications in a contention set must complete all previous evaluation and dispute resolution stages before string contention resolution can begin.

Applic a nts pre va iling in a string c o nte ntio n re so lutio n pro c e dure will pro c e e d to wa rd de le g a tio n o f a pplie d-fo r g T L D string s. T he o nline a pplic a tio n syste m will b e upda te d with the re so lutio n o f the string c o nte ntio n pro c e dure s.the a pplie d-fo r g T L Ds. I n the e ve nt o f a c o mmunity prio rity e va lua tio n (se e Mo dule 4, String Co nte ntio n Pro c e dure s), I CANN will pro vide the c o mme nts re c e ive d during the pub lic c o mme nt pe rio d to the e va lua to rs with instruc tio ns to ta ke the re le va nt info rma tio n into a c c o unt in re a c hing the ir c o nc lusio ns. String c o nte ntio n re so lutio n fo r a c o nte ntio n se t is e stima te d to ta ke fro m 2.5 to 6 mo nths to c o mple te . T he time re q uire d will va ry pe r c a se b e c a use so me c o nte ntio n c a se s ma y b e re so lve d in e ithe r a c o mmunity prio rity e va lua tio n o r a n a uc tio n, while o the rs ma y re q uire b o th pro c e sse s.

1.1.2.89 Transition to Delegation

Applic a nts tha t suc c e ssfully c o mple te c o mple ting a ll the re le va nt sta g e s o utline d in this sub se c tio n 1.1.2 a re re q uire d to c a rry o ut a se rie s o f c o nc luding ste ps b e fo re de le g a tio n o f the a pplie d-fo r g T L D string into the ro o t zo ne . T he se ste ps inc lude e xe c utio n o f a re g istry a g re e me nt with I CANN a nd c o mple tio n o f a pre -de le g a tio n te c hnic a l te st to va lida te info rma tio n pro vide d in the a pplic a tio n. F

llo wing e xe c utio n o f a re g istry a g re e me nt, the

pro spe c tive re g istry o pe ra to r must c o mple te te c hnic a l se t-

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up a nd sho w sa tisfa c to ry pe rfo rma nc e o n a se t o f te c hnic a l c he c kste sts b e fo re de le g a tio n o f the g T L D into the ro o t zo ne . ma y b e initia te d. I f the initia l sta rt-uppre - de le g a tio n te sting re q uire me nts a re no t sa tisfie d so tha t the g T L D c a n b e de le g a te d into the ro o t zo ne within the time fra me spe c ifie d in the re g istry a g re e me nt, I CANN ma y in its so le a nd a b so lute disc re tio n e le c t to te rmina te the re g istry a g re e me nt. Onc e a ll o f the se ste ps ha ve b e e n suc c e ssfully c o mple te d, the a pplic a nt is e lig ib le fo r de le g a tio n o f its a pplie d-fo r g T L D string into the DNS ro o t zo ne .

1.1.3 Accounting for Public Comment in the Evaluation of Applications once the New gTLD Process is Launched

Pub lic c o mme nt me c ha nisms a re pa rt o f I CANN’ s po lic y de ve lo pme nt a nd imple me nta tio n pro c e sse s. As a priva te - pub lic pa rtne rship, I CANN is de dic a te d to pre se rving the

pe ra tio na l se c urity a nd sta b ility o f the I

nte rne t, to pro mo ting c o mpe titio n, to a c hie ving b ro a d re pre se nta tio n

f g lo b a l I

nte rne t c o mmunitie s, a nd to de ve lo ping po lic y a ppro pria te to its missio n thro ug h b o tto m-up, c o nse nsus- b a se d pro c e sse s.I t is e xpe c te d tha t the tra nsitio n to de le g a tio n ste ps c a n b e c o mple te d in a ppro xima te ly 2 mo nths, tho ug h this c o uld ta ke mo re time de pe nding o n the a pplic a nt’ s le ve l o f pre pa re dne ss fo r the pre - de le g a tio n te sting a nd the vo lume o f a pplic a tio ns unde rg o ing the se ste ps c o nc urre ntly.

1.1.3 Lifecycle Timelines

Ba se d o n the e stima te s fo r e a c h sta g e de sc rib e d in this se c tio n, the life c yc le fo r a stra ig htfo rwa rd a pplic a tio n c o uld b e a ppro xima te ly 8 mo nths, a s fo llo ws:

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Figure 1-3 – A straightforward application could have an approximate 8-month lifecycle.

T he life c yc le fo r a hig hly c o mple x a pplic a tio n c o uld b e muc h lo ng e r, suc h a s 19 mo nths in the e xa mple b e lo w:

Figure 1-4 – A complex application could have an approximate 19-month lifecycle.

1.1.4 Posting Periods

T he re sults o f a pplic a tio n re vie ws will b e ma de a va ila b le to the pub lic a t va rio us sta g e s in the pro c e ss, a s sho wn b e lo w. Period Posting Content End of Administrative Check Public portions of all applications that have passed the Administrative Completeness Check. During Initial Evaluation Status updates for applications withdrawn or ineligible for further review. Contention sets resulting from String Similarity review. End of Initial Evaluation Application status updates with all Initial Evaluation results. End of Extended Evaluation Application status updates with all Extended Evaluation results. Evaluation summary reports from the Initial and Extended Evaluation periods. During Objection Filing/Dispute Resolution Information on filed objections and status updates available via Dispute Resolution Service Provider websites. Notice of all objections posted by ICANN after close of Objection Filing period.

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During Contention Resolution (Community Priority Evaluation) Results of each Community Priority Evaluation posted as completed. During Contention Resolution (Auction) Results from each auction posted as completed. Transition to Delegation Registry Agreements posted when executed. Pre-delegation testing status updated. 1.1.5 T his ne c e ssa rily invo lve s the pa rtic ipa tio n o f ma ny sta ke ho lde r g ro ups in a pub lic disc ussio n. I n the ne w g T L D a pplic a tio n pro c e ss, pub lic c o mme nts will b e a me c ha nism fo r the pub lic to b ring re le va nt info rma tio n a nd issue s to the a tte ntio n o f tho se c ha rg e d with ha ndling ne w g T L D a pplic a tio ns. I CANN will o pe n a pub lic c o mme nt fo rum a t the time the a pplic a tio ns a re pub lic ly po ste d o n I CANN’ s we b site (re fe r to pa ra g ra ph 1.1.2.2), whic h will re ma in o pe n thro ug h the a pplic a tio n ro und. Pub lic c o mme nts re c e ive d will b e pro vide d to the e va lua to rs during the I nitia l a nd E xte nde d E va lua tio n pe rio ds. E va lua to rs will ha ve disc re tio n to ta ke the info rma tio n pro vide d in the se c o mme nts into c o nside ra tio n a s de e me d ne c e ssa ry. Co nside ra tio n o f the a pplic a b ility o f the info rma tio n sub mitte d thro ug h pub lic c o mme nts will b e inc lude d in the e va lua to rs’ re po rts. Pub lic c o mme nts ma y a lso b e re le va nt to o ne o r mo re

b je c tio n g ro unds. (Re fe r to Mo dule 3, Dispute Re so lutio n

Pro c e dure s, fo r the o b je c tio n g ro unds.) I CANN will pro vide a ll pub lic c o mme nts re c e ive d to DRSPs, who will ha ve disc re tio n to c o nside r the m. A distinc tio n sho uld b e ma de b e twe e n pub lic c o mme nts, whic h ma y b e re le va nt to I CANN’ s ta sk o f de te rmining whe the r a pplic a tio ns me e t the e sta b lishe d c rite ria , a nd fo rma l o b je c tio ns tha t c o nc e rn ma tte rs o utside this e va lua tio n. I CANN c re a te d the fo rma l o b je c tio n pro c e ss to a llo w a full a nd fa ir c o nside ra tio n o f o b je c tio ns b a se d o n sub je c t a re a s o utside I CANN’ s missio n a nd e xpe rtise . A pa rty c o nta c ting I CANN to pursue a n o b je c tio n will b e re fe rre d to the fo rma l o b je c tio n c ha nne ls de sig ne d spe c ific a lly fo r re so lving the se ma tte rs in the ne w g T L D spa c e . Mo re info rma tio n o n the o b je c tio n a nd dispute re so lutio n pro c e sse s is a va ila b le in Mo dule 3.

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1.1.4 Sample Application Scenarios

T he fo llo wing sc e na rio s b rie fly sho w a va rie ty o f wa ys in whic h a n a pplic a tio n ma y pro c e e d thro ug h the e va lua tio n pro c e ss. T he ta b le tha t fo llo ws summa rize s so me e xe mplifie s va rio us pro c e sse s a nd o utc o me s. T his is no t inte nde d to b e a n e xha ustive list o f po ssib ilitie s. T he re a re o the r po ssib le c o mb ina tio ns o f pa ths a n a pplic a tio n c o uld fo llo w. E stima te d time fra me s fo r e a c h sc e na rio a re a lso inc lude d, b a se d o n c urre nt kno wle dg e . Ac tua l time fra me s ma y va ry de pe nding o n se ve ra l fa c to rs, inc luding the to ta l numb e r

f a pplic a tio ns re c e ive d b y I

CANN during the a pplic a tio n sub missio n pe rio d. I t sho uld b e e mpha size d tha t mo st a pplic a tio ns a re e xpe c te d to pa ss thro ug h the pro c e ss in the sho rte st pe rio d o f time , i.e ., the y will no t g o thro ug h e xte nde d e va lua tio n, dispute re so lutio n, o r string c o nte ntio n re so lutio n pro c e sse s. Altho ug h mo st o f the sc e na rio s b e lo w a re fo r pro c e sse s e xte nding b e yo nd e ig ht mo nths, it is e xpe c te d tha t mo st a pplic a tio ns will c o mple te the pro c e ss within the e ig ht-mo nth time fra me .

Scenario Number Initial Evaluatio nEval- uation Extended Evaluatio nEval- uation Objection Objec- tion(s) RaisedFil ed String Contenti

nConte

n-tion Approve dAp- proved for Subsequ entDele- gation Steps Esti- mated Elapsed Time 1 Pass N/A None No Yes 8 months 2 Fail Pass None No Yes 13 months 3 Pass N/A None Yes Yes 10.5 – 14 months 4 Pass N/A Applicant prevails No Yes 13 months 5 Pass N/A Objector prevails N/A No 11 months 6 Fail Quit n/aN/A N/A No 6 months 7 Fail Fail n/aN/A N/A No 11 months 8 Fail Pass Applicant prevails Yes Yes 15.5 – 19 months 9 Fail Pass Applicant prevails Yes No 13.5 – 17 months

Sc e nar io 1 – Pass Initial E valuation, No Obje c tion, No Conte ntion – I

n the mo st stra ig htfo rwa rd c a se , the a pplic a tio n pa sse s I nitia l E va lua tio n a nd the re is no ne e d fo r a n E xte nde d E va lua tio n. No o b je c tio ns a re ra ise dfile d during the o b je c tio n pe rio d, so the re is no dispute to

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re so lve . As the re is no c o nte ntio n fo r the a pplie d-fo r g T L D string , the a pplic a nt c a n e nte r into a re g istry a g re e me nt a nd the a pplic a tio n c a n pro c e e d to wa rd de le g a tio n o f the a pplie d-fo r g T L

D. Mo st a pplic a tio ns a re e xpe c te d to

c o mple te the pro c e ss within this time fra me .

Sc e nar io 2 – E xte nde d E valuation, No Obje c tion, No Conte ntion – I

n this c a se , the a pplic a tio n fa ils o ne o r mo re a spe c ts o f the I nitia l E va lua tio n. T he a pplic a nt is e lig ib le fo r a nd re q ue sts a n E xte nde d E va lua tio n fo r the a ppro pria te e le me nts. He re , the a pplic a tio n pa sse s the E xte nde d E va lua tio n. As with Sc e na rio 1, no o b je c tio ns a re ra ise dfile d during the o b je c tio n pe rio d, so the re is no dispute to re so lve . As the re is no c o nte ntio n fo r the g T L D string , the a pplic a nt c a n e nte r into a re g istry a g re e me nt a nd the a pplic a tio n c a n pro c e e d to wa rd de le g a tio n o f the a pplie d-fo r g T L D.

Sc e nar io 3 – Pass Initial E valuation, No Obje c tion, Conte ntion – I

n this c a se , the a pplic a tio n pa sse s the I nitia l E va lua tio n so the re is no ne e d fo r E xte nde d E va lua tio n. No

b je c tio ns a re ra ise dfile d during the o b je c tio n pe rio d, so

the re is no dispute to re so lve a nd no a ppe a l.. Ho we ve r, the re a re o the r a pplic a tio ns fo r the sa me o r a simila r g T L D string , so the re is c o nte ntio n. I n this c a se , o ne the a pplic a tio n winspre va ils in the c o nte ntio n re so lutio n, a nd the o the r c o nte nde rs a re de nie d the ir a pplic a tio ns, so the winning so the a pplic a nt c a n e nte r into a re g istry a g re e me nt a nd the a pplic a tio n c a n pro c e e d to wa rd de le g a tio n o f the a pplie d-fo r g T L D.

Sc e nar io 4 – Pass Initial E valuation, Win Obje c tion, No Conte ntion – I

n this c a se , the a pplic a tio n pa sse s the I nitia l E va lua tio n so the re is no ne e d fo r E xte nde d E va lua tio n. During the o b je c tio n filing pe rio d, a va lida n o b je c tio n is ra ise dfile d o n o ne o f the fo ur e nume ra te d g ro unds b y a n

b je c to r with sta nding o n o ne o f the o b je c tio n g ro unds

(re fe r to Mo dule 3, Dispute Re so lutio n Pro c e dure s). T he

b je c tio n is he a rd b y a dispute re so lutio n se rvic e pro vide r

pa ne l tha t finds in fa vo r o f the a pplic a nt. T he a pplic a nt c a n e nte r into a re g istry a g re e me nt a nd the a pplic a tio n pro c e e dsc a n pro c e e d to wa rd de le g a tio n o f the a pplie d- fo r g T L D.

Sc e nar io 5 – Pass Initial E valuation, L

se Obje c tion – I

n this c a se , the a pplic a tio n pa sse s the I nitia l E va lua tio n so the re is no ne e d fo r E xte nde d E va lua tio n. During the o b je c tio n pe rio d, multiple va lid o b je c tio ns a re ra ise dfile d b y o ne o r mo re o b je c to rs with sta nding info r o ne o r mo re o f the fo ur e nume ra te d o b je c tio n g ro unds. E a c h o b je c tio n c a te g o ry fo r whic h the re a re o b je c tio ns is he a rd b y a dispute

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re so lutio n se rvic e pro vide r pa ne l. I n this c a se , the pa ne ls find in fa vo r o f the a pplic a nt fo r mo st o f the o b je c tio ns, b ut

ne finds in fa vo r o f the o b je c to r. As o ne o f the o b je c tio ns

ha s b e e n uphe ld, the a pplic a tio n do e s no t pro c e e d.

Sc e nar io 6 – F ail Initial E valuation, Applic ant Withdr aws – I

n this c a se , the a pplic a tio n fa ils o ne o r mo re a spe c ts o f the I nitia l E va lua tio n. T he a pplic a nt de c ide s to withdra w the a pplic a tio n ra the r tha n c o ntinuing with E xte nde d E va lua tio n. T he a pplic a tio n do e s no t pro c e e d.

Sc e nar io 7 – F ail Initial E valuation, F ail E xte nde d E valuation

n this c a se , the a pplic a tio n fa ils o ne o r mo re ste ps ina spe c ts o f the I nitia l E va lua tio n. T he a pplic a nt re q ue sts E xte nde d E va lua tio n fo r the a ppro pria te e le me nts. Ho we ve r, the a pplic a tio n fa ils E xte nde d E va lua tio n a lso . T he a pplic a tio n do e s no t pro c e e d.

Sc e nar io 8 – E xte nde d E valuation, Win Obje c tion, Pass Conte ntion – I

b je c tio n is ra ise dfile d o n o ne o f the fo ur e nume ra te d

g ro unds b y a n o b je c to r with sta nding . T he o b je c tio n is he a rd b y a dispute re so lutio n se rvic e pro vide r pa ne l tha t rule sfinds in fa vo r o f the a pplic a nt. Ho we ve r, the re a re

the r a pplic a tio ns fo r the sa me o r a simila r g T

L D string , so the re is c o nte ntio n. I n this c a se , the a pplic a nt pre va ils o ve r

the r a pplic a tio ns in the c o nte ntio n re so lutio n pro c e dure ,

the a pplic a nt c a n e nte r into a re g istry a g re e me nt, a nd the a pplic a tio n c a n pro c e e d to wa rd the de le g a tio n pha se o f the a pplie d-fo r g T L D.

Sc e nar io 9 – E xte nde d E valuation, Obje c tion, F ail Conte ntion – I

b je c tio n is ra ise dfile d o n o ne o f the fo ur e nume ra te d

g ro unds b y a n o b je c to r with sta nding . T he o b je c tio n is he a rd b y a dispute re so lutio n se rvic e pro vide r tha t rule sfinds in fa vo r o f the a pplic a nt. Ho we ve r, the re a re

the r a pplic a tio ns fo r the sa me o r a simila r g T

L D string , so the re is c o nte ntio n. I n this c a se , a no the r a pplic a nt pre va ils in the c o nte ntio n re so lutio n pro c e dure , a nd the a pplic a tio n do e s no t pro c e e d.

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T r ansition to De le gation – Afte r a n a pplic a tio n ha s

suc c e ssfully c o mple te d I nitia l o r E xte nde d E va lua tio n, dispute re so lutio n, if a pplic a b le , a nd string c o nte ntio n, ifo the r sta g e s a s a pplic a b le , the a pplic a nt is re q uire d to c o mple te a se t o f ste ps le a ding to de le g a tio n o f the g T L D, inc luding e xe c utio n o f a re g istry a g re e me nt with I CANN, a nd c o mple tio n o f pre -de le g a tio n te sting . Re fe r to Mo dule 5 fo r a de sc riptio n o f the re le va nt ste ps re q uire d in this pha se .sta g e .

1.1.56 Subsequent Application Rounds

I CANN’ s g o a l is to la unc h the ne xtsub se q ue nt g T L D a pplic a tio n ro unds a s q uic kly a s po ssib le . T he e xa c t timing will b e b a se d o n e xpe rie nc e s g a ine d a nd c ha ng e s re q uire d a fte r this ro und is c o mple te d. T he g o a l is fo r the ne xt a pplic a tio n ro und to b e g in within o ne ye a r o f the c lo se o f the a pplic a tio n sub missio n pe rio d fo r thisthe initia l ro und.

1.2 Information for All Applicants

1.2.1 Eligibility

Any established corporation, organization, or institutionE sta b lishe d c o rpo ra tio ns, o rg a niza tio ns, o r institutio ns in g o o d sta nding ma y a pply fo r a ne w g T L D. Applic a tio ns fro m individua ls o r so le pro prie to rships will no t b e c o nside re d. Applic a tio ns fro m o r o n b e ha lf o f ye t-to -b e - fo rme d le g a l e ntitie s, o r a pplic a tio ns pre suppo sing the future fo rma tio n o f a le g a l e ntity (fo r e xa mple , a pe nding Jo int Ve nture ) will no t b e c o nside re d. 1.2.2 Two Application Types: Open or Community-Based I CANN ha s de sig ne d the Ne w g T L D Pro g ra m with multiple sta ke ho lde r pro te c tio n me c ha nisms. Ba c kg ro und sc re e ning , fe a ture s o f the g T L D Re g istry Ag re e me nt, da ta a nd fina nc ia l e sc ro w me c ha nisms a re a ll inte nde d to pro vide re g istra nt a nd use r pro te c tio ns. T he a pplic a tio n fo rm re q uire s a pplic a nts to pro vide info rma tio n o n the le g a l e sta b lishme nt o f the a pplying e ntity, a s we ll a s the ide ntific a tio n o f dire c to rs, o ffic e rs, pa rtne rs, a nd ma jo r sha re ho lde rs o f tha t e ntity. Ba c kg ro und sc re e ning a t b o th the e ntity le ve l a nd the individua l le ve l will b e c o nduc te d fo r a ll a pplic a tio ns to c o nfirm e lig ib ility. T his inq uiry is c o nduc te d o n the b a sis o f the info rma tio n pro vide d in q ue stio ns 1-11 o f the a pplic a tio n fo rm.

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I CANN will pe rfo rm b a c kg ro und sc re e ning in o nly two a re a s: (1) Ge ne ra l b usine ss dilig e nc e a nd c rimina l histo ry; a nd (2) Histo ry o f c yb e rsq ua tting b e ha vio r. T he c rite ria use d fo r c rimina l histo ry a re a lig ne d with the “c rime s o f trust” sta nda rd so me time s use d in the b a nking a nd fina nc e industry. Ba c kg ro und sc re e ning is in pla c e to pro te c t the pub lic inte re st in the a llo c a tio n o f c ritic a l I nte rne t re so urc e s, a nd I CANN re se rve s the rig ht to de ny a n o the rwise q ua lifie d a pplic a tio n, o r to c o nta c t the a pplic a nt with a dditio na l q ue stio ns, b a se d o n the info rma tio n o b ta ine d in the b a c kg ro und sc re e ning pro c e ss. Applicants with confirmed convictions of the types listed in (a) – (k) below will be automatically disqualified from the program. Circ umsta nc e s whe re I CANN ma y de ny a n o the rwise q ua lifie d a pplic a tio n inc lude , b ut a re no t limite d to insta nc e s whe re the a pplic a nt, o r a ny individua l na me d in the a pplic a tio n: a . within the pa st te n ye a rs, ha s b e e n c o nvic te d o f a fe lo ny, o r o f a misde me a no r re la te d to fina nc ia l o r c o rpo ra te g o ve rna nc e a c tivitie s, o r ha s b e e n judg e d b y a c o urt to ha ve c o mmitte d fra ud o r b re a c h o f fiduc ia ry duty, o r ha s b e e n the sub je c t o f a judic ia l de te rmina tio n tha t I CANN de e me d a s the sub sta ntive e q uiva le nt o f a ny o f the se ; b . within the pa st te n ye a rs, ha s b e e n disc ipline d b y a ny g o ve rnme nt o r industry re g ula to ry b o dy fo r c o nduc t invo lving disho ne sty o r misuse o f the funds o f o the rs; c . within the pa st te n ye a rs ha s b e e n c o nvic te d o f a ny willful ta x-re la te d fra ud o r willful e va sio n o f ta x lia b ilitie s;

d. within the pa st te n ye a rs ha s b e e n

c o nvic te d o f pe rjury, fo rswe a ring , fa iling to c o o pe ra te with a la w e nfo rc e me nt inve stig a tio n, o r ma king fa lse sta te me nts to a la w e nfo rc e me nt a g e nc y o r re pre se nta tive ;

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e . ha s e ve r b e e n c o nvic te d o f a ny c rime invo lving the use o f a we a po n, fo rc e , o r the thre a t o f fo rc e ; f. ha s e ve r b e e n c o nvic te d o f a ny vio le nt o r se xua l o ffe nse vic timizing c hildre n, the e lde rly, o r individua ls with disa b ilitie s; g . ha s b e e n c o nvic te d o f a iding , a b e tting , fa c ilita ting , e na b ling , c o nspiring to c o mmit,

r fa iling to re po rt a ny o f the liste d c rime s

within the re spe c tive time fra me s spe c ifie d a b o ve ;

h. ha s e nte re d a g uilty ple a a s pa rt o f a ple a

a g re e me nt o r ha s a c o urt c a se in a ny jurisdic tio n with a dispo sitio n o f Adjudic a te d Guilty o r Adjudic a tio n Withhe ld (o r re g io na l e q uiva le nts) fo r a ny o f the liste d c rime s within the re spe c tive time fra me s liste d a b o ve ; i. is the sub je c t o f a disq ua lific a tio n impo se d b y I CANN a nd in e ffe c t a t the time the a pplic a tio n is c o nside re d; j. fa ils to pro vide I CANN with the ide ntifying info rma tio n ne c e ssa ry to c o nfirm ide ntity a t the time o f a pplic a tio n o r to re so lve q ue stio ns o f ide ntity during the b a c kg ro und sc re e ning pro c e ss;

k. ha s b e e n invo lve d in o f a pa tte rn o f

de c isio ns indic a ting tha t the a pplic a nt o r individua l na me d in the a pplic a tio n wa s e ng a g e d in c yb e rsq ua tting a s de fine d in the UDRP, ACPA, o r o the r e q uiva le nt le g isla tio n. T hre e o r mo re suc h de c isio ns with

ne o c c urring in the la st fo ur ye a rs will

g e ne ra lly b e c o nside re d to c o nstitute a pa tte rn. l. fa ils to pro vide a g o o d fa ith e ffo rt to disc lo se a ll re le va nt info rma tio n re la ting to ite ms (a ) – (k). All a pplic a nts a re re q uire d to designate pro vide c o mple te a nd de ta ile d e xpla na tio ns re g a rding a ny o f the a b o ve e ve nts a s pa rt o f the a pplic a tio n. Crime s o f a pe rso na l na ture tha t do no t me e t a ny o f the c rite ria liste d in (a ) – (k) will no t b e c o nside re d fo r the purpo se o f c rimina l

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b a c kg ro und sc re e ning a nd do no t ne e d to b e disc lo se d. Ba c kg ro und sc re e ning info rma tio n will no t b e ma de pub lic ly a va ila b le b y I CANN.

Re gistr ar Cr

ss-Owne r

ship -- I

CANN-a c c re dite d re g istra rs a re e lig ib le to a pply fo r a g T L

D. Ho we ve r, a ll g T

L D re g istrie s a re re q uire d to a b ide b y a Co de o f Co nduc t a ddre ssing , inte r alia, no n-disc rimina to ry a c c e ss fo r a ll a utho rize d re g istra rs. I CANN re se rve s the rig ht to re fe r a ny a pplic a tio n to the a ppro pria te c o mpe titio n a utho rity re la tive to a ny c ro ss-o wne rship issue s.

L e gal Complianc e -- I

CANN must c o mply with a ll U.S. la ws, rule s, a nd re g ula tio ns. One suc h se t o f re g ula tio ns is the e c o no mic a nd tra de sa nc tio ns pro g ra m a dministe re d b y the Offic e o f F

re ig n Asse ts Co ntro l (“OF

AC”) o f the U.S. De pa rtme nt o f the T re a sury. T he se sa nc tio ns ha ve b e e n impo se d o n c e rta in c o untrie s, a s we ll a s individua ls a nd e ntitie s tha t a ppe a r o n OF AC's L ist o f Spe c ia lly De sig na te d Na tio na ls a nd Blo c ke d Pe rso ns (the “SDN L ist"). I CANN is pro hib ite d fro m pro viding mo st g o o ds o r se rvic e s to re side nts o f sa nc tio ne d c o untrie s o r the ir g o ve rnme nta l e ntitie s o r to SDNs witho ut a n a pplic a b le U.S. g o ve rnme nt a utho riza tio n o r e xe mptio n. I CANN g e ne ra lly will no t se e k a lic e nse to pro vide g o o ds o r se rvic e s to a n individua l o r e ntity o n the SDN L

ist. I

n the pa st, whe n I CANN ha s b e e n re q ue ste d to pro vide se rvic e s to individua ls o r e ntitie s tha t a re no t SDNs, b ut a re re side nts o f sa nc tio ne d c o untrie s, I CANN ha s so ug ht a nd b e e n g ra nte d lic e nse s a s re q uire d. I n a ny g ive n c a se , ho we ve r, OF AC c o uld de c ide no t to issue a re q ue ste d lic e nse .

1.2.2 Required Documents

All a pplic a nts sho uld b e pre pa re d to sub mit the fo llo wing do c ume nts, whic h a re re q uire d to a c c o mpa ny e a c h a pplic a tio n:

1. Proof of legal establishment – Do c ume nta tio n o f the

a pplic a nt’ s e sta b lishme nt a s a spe c ific type o f e ntity in a c c o rda nc e with the a pplic a b le la ws o f its jurisdic tio n.

2. Financial statements. Applic a nts must pro vide a udite d
r inde pe nde ntly c e rtifie d fina nc ia l sta te me nts fo r the

mo st re c e ntly c o mple te d fisc a l ye a r fo r the a pplic a nt. I n so me c a se s, una udite d fina nc ia l sta te me nts ma y b e pro vide d. Suppo rting do c ume nta tio n sho uld b e sub mitte d in the

rig ina l la ng ua g e . E

ng lish tra nsla tio ns a re no t re q uire d. fo r a ne w g T L D a s open o r All do c ume nts must b e va lid a t the time o f sub missio n. Re fe r to the E va lua tio n Crite ria ,

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a tta c he d to Mo dule 2, fo r a dditio na l de ta ils o n the re q uire me nts fo r the se do c ume nts. So me type s o f suppo rting do c ume nta tio n a re re q uire d o nly in c e rta in c a se s:

1. Community e ndor

se me nt – I

f a n a pplic a nt ha s de sig na te d its a pplic a tio n a s c o mmunity-b a se d. (se e se c tio n 1.2.3), it will b e a ske d to sub mit a writte n e ndo rse me nt o f its a pplic a tio n b y o ne o r mo re e sta b lishe d institutio ns re pre se nting the c o mmunity it ha s na me d. An a pplic a nt ma y sub mit writte n e ndo rse me nts fro m multiple institutio ns. I f a pplic a b le , this will b e sub mitte d in the se c tio n o f the a pplic a tio n c o nc e rning the c o mmunity-b a se d de sig na tio n.

2. 1.2.2Gove r

nme nt suppor t or non-obje c tion – I

f a n a pplic a nt ha s a pplie d fo r a g T L D string tha t is a g e o g ra phic na me , the a pplic a nt is re q uire d to sub mit a sta te me nt o f suppo rt fo r o r no n-o b je c tio n to its a pplic a tio n fro m the re le va nt g o ve rnme nts o r pub lic a utho ritie s. Re fe r to sub se c tio n 2.2.1.4 fo r mo re info rma tio n o n the re q uire me nts fo r g e o g ra phic a l na me s. I f a pplic a b le , this will b e sub mitte d in the g e o g ra phic na me s se c tio n o f the a pplic a tio n.

3. Doc ume ntation of thir

d-par ty funding c ommitme nts – I

f a n a pplic a nt lists funding fro m third pa rtie s in its a pplic a tio n, it must pro vide e vide nc e o f c o mmitme nt b y the pa rty c o mmitting the funds. I f a pplic a b le , this will b e sub mitte d in the fina nc ia l se c tio n o f the a pplic a tio n.

1.2.3 Community-Based Designation

All a pplic a nts a re re q uire d to de sig na te whe the r the ir a pplic a tio n is community-based.

1.2.3.1 Definitions

r purpo se s o f this Applic a nt Guide b o o k, a community-

based gTLD is a g T L D tha t is o pe ra te d fo r the b e ne fit o f a c le a rly de line a te d c o mmunity. De sig na tio n o r no n- de sig na tio n o f a n a pplic a tio n a s c o mmunity-b a se d is e ntire ly a t the disc re tio n o f the a pplic a nt. Any a pplic a nt ma y de sig na te its a pplic a tio n a s c o mmunity-b a se d; ho we ve r, e a c h a pplic a nt ma king this de sig na tio n is a ske d to sub sta ntia te its sta tus a s re pre se nta tive o f the c o mmunity it na me s in the a pplic a tio n b y sub missio n o f writte n e ndo rse me nts in suppo rt o f the a pplic a tio n. Additio na l info rma tio n ma y b e re q ue ste d in the e ve nt o f a c o mmunity prio rity e va lua tio n (re fe r to se c tio n 4.2 o f

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Mo dule 4). An a pplic a nt fo r a c o mmunity-b a se d g T L D is e xpe c te d to :

1. De mo nstra te a n o ng o ing re la tio nship with a c le a rly

de line a te d c o mmunity. 1.2. Ha ve a pplie d fo r a g T L D string stro ng ly a nd spe c ific a lly re la te d to the c o mmunity na me d in the a pplic a tio n.

3. F
r purpo se s o f this RF

P, a n open gTLD is o ne tha tHa ve pro po se d de dic a te d re g istra tio n a nd use po lic ie s fo r re g istra nts in its pro po se d g T L D, inc luding a ppro pria te se c urity ve rific a tio n pro c e dure s, c o mme nsura te with the c o mmunity-b a se d purpo se it ha s na me d.

4. Ha ve its a pplic a tio n e ndo rse d in writing b y o ne o r mo re

e sta b lishe d institutio ns re pre se nting the c o mmunity it ha s na me d. F

r purpo se s o f diffe re ntia tio n, a n a pplic a tio n tha t ha s no t

b e e n de sig na te d a s c o mmunity-b a se d will b e re fe rre d to he re ina fte r in this do c ume nt a s a standard application. A sta nda rd g T L D c a n b e use d fo r a ny purpo se c o nsiste nt with the re q uire me nts o f the a pplic a tio n a nd e va lua tio n c rite ria , a nd with the re g istry a g re e me nt. An o pe n g T L D A sta nda rd a pplic a nt ma y o r ma y no t ha ve a fo rma l re la tio nship with a n e xc lusive re g istra nt o r use r po pula tio n. I t ma y o r ma y no t e mplo y e lig ib ility o r use re stric tio ns. Sta nda rd simply me a ns he re tha t the a pplic a nt ha s no t de sig na te d the a pplic a tio n a s c o mmunity-b a se d. F

r purpo se s o f this RF

P, a community-based gTLD is a g T L D tha t is o pe ra te d fo r the b e ne fit o f a de fine d c o mmunity c o nsisting o f a re stric te d po pula tio n. An a pplic a nt de sig na ting its a pplic a tio n a s c o mmunity-b a se d will b e a ske d to sub sta ntia te its sta tus a s re pre se nta tive o f the c o mmunity it na me s in the a pplic a tio n, a nd a dditio na l info rma tio n ma y b e re q ue ste d in the e ve nt o f a c o mpa ra tive e va lua tio n (re fe r to Se c tio n 4.2 o f Mo dule 4). An a pplic a nt fo r a c o mmunity-b a se d g T L D is e xpe c te d to :

2. De mo nstra te a n o ng o ing re la tio nship with a de fine d

c o mmunity tha t c o nsists o f a re stric te d po pula tio n. 3.5. Ha ve a pplie d fo r a g T L D string stro ng ly a nd spe c ific a lly re la te d to the c o mmunity na me d in the a pplic a tio n.

4. Ha ve pro po se d de dic a te d re g istra tio n a nd use po lic ie s

fo r re g istra nts in its pro po se d g T L D.

5. Ha ve its a pplic a tio n e ndo rse d in writing b y a n

e sta b lishe d institutio n re pre se nting the c o mmunity it ha s na me d.

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1.2.3.2.2 Implications of Application Designation

Applic a nts sho uld unde rsta nd ho w the ir de sig na tio n a s

pe n c o mmunity-b a se d o r c o mmunity-b a se dsta nda rd will

a ffe c t a pplic a tio n pro c e ssing a t pa rtic ula r sta g e s, a nd, if the a pplic a tio n is suc c e ssful, e xe c utio n o f the re g istry a g re e me nt a nd sub se q ue nt o b lig a tio ns a s a g T L D re g istry

pe ra to r, a s de sc rib e d in the fo llo wing pa ra g ra phs.

Obje c tion/ / Dispute Re solution – All a pplic a nts sho uld

unde rsta nd tha t a n o b je c tio n ma y b e file d a g a inst a ny a pplic a tio n o n c o mmunity o ppo sitio n g ro unds, e ve n if the a pplic a nt ha s no t de sig na te d itse lf a s c o mmunity-b a se d o r de c la re d the T L Dg T L D to b e a ime d a t a pa rtic ula r c o mmunity. Re fe r to Mo dule 3, Dispute Re so lutio n Pro c e dure s.

Str ing Conte ntion – Any a pplic a nt tha t ha s b e e n ide ntifie d

a s pa rtRe so lutio n o f a string c o nte ntio n ma y inc lude o ne o r mo re c o mpo ne nts, de pe nding o n the c o mpo sitio n o f the c o nte ntio n se t (re fe ra nd the e le c tio ns ma de b y c o mmunity-b a se d a pplic a nts.

A settlement between the parties c a n o c c ur a t a ny

time a fte r c o nte ntio n is ide ntifie d. T he pa rtie s will b e e nc o ura g e d to Mo dule 4.1) ma y b e o b lig e dme e t with a n o b je c tive to pa rtic ipa te se ttle the c o nte ntio n. Applic a nts in e ithe r a c o mpa ra tive e va lua tio n o r a no the r e ffic ie nt me c ha nism fo r c o nte ntio n a lwa ys ha ve the o ppo rtunity to re so lve the c o nte ntio n vo lunta rily, re sulting in the withdra wa l o f o ne o r mo re a pplic a tio ns, b e fo re re a c hing the c o nte ntio n re so lutio n if the a pplic a tio n re a c he s the string c o nte ntio n sta g e a nd the a pplic a nt e le c ts to pro c e e d. .

A comparativeA community priority evaluation will

ta ke pla c e o nly if a c o mmunity-b a se d a pplic a nt in a c o nte ntio n se t ha s e le c te d c o mpa ra tive e le c ts this o ptio n. All c o mmunity-b a se d a pplic a nts in a c o nte ntio n se t will b e o ffe re d this o ptio n in the e ve nt tha t the re is c o nte ntio n re ma ining a fte r the a pplic a tio ns ha ve suc c e ssfully c o mple te d a ll pre vio us e va lua tio n sta g e s. An auction will re sult fo r c a se s o f c o nte ntio n no t re so lve d b y c o mmunity prio rity e va lua tio n.

Ano the r e ffic ie nt me c ha nism fo r o r a g re e me nt

b e twe e n the pa rtie s. Auc tio n o c c urs a s a

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c o nte ntio n re so lutio n will re sult in o the r c a se sme a ns

f la st re so rt. I

f a c o mpa ra tive c o mmunity prio rity e va lua tio n o c c urs b ut do e s no t pro duc e a c le a r winne r, the e ffic ie nt me c ha nism will the n re sulta n a uc tio n will ta ke pla c e to re so lve the c o nte ntio n. Re fe r to Mo dule 4, String Co nte ntio n Pro c e dure s, fo r de ta ile d disc ussio ns o f c o nte ntio n re so lutio n pro c e dure s.

Contr ac t E xe c ution and Post-De le gation – A c o mmunity-

b a se d g T L D a pplic a nt will b e sub je c t to c e rta in po st- de le g a tio n c o ntra c tua l o b lig a tio ns to o pe ra te the g T L D in a ma nne r c o nsiste nt with the re stric tio ns a sso c ia te d with its c o mmunity-b a se d de sig na tio n, o nc e it b e g ins o pe ra ting the g T L D.. I CANN must a ppro ve a ll ma te ria l c ha ng e s to the c o ntra c t, inc luding c ha ng e s to c o mmunity-b a se d na ture

f the g T

L D a nd a ny a sso c ia te d c o ntra c t c ha ng e spro visio ns. Co mmunity-b a se d a pplic a tio ns a re inte nde d to b e a na rro w c a te g o ry, fo r a pplic a tio ns whe re the re a re una mb ig uo us a sso c ia tio ns a mo ng the a pplic a nt, the c o mmunity se rve d, a nd the a pplie d-fo r g T L D string . E va lua tio n o f a n a pplic a nt’ s de sig na tio n a s c o mmunity- b a se d will o c c ur o nly in the e ve nt o f a c o nte ntio n situa tio n tha t re sults in a c o mmunity prio rity e va lua tio n. Ho we ve r, a ny a pplic a nt de sig na ting its a pplic a tio n a s c o mmunity- b a se d will, if the a pplic a tio n is a ppro ve d, b e b o und b y the re g istry a g re e me nt to imple me nt the c o mmunity-b a se d re stric tio ns it ha s spe c ifie d in the a pplic a tio n. T his is true e ve n if the re a re no c o nte nding a pplic a nts.

1.2.23.3 Changes to Application Designation

An a pplic a nt ma y no t c ha ng e its de sig na tio n a s

pe nsta nda rd o r c o mmunity-b a se d o nc e it ha s sub mitte d

a g T L D a pplic a tio n fo r pro c e ssing .

1.2.3 Required Documents

Applic a nts sho uld b e pre pa re d to sub mit the fo llo wing do c ume nts, whic h a re re q uire d to a c c o mpa ny e a c h a pplic a tio n:

1. Proof of legal establishment – E

xa mple s o f a c c e pta b le do c ume nta tio n inc lude a rtic le s o r a c e rtific a te o f inc o rpo ra tio n, a rtic le s o f a sso c ia tio n o r e q uiva le nt do c ume nts re la tive to the type o f e ntity a nd the jurisdic tio n in whic h it is fo rme d, suc h a s sta tute s o r me mb e rship a g re e me nts o f the e ntity.

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2. Proof of good standing – E

xa mple s o f a c c e pta b le do c ume nta tio n inc lude a c e rtific a te o f g o o d sta nding

r o the r e q uiva le nt o ffic ia l do c ume nt issue d b y a

c o mpe te nt g o ve rnme nt a utho rity, if o ffe re d b y a g o ve rnme nta l a utho rity fo r the jurisdic tio n. Unde r so me la ws o r jurisdic tio ns, it ma y b e po ssib le to pro ve b o th e sta b lishme nt a nd g o o d sta nding with a sing le do c ume nt. T ha t is, the sa me do c ume nt ma y suffic e fo r ite ms 1 a nd 2. I f no suc h c e rtific a te s o r do c ume nts a re a va ila b le in the a pplic a nt’ s jurisdic tio n, a n a ffida vit dra fte d a nd sig ne d b y a no ta ry pub lic o r a le g a l pra c titio ne r duly q ua lifie d to re pre se nt c lie nts b e fo re the c o urts o f the c o untry in whic h the a pplic a nt’ s o rg a niza tio n is e sta b lishe d, de c la ring tha t the o rg a niza tio n is e sta b lishe d a nd in g o o d sta nding , must b e sub mitte d.

3. I

f the a pplic a nt is a g o ve rnme nt b o dy o r o rg a niza tio n, it must pro vide a certified copy of the act whe re in o r g o ve rnme nta l de c isio n whe re b y the g o ve rnme nt b o dy

r o rg a niza tio n wa s e sta b lishe d.

I CANN is a wa re tha t pra c tic e s a nd do c ume nta tio n sta nda rds va ry fro m re g io n to re g io n, a nd ha s a tte mpte d to a c c o unt fo r a va rie ty o f the se pra c tic e s whe n spe c ifying the re q uire me nts. Applic a nts with e xc e ptio na l c irc umsta nc e s sho uld c o nta c t I CANN to de te rmine ho w to pro vide a ppro pria te do c ume nta tio n.

4. Financial statements. Applic a nts must pro vide a udite d

fina nc ia l sta te me nts fo r the mo st re c e ntly c o mple te d fisc a l ye a r fo r the a pplic a nt, a nd una udite d fina nc ia l sta te me nts fo r the mo st re c e ntly e nde d inte rim fina nc ia l pe rio d fo r the a pplic a nt.

5. Be fo re de le g a tio n: documentary evidence of ability to

fund ongoing basic registry operations fo r the n-e xisting re g istra nts fo r a pe rio d o f thre e to five ye a rs in the e ve nt o f re g istry fa ilure , de fa ult o r until a suc c e sso r

pe ra to r c a n b e de sig na te d.

All do c ume nts must b e va lid a t the time o f sub missio n. Suppo rting do c ume nta tio n sho uld b e sub mitte d in the

rig ina l la ng ua g e . E

ng lish tra nsla tio ns a re no t re q uire d. So me suppo rting do c ume nta tio n will b e re q uire d o nly in c e rta in c a se s:

1. Community e ndor

se me nt – I

f a n a pplic a nt ha s de sig na te d its a pplic a tio n a s c o mmunity-b a se d, it will b e a ske d to sub mit a writte n e ndo rse me nt o f its

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a pplic a tio n b y a n e sta b lishe d institutio n re pre se nting the c o mmunity it ha s na me d.

2. Gove r

nme nt suppor t or non-obje c tion – I

f a n a pplic a nt ha s a pplie d fo r a string tha t is a g e o g ra phic a l te rm, the a pplic a nt is re q uire d to sub mit a sta te me nt o f suppo rt

r no n-o b je c tio n fo r its a pplic a tio n fro m the re le va nt

g o ve rnme nt(s) o r pub lic a utho ritie s. Re fe r to Se c tio n 2.1.1.4 fo r mo re info rma tio n o n the re q uire me nts fo r g e o g ra phic a l na me s.

3. Doc ume ntation of outside funding c ommitme nts – I

f a n a pplic a nt lists o utside so urc e s o f funding in its a pplic a tio n, it must pro vide e vide nc e o f c o mmitme nt b y the pa rty c o mmitting the funds.

1.2.4 Notice Concerningconcerning Technical Acceptance Issues with New gTLDs

All a pplic a nts sho uld b e a wa re tha t a c c e pta nc e a ppro va l

f the ir a pplic a tio ns b y I

CANNa n a pplic a tio n a nd e nte ring e ntry into a re g istry a g re e me nt with I CANN do e sdo no t g ua ra nte e tha t the a ne w g T L D will imme dia te ly func tio n thro ug ho ut the I nte rne t. Pa st e xpe rie nc e indic a te s tha t I SPs a nd we b ho ste rs do no t a uto ma tic a lly a llo w pa ssa g e o f o r a c c e ss to ne two rk

pe ra to rs ma y no t imme dia te ly fully suppo rt ne w g T

L D string sto p-le ve l do ma ins, e ve n whe n the se string s a re a utho rize d b y I CANNdo ma ins ha ve b e e n de le g a te d in the DNS ro o t zo ne , sinc e third-pa rty so ftwa re mo dific a tio nsmo dific a tio n ma y b e re q uire d tha ta nd ma y no t ha ppe n until the re is a b usine ss c a se fo r do ing so . imme dia te ly. Simila rly, we b so ftwa re a pplic a tio ns o fte nso me time s a tte mpt to va lida te na me string s o n da ta e ntrydo ma in na me s a nd ma y filte r o utno t re c o g nize ne w o r unkno wn string sto p-le ve l do ma ins. I CANN ha s no a utho rity o r a b ility to re q uire a c c e pta nc e o ftha t so ftwa re a c c e pt ne w g T L D na me string sto p-le ve l do ma ins, a ltho ug h it do e s pro mine ntly pub lic ize I CANN-a utho rize d g T L D string s o n its we b site . whic h to p-le ve l do ma ins a re va lid a nd ha s de ve lo pe d a b a sic to o l to a ssist a pplic a tio n pro vide rs in the use o f c urre nt ro o t-zo ne da ta . I CANN e nc o ura g e s a pplic a nts to fa milia rize the mse lve s with the se issue s a nd a c c o unt fo r the m in the ir sta rtup a nd la unc h pla ns. Suc c e ssful a pplic a nts ma y find the mse lve s e xpe nding c o nside ra b le e ffo rts po st-imple me nta tio n in wo rking with pro vide rs to a c hie ve a c c e pta nc e o f the ir ne w g T L D na me string to p-le ve l do ma in.

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Applic a nts sho uld re vie w (I nfo rma tio na l) RF C 3696 (se e http:/ / www.ie tfic a nn.o rg / rfc / rfc 3696.txt? numb e r=3696e n/ t

pic s/ T

L D-a c c e pta nc e / ) fo r b a c kg ro und. I DN a pplic a nts sho uld a lso re vie w the ma te ria l c o nc e rning e xpe rie nc e s with I DN te st string s in the ro o t zo ne (se e http:/ / idn.ic a nn.o rg / ).

1.2.51.2.5 Notice concerning TLD Delegations

I CANN is o nly a b le to c re a te T L Ds a s de le g a tio ns in the DNS ro o t zo ne , e xpre sse d using NS re c o rds with a ny c o rre spo nding DS re c o rds a nd g lue re c o rds. T he re is no po lic y e na b ling I CANN to pla c e T L Ds a s o the r DNS re c o rd type s (suc h a s A, MX, o r DNAME re c o rds) in the ro o t zo ne .

1.2.6 Terms and Conditions

All a pplic a nts must a g re e to a sta nda rd se t o f T e rms a nd Co nditio ns fo r the a pplic a tio n pro c e ss. T he T e rms a nd Co nditio ns a re a va ila b le in Mo dule 6 o f this RF Pg uide b o o k.

1.2.7 Notice of Changes to Information

I f a t a ny time during the e va lua tio n pro c e ss info rma tio n pre vio usly sub mitte d b y a n a pplic a nt b e c o me s untrue o r ina c c ura te , the a pplic a nt must pro mptly no tify I CANN via sub missio n o f the a ppro pria te fo rms. T his inc lude s a pplic a nt-spe c ific info rma tio n suc h a s c ha ng e s in fina nc ia l po sitio n a nd c ha ng e s in o wne rship o r c o ntro l o f the a pplic a nt. I CANN re se rve s the rig ht to re q uire a re -e va lua tio n o f the a pplic a tio n in the e ve nt o f a ma te ria l c ha ng e . T his c o uld invo lve a dditio na l fe e s o r e va lua tio n in a sub se q ue nt a pplic a tio n ro und. F a ilure to no tify I CANN o f a ny c ha ng e in c irc umsta nc e s tha t wo uld re nde r a ny info rma tio n pro vide d in the a pplic a tio n fa lse o r misle a ding ma y re sult in de nia l o f the a pplic a tio n.

1.2.8 Voluntary Designation for High Security Zones

I CANN a nd its sta ke ho lde rs a re c urre ntly de ve lo ping a spe c ia l de sig na tio n fo r "Hig h Se c urity Zo ne T

e ve l Do ma ins” (“HST L Ds”). T his wo rk is c urre ntly fo c using o n de ve lo ping a sta nda rd fo r po ssib le a do ptio n b y a n inte rna tio na l sta nda rds b o dy who c a n a dministe r a udits a nd c e rtific a tio ns o n a n inde pe nde nt b a sis.

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T his vo lunta ry de sig na tio n is fo r to p-le ve l do ma ins tha t de mo nstra te a nd upho ld e nha nc e d se c urity-minde d pra c tic e s a nd po lic ie s. While a ny re g istry o pe ra to r, inc luding suc c e ssful ne w g T L D a pplic a nts, will b e e lig ib le to pa rtic ipa te in this pro g ra m, its de ve lo pme nt a nd o pe ra tio n a re b e yo nd the sc o pe o f this g uide b o o k. An a pplic a nt’ s e le c tio n to pursue a n HST L D de sig na tio n is e ntire ly inde pe nde nt o f the e va lua tio n pro c e ss a nd will re q uire c o mple tio n o f a n a dditio na l se t o f re q uire me nts. F

r mo re info rma tio n o n the HST

L D pro g ra m, inc luding c urre nt pro g ra m de ve lo pme nt ma te ria l a nd a c tivitie s, ple a se re fe r to http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w- g tlds/ hstld-pro g ra m-e n.htm.

1.2.9 Security and Stability

Ro o t S c aling : T he re ha s b e e n sig nific a nt study, a na lysis, a nd c o nsulta tio n in pre pa ra tio n fo r la unc h o f the Ne w g T L D Pro g ra m: indic a ting tha t the a dditio n o f g T L Ds to the ro o t zo ne will no t ne g a tive ly impa c t the se c urity o r sta b ility o f the DNS. I t is e stima te d tha t 200-300 T L Ds will b e de le g a te d a nnua lly, a nd de te rmine d tha t in no c a se will mo re tha n 1000 ne w g T L Ds b e a dde d to the ro o t zo ne in a ye a r. T he de le g a tio n ra te a na lysis, c o nsulta tio ns with the te c hnic a l c o mmunity, a nd a ntic ipa te d no rma l o pe ra tio na l upg ra de c yc le s a ll le a d to the c o nc lusio n tha t the ne w g T L D de le g a tio ns will ha ve no sig nific a nt impa c t o n the sta b ility o f the ro o t syste m. Ho we ve r, a ll a pplic a nts sho uld b e a wa re tha t de le g a tio n o f a ny ne w g T L Ds is c o nditio na l o n the c o ntinue d a b se nc e o f sig nific a nt ne g a tive impa c t o n the se c urity o r sta b ility o f the DNS.

1.2.10 Resources for Applicant Assistance

A va rie ty o f suppo rt re so urc e s a re a va ila b le to g T L D a pplic a nts. Mo re info rma tio n will b e a va ila b le o n I CANN’ s we b site a t http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld- pro g ra m.htm.2

1.3 Information for Internationalized Domain Name Applicants

So me a pplie d-fo r g T L D string s a re e xpe c te d to b e I nte rna tio na lize d Do ma in Na me s (I DNs) tha t). I DNs a re

2 The Joint SO/AC New gTLD Applicant Support Working Group is currently developing recommendations for support resources that

may be available to gTLD applicants. Information on these resources will be published on the ICANN website once identified.

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do ma in na me s inc luding c ha ra c te rs use d in the lo c a l re pre se nta tio n o f la ng ua g e s no t writte n with the b a sic L a tin a lpha b e t (a - z), E uro pe a n-Ara b ic dig its (0 - 9), a nd the hyphe n (-). As de sc rib e d b e lo w, I DNs re q uire the inse rtio n o f I DN-e nc o de d A-la b e ls into the DNS ro o t zo ne . I DNs a re la b e ls tha t c o nta in o ne o r mo re le tte rs o r c ha ra c te rs o the r tha n L DH (le tte rs a ,…z; dig its 0,…9; a nd the hyphe n “-”).

If an1.3.1 IDN-Specific Requirements

An a pplic a nt a pplie s fo r suc h a a n I DN string , it must pro vide a c c o mpa nying info rma tio n indic a ting c o mplia nc e with the I DNA pro to c o l a nd o the r te c hnic a l re q uire me nts. T he I DNA pro to c o l is c urre ntly unde r re visio n a nd its do c ume nta tio n c a n b e fo und a t http:/ / www.ic a nn.o rg / e n/ to pic s/ idn/ rfc s.htm. Applic a nts must pro vide a pplie d-fo r g T L D string s in the fo rm

f b o th a U-label (the I

DN T L D in lo c a l c ha ra c te rs) a nd a n A-label. An A-la b e l is the ASCI I

Co mpa tib le E

nc o ding fo rm o f a n I DNA-va lid string .I DN la b e l. E ve ry I DN A-la b e l b e g ins with the I DNA ACE pre fix, “xn--”, fo llo we d b y a string tha t is a va lid o utput o f the Punyc o de a lg o rithm, a nd he nc e isma king a ma ximum o f 5963 to ta l ASCI I c ha ra c te rs in le ng th. T he pre fix a nd string to g e the r must c o nfo rm to a ll re q uire me nts fo r a la b e l tha t c a n b e sto re d in the DNS inc luding c o nfo rma nc e to the L DH (ho st na me ) rule de sc rib e d in RF C 1034, RF C 1123, a nd e lse whe re . A U-la b e l is a n I DNA-va lid string o f Unic o de c ha ra c te rs, inc luding a t le a st o ne no n-ASCI I c ha ra c te r, e xpre sse d in a sta nda rd Unic o de E nc o ding F

rm, no rma lly UT

8 in a n

I nte rne t tra nsmissio n c o nte xt. A U-la b e l is the Unic o de fo rm o f a n I DN la b e l, whic h a use r e xpe c ts to se e displa ye d in a pplic a tio ns. F

r e xa mple , using the c urre nt I

DN te st string in Cyrillic sc ript, the U-la b e l is <испытание> a nd the A-la b e l is <xn—-

80akhbyknj4f>. An A-la b e l must b e c a pa b le o f b e ing

pro duc e d b y c o nve rsio n fro m a U-la b e l a nd a U-la b e l must b e c a pa b le o f b e ing pro duc e d b y c o nve rsio n fro m a n A- la b e l. Applic a nts fo r I DN g T L Ds will a lso b e re q uire d to pro vide the fo llo wing a t the time o f the a pplic a tio n:

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1. Sho rt fo rmMe a ning o r re sta te me nt o f string (in E

ng lish).. T he a pplic a nt will pro vide a sho rt de sc riptio n o f wha t the string wo uld me a n o r re pre se nt in E ng lish.

2. L

a ng ua g e o f la b e l (I SO 639-1). T he a pplic a nt will spe c ify the la ng ua g e o f the a pplie d-fo r T L D string , b o th a c c o rding to the I SO’ sI SO c o de s fo r the re pre se nta tio n

f na me s o f la ng ua g e s, a nd in E

ng lish.

3. Sc ript o f la b e l (I

SO 15924). T he a pplic a nt will spe c ify the sc ript o f the a pplie d-fo r g T L D string , b o th a c c o rding to the I SO c o de c o de s fo r the pre se nta tio nre pre se nta tio n

f na me s o f sc ripts, a nd in E

ng lish.

4. Unic o de c o de po ints. T

he a pplic a nt will list a ll the c o de po ints c o nta ine d in the U-la b e l a c c o rding to its Unic o de fo rm.

5. Re pre se nta tio n o f la b e l in pho ne tic a lpha b e t. T

he a pplic a nt will pro vide its a pplie d-fo r g T L D string no ta te d a c c o rding to the I nte rna tio na l Pho ne tic Alpha b e t (http:/ / www.a rts.g la .a c .uk/ I PA/ ipa c ha rt.html).

6. I

ts I DN ta b le . T his ta b le pro vide s the list o f c ha ra c te rs e lig ib le fo r re g istra tio n in do ma in na me s a c c o rding to re g istry po lic y. I t will c o nta in a ny multiple c ha ra c te rs tha t c a n b e c o nside re d “the sa me ” fo r the purpo se s o f re g istra tio ns a t the se c o nd le ve l. F

r e xa mple s, se e

http:/ / ia na .o rg / do ma ins/ idn-ta b le s/ .

5. Applic a nts must furthe r de mo nstra te tha t the y ha ve

ma de re a so na b le e ffo rts to e nsure tha t the e nc o de d I DN string do e s no t c a use a ny re nde ring o r o pe ra tio na l pro b le ms. F

r e xa mple , pro b le ms ha ve b e e n ide ntifie d

in string s with c ha ra c te rs o f mixe d rig ht-to -le ft a nd le ft- to -rig ht dire c tio na lity whe n nume ra ls a re a dja c e nt to the pa th se pa ra to r. (i.e ., the do t).3

7. I

f a n a pplic a nt we re is a pplying fo r a string with kno wn issue s, it sho uld do c ume nt ste ps tha t will b e ta ke n to mitig a te the se issue s in a pplic a tio ns. While it is no t po ssib le to e nsure tha t a ll re nde ring pro b le ms a re a vo ide d, it is impo rta nt tha t a s ma ny a s po ssib le a re ide ntifie d e a rly a nd tha t the po te ntia l re g istry o pe ra to r is a wa re o f the se issue s. Applic a nts c a n b e c o me fa milia r with the se issue s b y unde rsta nding the I DNA pro to c o l (se e http:/ / www.ic a nn.o rg / e n/ to pic s/ idn/ rfc s.htm), a nd b y a c tive pa rtic ipa tio n in the I DN wiki (se e http:/ / idn.ic a nn.o rg / ) whe re so me re nde ring pro b le ms a re de mo nstra te d.

3 See examples at http://stupid.domain.name/node/683

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6. [Optional] - Re pre se nta tio n o f la b e l in pho ne tic

a lpha b e t. T he a pplic a nt ma y c ho o se to pro vide its a pplie d-fo r g T L D string no ta te d a c c o rding to the I nte rna tio na l Pho ne tic Alpha b e t (http:/ / www.la ng sc i.uc l.a c .uk/ ipa / ). No te tha t this info rma tio n will no t b e e va lua te d o r sc o re d. T he info rma tio n, if pro vide d, will b e use d a s a g uide to I CANN in re spo nding to inq uirie s o r spe a king o f the a pplic a tio n in pub lic pre se nta tio ns.

1.3.2 IDN Tables

An I DN ta b le pro vide s the list o f c ha ra c te rs e lig ib le fo r re g istra tio n in do ma in na me s a c c o rding to the re g istry’ s po lic y. I t ide ntifie s a ny multiple c ha ra c te rs tha t a re c o nside re d e q uiva le nt fo r do ma in na me re g istra tio n purpo se s (“va ria nt c ha ra c te rs”). Va ria nt c ha ra c te rs o c c ur whe re two o r mo re c ha ra c te rs c a n b e use d inte rc ha ng e a b ly. E xa mple s o f I DN ta b le s c a n b e fo und in the I ANA I DN Re po sito ry a t http:/ / www.ia na .o rg / pro c e dure s/ idn- re po sito ry.html. I n the c a se o f a n a pplic a tio n fo r a n I DN g T L D, I DN ta b le s must b e sub mitte d fo r the la ng ua g e o r sc ript fo r the a pplie d-fo r g T L D string (the “to p le ve l ta b le s”). I DN ta b le s must a lso b e sub mitte d fo r e a c h la ng ua g e o r sc ript in whic h the a pplic a nt inte nds to o ffe r I DN re g istra tio ns a t the se c o nd o r lo we r le ve ls. E a c h a pplic a nt is re spo nsib le fo r de ve lo ping its I DN T a b le s, inc luding spe c ific a tio n o f a ny va ria nt c ha ra c te rs. T a b le s must c o mply with I CANN’ s I DN Guide line s4 a nd a ny upda te s the re to , inc luding :

Co mplying with I

DN te c hnic a l sta nda rds.

mplo ying a n inc lusio n-b a se d a ppro a c h (i.e ., c o de po ints no t e xplic itly pe rmitte d b y the re g istry a re pro hib ite d).

De fining va ria nt c ha ra c te rs.
E

xc luding c o de po ints no t pe rmissib le unde r the g uide line s, e .g ., line -dra wing symb o ls, pic to g ra phic ding b a ts, struc tura l punc tua tio n ma rks.

De ve lo ping ta b le s a nd re g istra tio n po lic ie s in

c o lla b o ra tio n with re le va nt sta ke ho lde rs to a ddre ss c o mmo n issue s.

4 See http://www.icann.org/en/topics/idn/idn-guidelines-26apr07.pdf

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De po siting I

DN ta b le s with the I ANA Re po sito ry fo r I DN Pra c tic e s (o nc e the T L D is de le g a te d). An a pplic a nt’ s I DN ta b le s sho uld he lp g ua rd a g a inst use r c o nfusio n in the de plo yme nt o f I DN g T L

Ds. Applic a nts a re

stro ng ly urg e d to c o nside r spe c ific ling uistic a nd writing syste m issue s tha t ma y c a use pro b le ms whe n c ha ra c te rs a re use d in do ma in na me s, a s pa rt o f the ir wo rk o f de fining va ria nt c ha ra c te rs. T

a vo id use r c o nfusio n due to diffe ring pra c tic e s a c ro ss

T L D re g istrie s, it is re c o mme nde d tha t a pplic a nts c o o pe ra te with T L D o pe ra to rs tha t o ffe r do ma in na me re g istra tio n with the sa me o r visua lly simila r c ha ra c te rs. As a n e xa mple , la ng ua g e s o r sc ripts a re o fte n sha re d a c ro ss g e o g ra phic b o unda rie s. I n so me c a se s, this c a n c a use c o nfusio n a mo ng the use rs o f the c o rre spo nding la ng ua g e o r sc ript c o mmunitie s. Visua l c o nfusio n c a n a lso e xist in so me insta nc e s b e twe e n diffe re nt sc ripts (fo r e xa mple , Gre e k, Cyrillic a nd L a tin). Applic a nts will b e a ske d to de sc rib e the pro c e ss use d in de ve lo ping the I DN ta b le s sub mitte d. I CANN ma y c o mpa re a n a pplic a nt’ s I DN ta b le with I DN ta b le s fo r the sa me la ng ua g e s o r sc ripts tha t a lre a dy e xist in the I ANA re po sito ry o r ha ve b e e n o the rwise sub mitte d to I

CANN. I

f the re a re inc o nsiste nc ie s tha t ha ve no t b e e n e xpla ine d in the a pplic a tio n, I CANN ma y a sk the a pplic a nt to de ta il the ra tio na le fo r diffe re nc e s. F

r a pplic a nts tha t wish to

c o nduc t a nd re vie w suc h c o mpa riso ns prio r to sub mitting a ta b le to I CANN, a ta b le c o mpa riso n to o l will b e a va ila b le . I CANN will a c c e pt the a pplic a nt’ s I DN ta b le s b a se d o n the fa c to rs a b o ve . Onc e the a pplie d-fo r string ha s b e e n de le g a te d a s a T L D in the ro o t zo ne , the a pplic a nt is re q uire d to sub mit I DN ta b le s fo r lo dg ing in the I ANA Re po sito ry o f I DN Pra c tic e s. F

r a dditio na l info rma tio n, se e e xisting ta b le s a t

http:/ / ia na .o rg / do ma ins/ idn-ta b le s/ , a nd sub missio n g uide line s a t http:/ / ia na .o rg / pro c e dure s/ idn- re po sito ry.html.

1.3.3 IDN Variant TLDs

A va ria nt T L D string re sults fro m the sub stitutio n o f o ne o r mo re c ha ra c te rs in the a pplie d-fo r g T L D string with va ria nt c ha ra c te rs b a se d o n the a pplic a nt’ s I DN ta b le . E a c h a pplic a tio n c o nta ins o ne a pplie d-fo r g T L D string . T he a pplic a nt ma y a lso de c la re a ny va ria nt string s fo r the T L D

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in its a pplic a tio n. Ho we ve r, no va ria nt g T L D string s will b e de le g a te d thro ug h the Ne w g T L D Pro g ra m until va ria nt ma na g e me nt so lutio ns a re de ve lo pe d a nd imple me nte d.5 Whe n a va ria nt de le g a tio n pro c e ss is e sta b lishe d, a pplic a nts ma y b e re q uire d to sub mit a dditio na l info rma tio n suc h a s imple me nta tio n de ta ils fo r the va ria nt T L D ma na g e me nt me c ha nism, a nd ma y ne e d to pa rtic ipa te in a sub se q ue nt e va lua tio n pro c e ss, whic h c o uld c o nta in a dditio na l fe e s a nd re vie w ste ps. T he fo llo wing sc e na rio s a re po ssib le during the e va lua tio n pro c e ss: a . Applic a nt de c la re s va ria nt string s to the a pplie d-fo r g T L D string in its a pplic a tio n. I f the a pplic a tio n is suc c e ssful, the a pplie d-fo r g T L D string will b e de le g a te d to the a pplic a nt. T he de c la re d va ria nt string s a re no te d fo r future re fe re nc e . T he se de c la re d va ria nt string s will no t b e de le g a te d to the a pplic a nt a lo ng with the a pplie d-fo r g T L D string , no r will the a pplic a nt ha ve a ny rig ht o r c la im to the de c la re d va ria nt string s. Va ria nt string s liste d in suc c e ssful g T L D a pplic a tio ns will b e ta g g e d to the spe c ific a pplic a tio n a nd a dde d to a “De c la re d Va ria nts L ist” tha t will b e a va ila b le o n I CANN’ s we b site . A list o f pe nding (i.e ., de c la re d) va ria nt string s fro m the I DN c c T L D F a st T ra c k is a va ila b le a t http:/ / ic a nn.o rg / e n/ to pic s/ idn/ fa st-tra c k/ string - e va lua tio n-c o mple tio n-e n.htm. I CANN ma y inde pe nde ntly de te rmine whic h string s a re va ria nts o f o ne a no the r, a nd will no t ne c e ssa rily tre a t the a pplic a nt's list o f purpo rte d va ria nts a s dispo sitive in the pro c e ss. b . Multiple a pplic a nts a pply fo r string s tha t a re ide ntifie d b y I CANN a s va ria nts o f o ne a no the r. T he se a pplic a tio ns will b e pla c e d in a c o nte ntio n se t a nd will fo llo w the c o nte ntio n re so lutio n pro c e dure s in Mo dule 4. c . Applic a nt sub mits a n a pplic a tio n fo r a g T L D string a nd do e s no t indic a te va ria nts to the a pplie d-fo r

5 The ICANN Board directed that work be pursued on variant management in its resolution on 25 Sep 2010,

http://www.icann.org/en/minutes/resolutions-25sep10-en.htm#2.5.

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g T L D string . I CANN will no t ide ntify va ria nt string s unle ss sc e na rio (b ) a b o ve o c c urs. E a c h va ria nt string liste d must a lso c o nfo rm to the string re q uire me nts in se c tio n 2.2.1.3.2. Va ria nt string s liste d in the a pplic a tio n will b e re vie we d fo r c o nsiste nc y with the I DN ta b le s sub mitte d in the a pplic a tio n. Sho uld a ny de c la re d va ria nt string s no t b e b a se d o n use o f va ria nt c ha ra c te rs a c c o rding to the sub mitte d to p-le ve l ta b le s, the a pplic a nt will b e no tifie d a nd the de c la re d string will no lo ng e r b e c o nside re d pa rt

f the a pplic a tio n.

De c la ra tio n o f va ria nt string s in a n a pplic a tio n do e s no t pro vide the a pplic a nt a ny rig ht o r re se rva tio n to a pa rtic ula r string . Va ria nt string s o n the De c la re d Va ria nts L ist ma y b e sub je c t to sub se q ue nt a dditio na l re vie w pe r a pro c e ss a nd c rite ria to b e de fine d. I t sho uld b e no te d tha t while va ria nts fo r se c o nd a nd lo we r-le ve l re g istra tio ns a re de fine d fre e ly b y the lo c a l c o mmunitie s witho ut a ny I CANN va lida tio n, the re ma y b e spe c ific rule s a nd va lida tio n c rite ria spe c ifie d fo r va ria nt string s to b e a llo we d a t the to p le ve l. I t is e xpe c te d tha t the va ria nt info rma tio n pro vide d b y a pplic a nts in the first a pplic a tio n ro und will c o ntrib ute to a b e tte r unde rsta nding

f the issue s a nd a ssist in de te rmining a ppro pria te re vie w

ste ps a nd fe e le ve ls g o ing fo rwa rd.

1.4 Submitting an Application

Applic a nts ma y c o mple te the a pplic a tio n fo rm a nd sub mit suppo rting do c ume nts using I CANN’ s T L D Applic a tio n Syste m (T AS). T

a c c e ss the to o l, a pplic a ntssyste m, e a c h

a pplic a nt must first re g iste r a s a T AS use r, whic h invo lve s pa ying a use r re g istra tio n fe e o f USD100. As T AS use rs, a pplic a nts will b e a b le to pro vide re spo nse s in

pe n te xt b o xe s a nd sub mit re q uire d suppo rting

do c ume nts a s a tta c hme nts. Re stric tio ns o n the size o f a tta c hme nts a s we ll a s the file fo rma ts a re inc lude d in the instruc tio ns o n the T AS site . I CANN will no t a c c e pt a pplic a tio n fo rms o r suppo rting ma te ria ls sub mitte d thro ug h o the r me a ns tha n T AS (tha t is, ha rd c o py, fa x, e ma il), unle ss suc h sub missio n is in a c c o rda nc e with spe c ific instruc tio ns fro m I CANN to a pplic a nts.

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1.4.1 Accessing the TLD Application System

T he T AS site is lo c a te d a t [URL to b e inse rte d in fina l ve rsio n

f RF

P]. T AS fe a ture s inc lude :

1.4.1.1 Sub-user Management

T his fe a ture a llo ws a pplic a nts to c re a te sub -use rs with va rying pe rmissio n le ve ls to a ssist in c o mple ting the a pplic a tio n. F

r e xa mple , if a n a pplic a nt wishe s to

de sig na te a use r to c o mple te the te c hnic a l se c tio n o f the a pplic a tio n, the a pplic a nt c a n c re a te a sub -use r a c c o unt with a c c e ss o nly to tha t se c tio n.

1.4.1.2 Workflow Management

T his fe a ture a llo ws a pplic a nts to c he c k the sta tus o f the ir a pplic a tio ns thro ug h T AS.

1.4.1.3 Security

I CANN use s a ll re a so na b le e ffo rts to pro te c t a pplic a nt info rma tio n sub mitte d thro ug h T

AS. T

AS use s a dva nc e d I nte rne t se c urity te c hno lo g y to pro te c t a pplic a nt info rma tio n a g a inst una utho rize d a c c e ss. T his te c hno lo g y inc lude s:

Se c ur e Soc ke t L aye r

(SSL

) – T

e nsure tha t c o nfide ntia l

info rma tio n re ma ins c o nfide ntia l, it is se nt to T AS in a se c ure se ssio n using SSL te c hno lo g y. SSL te c hno lo g y sc ra mb le s o r e nc rypts info rma tio n a s it mo ve s b e twe e n the use r’ s b ro wse r a nd T AS.

L imite d T AS Author ize d Use r s and Pe r mission L e ve ls – T

AS is a hie ra rc hic a l syste m with de fine d use r ro le s a nd pe rmissio ns. I CANN-a utho rize d pe rso nne l ha ve a c c e ss o nly to the po rtio ns o f the syste m the y ne e d. F

r e xa mple , a n

a c c o unting use r ma y o nly ne e d a c c e ss to pe rfo rm upda te s to the po rtio n o f a re c o rd indic a ting whe the r a n a pplic a nt’ s e va lua tio n fe e ha s b e e n re c e ive d. Altho ug h I CANN inte nds to fo llo w the se c urity pre c a utio ns

utline d he re , it o ffe rs no a ssura nc e s tha t the se pro c e dure s

will ke e p a n a pplic a nt’ s da ta c o nfide ntia l a nd se c ure fro m a c c e ss b y una utho rize d third pa rtie s.

1.4.2 Technical Support

T AS use rs c a n re fe r to the F AQ/ kno wle dg e b a se o r c o nta c t [e ma il a ddre ss to b e inse rte d in fina l ve rsio n o f RF P] fo r he lp using the syste m. Use rs c a n e xpe c t to re c e ive a tra c king tic ke t numb e r a nd a re spo nse within 24 to 48 ho urs thro ug h

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the T AS sub missio n to o l.T he T AS site will b e a c c e ssib le fro m the Ne w g T L D we b pa g e (http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld-pro g ra m.htm), a nd will b e hig hlig hte d in c o mmunic a tio ns re g a rding the

pe ning o f the a pplic a tio n sub missio n pe rio d. Use rs o f T

AS will b e e xpe c te d to a g re e to a sta nda rd se t o f te rms o f use inc luding use r rig hts, o b lig a tio ns, a nd re stric tio ns in re la tio n to use o f the syste m.

1.4.1.1 User Registration

T AS use r re g istra tio n re q uire s sub missio n o f pre limina ry info rma tio n, whic h will b e use d to va lida te the ide ntity o f the pa rtie s invo lve d in the a pplic a tio n. An o ve rvie w o f the info rma tio n c o lle c te d in the use r re g istra tio n pro c e ss is b e lo w:

No. Questions 1 Full legal name of Applicant 2 Principal business address 3 Phone number of Applicant 4 Fax number of Applicant 5 Website or URL, if applicable 6 Primary Contact: Name, Title, Address, Phone, Fax, Email 7 Secondary Contact: Name, Title, Address, Phone, Fax, Email 8 Proof of legal establishment 9 Trading, subsidiary, or joint venture information 10 Business ID, Tax ID, VAT registration number, or equivalent of Applicant 11 Applicant background: previous convictions, cybersquatting activities 12(a) Deposit payment confirmation

A sub se t o f ide ntifying info rma tio n will b e c o lle c te d fro m the e ntity pe rfo rming the use r re g istra tio n, in a dditio n to the a pplic a nt info rma tio n liste d a b o ve . T he re g iste re d use r c o uld b e , fo r e xa mple , a n a g e nt, re pre se nta tive , o r

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e mplo ye e who wo uld b e c o mple ting the a pplic a tio n o n b e ha lf o f the a pplic a nt. T he re g istra tio n pro c e ss will re q uire the use r to re q ue st the de sire d numb e r o f a pplic a tio n slo ts. F

r e xa mple , a use r

inte nding to sub mit five g T L D a pplic a tio ns wo uld re q ue st five a pplic a tio n slo ts, a nd the syste m wo uld a ssig n the use r a uniq ue I D numb e r fo r e a c h o f the five a pplic a tio ns. Use rs will a lso b e re q uire d to sub mit a de po sit o f USD 5,000 pe r a pplic a tio n slo t. T his de po sit a mo unt will b e c re dite d a g a inst the e va lua tio n fe e fo r e a c h a pplic a tio n. T he de po sit re q uire me nt is in pla c e to he lp re duc e the risk o f frivo lo us a c c e ss to the a pplic a tio n syste m. Afte r c o mple ting the re g istra tio n, T AS use rs will re c e ive a c c e ss e na b ling the m to e nte r the re st o f the a pplic a tio n info rma tio n into the syste m. Applic a tio n slo ts will b e po pula te d with the re g istra tio n info rma tio n pro vide d b y the a pplic a nt, whic h ma y no t o rdina rily b e c ha ng e d o nc e slo ts ha ve b e e n a ssig ne d. No ne w use r re g istra tio ns will b e a c c e pte d a fte r [da te to b e inse rte d in fina l ve rsio n o f Applic a nt Guide b o o k]. I CANN will ta ke c o mme rc ia lly re a so na b le ste ps to pro te c t a ll a pplic a nt da ta sub mitte d fro m una utho rize d a c c e ss, b ut c a nno t wa rra nt a g a inst the ma lic io us a c ts o f third pa rtie s who ma y, thro ug h syste m c o rruptio n o r o the r me a ns, g a in una utho rize d a c c e ss to suc h da ta .

1.4.1.2 Application Form

Ha ving o b ta ine d the re q ue ste d a pplic a tio n slo ts, the a pplic a nt will c o mple te the re ma ining a pplic a tio n q ue stio ns. An o ve rvie w o f the a re a s a nd q ue stio ns c o nta ine d in the fo rm is sho wn he re :

No. Application and String Information 12(b) Payment confirmation for remaining evaluation fee amount 13 Applied-for gTLD string 14 IDN string information, if applicable 15 IDN tables, if applicable 16 Mitigation of IDN operational or rendering problems, if applicable

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17 Representation of string in International Phonetic Alphabet (Optional) 18 Mission/purpose of the TLD 19 Is the application for a community-based TLD? 20 If community based, describe elements of community and proposed policies 21 Is the application for a geographical name? If geographical, documents of support required 22 Measures for protection of geographical names at second level 23 Registry Services: name and full description of all registry services to be provided No. Technical and Operational Questions (External) 24 Shared registration system (SRS) performance 25 EPP 26 Whois 27 Registration life cycle 28 Abuse prevention & mitigation 29 Rights protection mechanisms Technical and Operational Questions (Internal) 30 Technical overview of proposed registry 31 Architecture 32 Database capabilities 33 Geographic diversity 34 DNS service compliance 35 Security 36 IPv6 reachability 37 Data backup policies and procedures

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38 Escrow 39 Registry continuity 40 Registry transition 41 Failover testing 42 Monitoring and fault escalation processes 43 DNSSEC 44 IDNs (Optional) No. Financial Questions 45 Financial statements 46 Projections template: costs and funding 47 Costs: setup and operating 48 Funding and revenue 49 Contingency planning: barriers, funds, volumes 50 Continuity: financial instrument

1.4.2 Customer Support during the Application Process

T AS will a lso pro vide a pplic a nts with a c c e ss to suppo rt me c ha nisms during the a pplic a tio n pro c e ss. A suppo rt link will b e a va ila b le in T AS whe re use rs c a n re fe r to re fe re nc e do c ume nta tio n (suc h a s F AQs o r use r g uide s), o r c o nta c t c usto me r suppo rt. Whe n c o nta c ting c usto me r suppo rt, use rs c a n e xpe c t to re c e ive a tra c king tic ke t numb e r fo r a suppo rt re q ue st, a nd a re spo nse within 48 ho urs. Suppo rt re q ue sts will b e ro ute d to the a ppro pria te pe rso n, de pe nding upo n the na ture o f the re q ue st. F

r e xa mple , a te c hnic a l suppo rt

re q ue st wo uld b e dire c te d to the pe rso nne l c ha rg e d with re so lving T AS te c hnic a l issue s, while a q ue stio n c o nc e rning the na ture o f the re q uire d info rma tio n o r do c ume nta tio n wo uld b e dire c te d to a n a ppro pria te c o nta c t. T he

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re spo nse will b e a dde d to the re fe re nc e do c ume nta tio n a va ila b le fo r a ll a pplic a nts.

1.4.3 Backup Application Process

I f the o nline a pplic a tio n syste m is no t a va ila b le , I CANN will pro vide a lte rna tive instruc tio ns fo r sub mitting a pplic a tio ns.

1.5 Fees and Payments

T his se c tio n de sc rib e s the fe e s to b e pa id b y the a pplic a nt. Pa yme nt instruc tio ns a re a lso inc lude d he re .

1.5.1 Breakdown of Fees and AmountsgTLD Evaluation Fee

T he fo llo wing fe e s a re g T L D e va lua tio n fe e is re q uire d fro m a ll a pplic a nts:

AS Use r Re gistr ation F e e – USD 100. T

his fe e e na b le s a use r to e nte r the o nline a pplic a tio n syste m. T

his fe e is no nre funda b le .

g T L D E va lua tio n F e e – in the a mo unt o f USD 185,000. T he e va lua tio n fe e is pa ya b le in the fo rm o f a 5,000 de po sit sub mitte d a t the time the use r re q ue sts a pplic a tio n slo ts within T AS, a nd a pa yme nt o f the re ma ining 180,000 sub mitte d with the full a pplic a tio n. I CANN will no t b e g in its e va lua tio n o f a n a pplic a tio n unle ss it ha s re c e ive d the full g T L D e va lua tio n fe e b y the due [time ] UT C [da te . Re fe r to sub se c tio n 1.5.4. ].

he g T L D e va lua tio n fe e is se t to re c o ve r c o sts a sso c ia te d with the ne w g T L D pro g ra m. T he fe e is se t to e nsure tha t the pro g ra m is fully funde d, a nd do e sn’ t ta ke re so urc e s re ve nue ne utra l a nd is no t sub sidize d b y e xisting c o ntrib utio ns fro m o the r I CANN funding so urc e s, inc luding g e ne ric T L D re g istrie s a nd re g istra rs, c c T L Dc c T L D c o ntrib utio ns a nd RI R c o ntrib utio ns. T he g T L D e va lua tio n fe e c o ve rs a ll re q uire d re vie ws in I nitia l E va lua tio n a nd, in mo st c a se s, a ny re q uire d re vie ws in E xte nde d E va lua tio n. I f a n e xte nde d Re g istry Se rvic e s re vie w ta ke s pla c e , a n a dditio na l fe e will b e inc urre d fo r this re vie w (se e se c tio n 1.5.2). T he re is no a dditio na l fe e to the a pplic a nt fo r E xte nde d E va lua tio n fo r g e o g ra phic a l na me s, te c hnic a l a nd o pe ra tio na l, o r fina nc ia l re vie ws. T he e va lua tio n fe e a lso c o ve rs c o mmunity prio rity e va lua tio n fe e s in c a se s whe re the a pplic a nt a c hie ve s a pa ssing sc o re .

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Re funds -- I

n c e rta in c a se s, re funds o f a po rtio n o f thisthe e va lua tio n fe e ma y b e a va ila b le fo r a pplic a tio ns tha t a re withdra wn b e fo re the e va lua tio n pro c e ss is c o mple te . An a pplic a nt ma y re q ue st a re fund a t a ny time until it ha s e xe c ute d a re g istry a g re e me nt with I

CANN. T

he a mo unt o f the re fund will de pe nd o n the po int in the pro c e ss a t whic h the withdra wa l is ma de (Re fe r to sub se c tio n 1.5.5.). De ta ils will b e ma de a va ila b le whe n the , a s fo llo ws:

Refund Available to Applicant Percentage of Evaluation Fee Amount of Refund Afte r po sting o f a pplic a tio ns until po sting o f I nitia l E va lua tio n re sults 70% USD 130,000 Afte r po sting I nitia l E va lua tio n re sults 35% USD 65,000 Afte r the a pplic a nt ha s c o mple te d Dispute Re so lutio n, E xte nde d E va lua tio n, o r String Co nte ntio n Re so lutio n(s) 20% USD 37,000 Afte r the a pplic a nt ha s e nte re d into a re g istry a g re e me nt with I CANN No ne

T hus, a ny a pplic a nt tha t ha s no t b e e n suc c e ssful is e lig ib le fo r a t le a st a 20% re fund o f the e va lua tio n fe e if it withdra ws its a pplic a tio n. An a pplic a nt tha t wishe s to withdra w a n a pplic a tio n must initia te the pro c e ss thro ug h T AS a nd sub mit the re q uire d fo rm to re q ue st a re fund, inc luding a g re e me nt to the te rms a nd c o nditio ns fo r withdra wa l. Re funds will o nly b e issue d to the o rg a niza tio n tha t sub mitte d the o rig ina l pa yme nt. All re funds a re pa id b y wire tra nsfe r. Any b a nk tra nsfe r o r tra nsa c tio n fe e s inc urre d b y I CANN will b e de duc te d fro m the a mo unt pa id.is la unc he d.

Note on 2000 pr

of-of-c onc e pt r
und applic ants --

Pa rtic ipa nts in I CANN’ s pro o f-o f-c o nc e pt a pplic a tio n pro c e ss in 2000 ma y b e e lig ib le fo r a c re dit to wa rd the e va lua tio n fe e . T he c re dit is in the a mo unt o f USD 86,000 a nd is sub je c t to :

sub missio n o f do c ume nta ry pro o f b y the

a pplic a nt tha t it is the sa me e ntity, a suc c e sso r in inte re st to the sa me e ntity, o r

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a n a ffilia te o f the sa me e ntity tha t a pplie d pre vio usly;

a c o nfirma tio n tha t the a pplic a nt wa s no t

a wa rde d a ny T L D string pursua nt to the 2000 pro o f o f c o nc e pt a pplic a tio n ro und a nd tha t the a pplic a nt ha s no le g a l c la ims a rising fro m the 2000 pro o f-o f-c o nc e pt pro c e ss; a nd

sub missio n o f a n a pplic a tio n, whic h ma y b e

mo difie d fro m the a pplic a tio n o rig ina lly sub mitte d in 2000, fo r the sa me T L D string tha t suc h e ntity a pplie d fo r in the 2000 pro o f-o f-c o nc e pt a pplic a tio n ro und. E a c h pa rtic ipa nt in the 2000 pro o f-o f-c o nc e pt a pplic a tio n pro c e ss is e lig ib le fo r a t mo st o ne c re dit. A ma ximum o f

ne c re dit ma y b e c la ime d fo r a ny ne w g T

L D a pplic a tio n sub mitte d a c c o rding to the pro c e ss in this g uide b o o k. E lig ib ility fo r this c re dit is de te rmine d b y I CANN.

1.5.2 Fees Required in Some Cases

Applic a nts ma y b e re q uire d to pa y a dditio na l fe e s in c e rta in c a se s whe re spe c ia lize d pro c e ss ste ps a re a pplic a b le . T ho se po ssib le a dditio na l fe e s inc lude :

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Re gistr

y Se r vic e s Re vie w F e e – I

f a pplic a b le , this fe e is pa ya b le fo r a dditio na l c o sts inc urre d in re fe rring a n a pplic a tio n to the Re g istry Se rvic e s T e c hnic a l E va lua tio n Pa ne l (RST E P) fo r a n e xte nde d re vie w. Applic a nts will b e no tifie d if suc h a fe e is due . T he fe e fo r a thre e -me mb e r RST E P re vie w te a m is a ntic ipa te d to b e USD 50,000. I n so me c a se s, five - me mb e r pa ne ls mig ht b e re q uire d, o r the re mig ht b e inc re a se d sc rutiny a t a g re a te r c o st. I n e ve ry c a se , the a pplic a nt will b e a dvise d o f the re vie w c o st b e fo re its initia tio n. o f the re vie w. Re fe r to Se c tio nsub se c tio n 2.12.3 o f Mo dule 2 o n Re g istry Se rvic e s re vie w.

Dispute Re solution F

iling F e e – T

his a mo unt must a c c o mpa ny a ny filing o f a fo rma l o b je c tio n a nd a ny re spo nse tha t a n a pplic a nt file s to a n

b je c tio n. T

his fe e is pa ya b le dire c tly to the a pplic a b le dispute re so lutio n se rvic e pro vide r in a c c o rda nc e with the pro vide r’ s pa yme nt instruc tio ns. I CANN e stima te s tha t no n-re funda b le filing fe e s c o uld ra ng e fro m a ppro xima te ly USD 1,000 to USD 5,000 (o r mo re ) pe r pa rty pe r pro c e e ding . Re fe r to the a ppro pria te pro vide r fo r the re le va nt a mo unt. Re fe r to Mo dule 3 fo r dispute re so lutio n pro c e dure s.

Dispute Re solution Adjudic ation F

e e – T

his fe e is pa ya b le Advanc e Payme nt of Costs – I n the e ve nt

f a fo rma l o b je c tio n, this a mo unt is pa ya b le

dire c tly to the a pplic a b le dispute re so lutio n se rvic e pro vide r in a c c o rda nc e with tha t pro vide r’ s pro c e dure s a nd sc he dule o f c o sts. Bo th Ordina rily, b o th pa rtie s in the dispute re so lutio n pro c e e ding will b e re q uire d to sub mit a n a dva nc e pa yme nt o f c o sts in a n e stima te d a mo unt to c o ve r the e ntire c o st o f the pro c e e ding . T his ma y b e e ithe r a n ho urly fe e b a se d o n the e stima te d numb e r o f ho urs the pa ne lists will spe nd o n the c a se (inc luding re vie w o f sub missio ns, fa c ilita tio n o f a he a ring , if a llo we d, a nd pre pa ra tio n o f a de c isio n), o r a fixe d a mo unt. I n c a se s whe re dispute s a re c o nso lida te d a nd the re a re mo re tha n two pa rtie s invo lve d, the a dva nc e pa yme nt will o c c ur a c c o rding to the dispute re so lutio n se rvic e pro vide r’ s rule s.

he pre va iling pa rty in a dispute re so lutio n pro c e e ding will ha ve its a dva nc e pa yme nt re funde d, while the no n-pre va iling pa rty will no t re c e ive a re fund a nd thus will b e a r the c o st o f the

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pro c e e ding . I n c a se s whe re dispute s a re c o nso lida te d a nd the re a re mo re tha n two pa rtie s invo lve d, the re fund o f fe e s will o c c ur a c c o rding to the dispute re so lutio n se rvic e pro vide r’ s rule s. I CANN e stima te s tha t a djudic a tio n fe e s fo r a pro c e e ding invo lving a fixe d a mo unt c o uld ra ng e fro m USD 2,000 to USD 8,000 (o r mo re ) pe r pro c e e ding . I CANN furthe r e stima te s tha t a n ho urly ra te b a se d pro c e e ding with a o ne -me mb e r pa ne l c o uld ra ng e fro m USD 32,000 to USD 56,000 (o r mo re ) a nd with a thre e -me mb e r pa ne l it c o uld ra ng e fro m USD 70,000 to USD 122,000 (o r mo re ). T he se e stima te s ma y b e lo we r if the pa ne l do e s no t c a ll fo r writte n sub missio ns b e yo nd the o b je c tio n a nd re spo nse , a nd do e s no t a llo w a he a ring . Ple a se re fe r to the a ppro pria te pro vide r fo r the re le va nt a mo unts o r fe e struc ture s. Re fe r a lso to Se c tio n 3.2 o f Mo dule 3 fo r furthe r de ta ils.

Compar

ative Community Pr ior ity E valuation F e e –

T his I n the e ve nt tha t the a pplic a nt pa rtic ipa te s in a c o mmunity prio rity e va lua tio n, this fe e is pa ya b le a s a de po sit in a n a mo unt to c o ve r the c o st o f the pa ne l’ s re vie w o f tha t a pplic a tio n (c urre ntly e stima te d a t USD 10,000). T he de po sit is pa ya b le to the pro vide r a ppo inte d to ha ndle c o mpa ra tive c o mmunity prio rity e va lua tio ns, in the e ve nt tha t the a pplic a nt pa rtic ipa te s in a c o mpa ra tive e va lua tio n. Applic a nts will b e no tifie d if suc h a fe e is due . Re fe r to Se c tio n 4.2 o f Mo dule

4. fo r c irc umsta nc e s in whic h a c o mmunity prio rity

e va lua tio n ma y ta ke pla c e . An a pplic a nt who sc o re s a t o r a b o ve the thre sho ld fo r the c o mmunity prio rity e va lua tio n will ha ve its de po sit re funde d. T his I CANN will no tify the a pplic a nts o f due da te s fo r pa yme nt in re spe c t o f a dditio na l fe e s (if a pplic a b le ). T his list do e s no t inc lude fe e s (tha t is,a nnua l re g istry fe e s) tha t will b e pa ya b le to I CANN fo llo wing e xe c utio n o f a re g istry a g re e me nt. Se e http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w- g tld-dra ft-a g re e me nt-24o c t08-e n.pdf.

1.5.23 Payment Methods

Pa yme nts to I CANN ma ysho uld b e sub mitte d b y wire transfer, ACH, mo ne y o rde r, o r c he c k.

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1.5.2.1 Wire Transfer Payment

. I nstruc tio ns fo r ma king a pa yme nt b y wire tra nsfe r will b e a va ila b le in T AS.6

1.5.2.2 ACH Payment

I nstruc tio ns fo r ma king ACH payments will b e a va ila b le in T AS.

1.5.2.3 Credit Card Payment

ma ke a credit card payment, no te :

I CANN a c c e pts Visa , Ma ste rCa rd/ Ma e stro , Ame ric a n E xpre ss a nd Disc o ve r c re dit c a rds a s fo rms o f pa yme nt. T he ma ximum a mo unt a c c e pte d is USD 20,000 pe r invo ic e .

ill o ut a nd sig n the Cre dit Ca rd Pa yme nt F

rm a t

http:/ / www.ic a nn.o rg / e n/ fina nc ia ls/ c re dit.pdf.

Se nd the c o mple te d fo rm to I

CANN a t fa x: +1.310.823.8649 Or ma il the fo rm to : I nte rne t Co rpo ra tio n fo r Assig ne d Na me s a nd Numb e rs (I CANN) Atte ntio n: F ina nc e De pa rtme nt 4676 Admira lty Wa y, Suite 330 Ma rina de l Re y, CA 90292-6601 USA 1.5.2.Pa yme nts to Dispute Re so lutio n Se rvic e Pro vide rs sho uld b e sub mitte d in a c c o rda nc e with the pro vide r’ s instruc tio ns.

1.5.4 Check or Money Order Payment

ma ke a payment by check or money order (USD o nly),

ma il o r de live r b y priva te c a rrie r to : I nte rne t Co rpo ra tio n fo r Assig ne d Na me s a nd Numb e rs (I CANN) Atte ntio n: F ina nc e De pa rtme nt 4676 Admira lty Wa y, Suite 330 Ma rina de l Re y, CA 90292-6601 USA

1.5.3 Requesting an Invoicea Remittance Form

T he T AS inte rfa c e a llo ws a pplic a nts to re q ue st issua nc e o f a n invo ic e a re mitta nc e fo rm fo r a ny o f the fe e s pa ya b le

6 Wire transfer is the preferred method of payment as it offers a globally accessible and dependable means for international transfer

f funds. This enables ICANN to receive the fee and begin processing applications as quickly as possible.

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to I

CANN. T

his se rvic e is fo r the c o nve nie nc e o f a pplic a nts tha t re q uire a n invo ic e to pro c e ss pa yme nts.

1.5.4 Deadlines for Payments

T he E va lua tio n F e e must b e re c e ive d b y [time ] UT C [da te ]. I CANN o r its pro vide rs will no tify the a pplic a nts o f due da te s fo r pa yme nt in re spe c t o f a dditio na l fe e s (if a pplic a b le ).

1.5.5 Withdrawals and Refunds

Re funds ma y b e a va ila b le to a pplic a nts who c ho o se to withdra w a t c e rta in sta g e s o f the pro c e ss. An a pplic a nt tha t wishe s to withdra w a n a pplic a tio n must use the T AS inte rfa c e to re q ue st a re fund. I CANN will no t c o nside r a ny o the r fo rm o f re q ue st fo r re funds. Re funds will

nly b e issue d to the o rg a niza tio n tha t sub mitte d the
rig ina l pa yme nt. All re funds a re pa id b y wire tra nsfe r. Any

b a nk tra nsfe r o r tra nsa c tio n fe e s inc urre d b y I CANN will b e de duc te d fro m the a mo unt pa id. F urthe r de ta ils o n re fund a mo unts will b e a va ila b le in the fina l ve rsio n o f the RF P.

1.6 Questions about this RFPApplicant Guidebook

Applic a nts ma y sub mit F

r a ssista nc e a nd q ue stio ns a b o ut

a n a pplic a nt ma y ha ve in the pro c e ss o f c o mple ting the a pplic a tio n fo rm to [e ma il a ddre ss to b e inse rte d in fina l ve rsio n o f RF P]., a pplic a nts sho uld use the c usto me r suppo rt re so urc e s a va ila b le thro ug h T

AS. Applic a nts who

a re unsure o f the info rma tio n b e ing so ug ht in a q ue stio n o r the pa ra me te rs fo r a c c e pta b le do c ume nta tio n a re e nc o ura g e d to c o mmunic a te the se q ue stio ns thro ug h the a ppro pria te suppo rt c ha nne ls b e fo re the a pplic a tio n is sub mitte d. T his he lps a vo id the ne e d fo r e xc ha ng e s with e va lua to rs to c la rify info rma tio n, whic h e xte nds the time fra me a sso c ia te d with the a pplic a tio n. Que stio ns ma y b e sub mitte d via the T AS suppo rt link. T

pro vide a ll a pplic a nts e q uita b le a c c e ss to info rma tio n,

I CANN will po stma ke a ll q ue stio ns a nd a nswe rs in a c e ntra lize d lo c a tio n o n its we b site pub lic ly a va ila b le . All re q ue sts to I CANN fo r info rma tio n a b o ut the pro c e ss o r issue s surro unding pre pa ra tio n o f a n a pplic a tio n must b e sub mitte d in writing to via the de sig na te d e ma il

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a ddre sssuppo rt c ha nne ls. I CANN will no t g ra nt re q ue sts fro m a pplic a nts fo r pe rso na l o r te le pho ne c o nsulta tio ns re g a rding the pre pa ra tio n o f a n a pplic a tio n. Applic a nts tha t c o nta c t I CANN fo r c la rific a tio n a b o ut a spe c ts o f the a pplic a tio n will b e re fe rre d to the de dic a te d o nline q ue stio n a nd a nswe r a re a . Answe rs to inq uirie s will o nly pro vide c la rific a tio n a b o ut the a pplic a tio n fo rms a nd pro c e dure s. I CANN will no t pro vide c o nsulting , fina nc ia l, o r le g a l a dvic e .

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Module 2

Evaluation Procedures

T his mo dule de sc rib e s the e va lua tio n pro c e dure s a nd c rite ria use d to de te rmine whe the r a pplic a tio nsa pplie d-fo r g T L Ds a re a ppro ve d fo r de le g a tio n a s a g T L

D. All

a pplic a nts will unde rg o a n I nitia l E va lua tio n a nd tho se tha t do no t pa ss a ll pha se se le me nts ma y e nte r into a nre q ue st E xte nde d E va lua tio n. T he first, re q uire d e va lua tio n is the Initial E

valuation, during

whic h I CANN first a sse sse s a n a pplie d-fo r g T L D string , a n a pplic a nt’ s q ua lific a tio ns, a nd its pro po se d re g istry se rvic e s. T he fo llo wing e le me nts ma ke upa sse ssme nts a re pe rfo rme d in the Initial E

valuation:

String Re vie ws
String c o nfusio nsimila rity
Re se rve d Na me sna me s
DNS sta b ility
Ge o g ra phic a lGe o g ra phic na me s
Applic a nt Re vie ws
De mo nstra tio n o f te c hnic a l a nd o pe ra tio na l

c a pa b ility

De mo nstra tio n o f fina nc ia l c a pa b ility
Re g istry se rvic e s re vie ws fo r DNS sta b ility issue s

T he se e le me nts, whic h a re de sc rib e d in g re a te r de ta il la te r in this mo dule , a re inte nde d to e nsure a pplie d-fo r g T L D string s do no t ne g a tive ly impa c t DNS se c urity o r sta b ility, a nd to e nsure tha t a pplic a nts a re c a pa b le o f o pe ra ting the g T L D in a sta b le a nd se c ure ma nne r, a nd tha t ne w se rvic e s c a n b e intro duc e d witho ut a dve rse e ffe c t o n the se c urity o r sta b ility o f the DNS. An a pplic a nta pplic a tio n must pa ss a ll the se re vie ws to pa ss the I nitia l E va lua tio n. F a ilure to pa ss a ny o ne o f the se re vie ws will re sult in a fa ilure to pa ss the I nitia l E va lua tio n.

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2-2

E xte nde d E valuation ma y b e a pplic a b le in c a se s in whic h

a n a pplic a nt do e s no t pa ss the I nitia l E va lua tio n o r a dditio na l inq uiry is re q uire d.. Se e Se c tio n 2.3 b e lo w.

2.1 Background Screening

Ba c kg ro und sc re e ning will b e c o nduc te d in two a re a s: (a ) Ge ne ra l b usine ss dilig e nc e a nd c rimina l histo ry; a nd (b ) Histo ry o f c yb e rsq ua tting b e ha vio r. T he a pplic a tio n must pa ss b o th b a c kg ro und sc re e ning a re a s to b e e lig ib le to pro c e e d. Ba c kg ro und sc re e ning re sults a re e va lua te d a c c o rding to the c rite ria de sc rib e d in se c tio n 1.2.1. T he fo llo wing se c tio ns de sc rib e the pro c e ss I CANN will use to pe rfo rm b a c kg ro und sc re e ning .

2.1.1 General business diligence and criminal history

Applying e ntitie s tha t a re pub lic ly tra de d c o rpo ra tio ns liste d a nd in g o o d sta nding o n a ny o f the wo rld’ s la rg e st 25 sto c k e xc ha ng e s (a s liste d b y the Wo rld F e de ra tio n o f E xc ha ng e s) will b e de e me d to ha ve pa sse d the g e ne ra l b usine ss dilig e nc e a nd c rimina l histo ry sc re e ning . T he la rg e st 25 will b e b a se d o n the do me stic ma rke t c a pita liza tio n re po rte d a t the e nd o f the mo st re c e nt c a le nda r ye a r prio r to la unc hing e a c h ro und.1 Be fo re a n e ntity is liste d o n a n e xc ha ng e , it must unde rg o sig nific a nt due dilig e nc e inc luding a n inve stig a tio n b y the e xc ha ng e , re g ula to rs, a nd inve stme nt b a nks. As a pub lic ly liste d c o rpo ra tio n, a n e ntity is sub je c t to o ng o ing sc rutiny fro m sha re ho lde rs, a na lysts, re g ula to rs, a nd e xc ha ng e s. All e xc ha ng e s re q uire mo nito ring a nd disc lo sure o f ma te ria l info rma tio n a b o ut dire c to rs, o ffic e rs, a nd o the r ke y pe rso nne l, inc luding c rimina l b e ha vio r. I n to ta lity, the se re q uire me nts me e t o r e xc e e d the sc re e ning I CANN will pe rfo rm. F

r a pplic a nts no t liste d o n o ne o f the se e xc ha ng e s,

I CANN will sub mit ide ntifying info rma tio n fo r the e ntity,

ffic e rs, dire c to rs, a nd ma jo r sha re ho lde rs to a n

inte rna tio na l b a c kg ro und sc re e ning se rvic e . T his se rvic e will use the c rite ria liste d in se c tio n 1.2.1 a nd re turn re sults tha t ma tc h the se c rite ria . Only pub lic ly a va ila b le info rma tio n will b e use d in this inq uiry.

1 See http://www.world-exchanges.org/files/statistics/excel/EQUITY109.xls

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No te tha t the a pplic a nt is e xpe c te d to disc lo se po te ntia l pro b le ms in me e ting the c rite ria in the a pplic a tio n, a nd pro vide a ny c la rific a tio n o r e xpla na tio n a t the time o f a pplic a tio n sub missio n. I f a ny hits a re re turne d, the y will b e ma tc he d with the disc lo sure s pro vide d b y the a pplic a nt a nd tho se c a se s will b e fo llo we d up to re so lve issue s o f disc re pa nc ie s o r po te ntia l fa lse po sitive s. I f no hits a re re turne d, the a pplic a tio n will pa ss this po rtio n

f the b a c kg ro und sc re e ning .

2.1.2 History of cybersquatting

I CANN will sc re e n a pplic a nts a g a inst UDRP c a se s a nd le g a l da ta b a se s a s fina nc ia lly fe a sib le fo r da ta tha t ma y indic a te a pa tte rn o f c yb e rsq ua tting b e ha vio r pursua nt to the c rite ria liste d in se c tio n 1.2.1. T he a pplic a nt is re q uire d to ma ke spe c ific de c la ra tio ns re g a rding the se a c tivitie s in the a pplic a tio n. I f a ny hits a re re turne d , the a pplic a tio n will b e ma tc he d with the disc lo sure s pro vide d b y the a pplic a nt a nd tho se issue s will b e fo llo we d up to re so lve issue s o f disc re pa nc ie s o r po te ntia l fa lse po sitive s. I f no hits a re re turne d, the a pplic a tio n will pa ss this po rtio n

f the b a c kg ro und sc re e ning .

2.2 Initial Evaluation

T he I nitia l E va lua tio n c o nsists o f two type s o f e xa mina tio nre vie w. E a c h type is c o mpo se d o f se ve ra l e le me nts. String re vie w: T he first e xa mina tio nre vie w fo c use s o n the a pplie d -fo r g T L D string to te st:

Whe the r the a pplie d-fo r g T

L D string is so simila r to

the rs a nd o the r string s tha t it wo uld c a use c re a te a

pro b a b ility o f use r c o nfusio n;

Whe the r the a pplie d-fo r g T

L D string mig ht disrupta dve rse ly a ffe c t DNS se c urity o r sta b ility; a nd

Whe the r e vide nc e o f re q uisite g o ve rnme nt

a ppro va l is g ive npro vide d in the c a se o f c e rta in g e o g ra phic a lg e o g ra phic na me s. Applic a nt re vie w: T he se c o nd e xa mina tio nre vie w fo c use s

n the a pplic a nt to te st:

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Whe the r the a pplic a nt ha s the re q uisite te c hnic a l,
pe ra tio na l, a nd fina nc ia l c a pa b ility to o pe ra te a

re g istry; a nd

Whe the r the re g istry se rvic e s o ffe re d b y the

a pplic a nt mig ht a dve rse ly a ffe c t DNS se c urity o r sta b ility.

2.2.1.1 String Reviews

I n the I nitia l E va lua tio n, I CANN re vie ws e ve ry a pplie d-fo r g T L D string fo r string c o nfusio n, po te ntia l to intro duc e insta b ility into the DNS, a nd whe the r re le va nt g o ve rnme nt a ppro va l is re q uire d. T ho se re vie ws a re de sc rib e d in g re a te r de ta il in the fo llo wing pa ra g ra phssub se c tio ns.

2.12.1.1 String ConfusionSimilarity Review

T he o b je c tive o f this re vie w is to pre ve nt use r c o nfusio n a nd lo ss o f c o nfide nc e in the DNS. T his re vie w invo lve s a pre limina ry c o mpa riso n o f e a c h a pplie d-fo r g T L D string a g a inst e xisting T L Ds a nd a g a inst , Re se rve d Na me s (se e sub se c tio n 2.2.1.2), a nd o the r a pplie d-fo r g T L D string s. T he e xa mina tio n is to de te rmine whe the r the a pplie d-fo r g T L D string iso b je c tive o f this re vie w is to pre ve nt use r c o nfusio n a nd lo ss o f c o nfide nc e in the DNS re sulting fro m de le g a tio n

f ma ny simila r string s.

No te : I n this Applic a nt Guide b o o k, “simila r” me a ns string s so simila r to o ne o f the o the rs tha t it wo uldthe y c re a te a pro b a b ility o f de trime nta l use r c o nfusio n if it we re to b e mo re tha n o ne o f the string s is de le g a te d to into the ro o t zo ne . I CANN will pe rfo rm de te rmina tio ns o f string T he visua l simila rity in a c c o rda nc e with the ste ps o utline d he re .c he c k tha t o c c urs during I nitia l E va lua tio n is inte nde d to a ug me nt the o b je c tio n a nd dispute re so lutio n pro c e ss (se e Mo dule 3, Dispute Re so lutio n Pro c e dure s) tha t a ddre sse s a ll type s o f simila rity. T he T his simila rity re vie w will b e c o nduc te d b y a pa ne l o f a n inde pe nde nt String Simila rity Pa ne l.

2.2.1.1.1 Reviews Performed

T he String Simila rity Pa ne l’ s ta sk is to ide ntify visua l string simila ritie s tha t wo uld c re a te a pro b a b ility o f use r c o nfusio n. T he pa ne l pe rfo rms this ta sk o f a sse ssing simila ritie s tha t wo uld le a d to use r c o nfusio n in fo ur se ts o f c irc umsta nc e s, whe n c o mpa ring :

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Applie d-fo r g T

L D string s a g a inst e xisting T L Ds a nd re se rve d na me s;

Applie d-fo r g T

L D string s a g a inst o the r a pplie d-fo r g T L D string s;

Applie d-fo r g T

L D string s a g a inst string s re q ue ste d a s I DN c c T L Ds; a nd

Applie d-fo r 2-c ha ra c te r I

DN g T L D string s a g a inst:

ve ry o the r sing le c ha ra c te r.

Any o the r 2-c ha ra c te r ASCI

I string (to pro te c t po ssib le future c c T L D de le g a tio ns).

Similar ity to E xisting T L Ds or Re se r ve d Name s – T

his re vie w invo lve s c ro ss-c he c king b e twe e n e a c h a pplie d-fo r string a nd the lists o f e xisting T L D string s a nd Re se rve d Na me s to de te rmine whe the r two string s a re so simila r to o ne a no the r tha t the y c re a te a pro b a b ility o f use r c o nfusio n. I n the simple c a se in whic h a n a pplie d-fo r g T L D string is ide ntic a l to a n e xisting T L D o r re se rve d na me , the a pplic a tio n syste m will no t a llo w the a pplic a tio n to b e sub mitte d. T e sting fo r id e ntic a l string s a lso ta ke s into c o nside ra tio n the c o de po int va ria nts liste d in a ny re le va nt I DN ta b le . F

e xa mple , pro to c o ls tre a t e q uiva le nt la b e ls a s a lte rna tive fo rms o f the sa me la b e l, just a s “fo o ” a nd “F

o ” a re

tre a te d a s a lte rna tive fo rms o f the sa me la b e l (RF C 3490). All T L Ds c urre ntly in the ro o t zo ne c a n b e fo und a t http:/ / ia na .o rg / do ma ins/ ro o t/ db / .E xa mine rs. T his e xa mina tio n I DN ta b le s tha t ha ve b e e n sub mitte d to I CANN a re a va ila b le a t http:/ / www.ia na .o rg / do ma ins/ idn-ta b le s/ .

Similar ity to Othe r Applie d-for gT L D Str ings (Str ing Conte ntion Se ts) – All a pplie d-fo r g T

L D string s will b e re vie we d a g a inst o ne a no the r to ide ntify a ny simila r string s. I n pe rfo rming this re vie w, the String Simila rity Pa ne l will c re a te c o nte ntio n se ts tha t ma y b e use d in la te r sta g e s o f e va lua tio n. A c o nte ntio n se t c o nta ins a t le a st two a pplie d-fo r string s ide ntic a l o r simila r to o ne a no the r. Re fe r to Mo dule 4, String Co nte ntio n Pro c e dure s, fo r mo re info rma tio n o n c o nte ntio n se ts a nd c o nte ntio n re so lutio n.

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I CANN will no tify a pplic a nts who a re pa rt o f a c o nte ntio n se t a s so o n a s the String Simila rity re vie w is c o mple te d. (T his pro vide s a lo ng e r pe rio d fo r c o nte nding a pplic a nts to re a c h the ir o wn re so lutio n b e fo re re a c hing the c o nte ntio n re so lutio n sta g e .) T he se c o nte ntio n se ts will a lso b e pub lishe d o n I CANN’ s we b site .

Similar ity to T L D str ings r e que ste d as IDN c c T L Ds -- Applie d-

fo r g T L D string s will a lso b e re vie we d fo r simila rity to T L D string s re q ue ste d in the I DN c c T L D F a st T ra c k pro c e ss (se e http:/ / www.ic a nn.o rg / e n/ to pic s/ idn/ fa st-tra c k/ ). Sho uld a c o nflic t with a pro spe c tive fa st-tra c k I DN c c T L D b e ide ntifie d , I CANN will ta ke the fo llo wing a ppro a c h to re so lving the c o nflic t. I f o ne o f the a pplic a tio ns ha s c o mple te d its re spe c tive pro c e ss b e fo re the o the r is lo dg e d, tha t T L D will b e de le g a te d. A g T L D a pplic a tio n tha t ha s suc c e ssfully c o mple te d a ll re le va nt e va lua tio n sta g e s, inc luding dispute re so lutio n a nd string c o nte ntio n, if a pplic a b le , a nd is e lig ib le fo r e ntry into a re g istry a g re e me nt will b e c o nside re d c o mple te , a nd the re fo re wo uld no t b e disq ua lifie d b y a ne wly-file d I DN c c T L D re q ue st. Simila rly, a n I DN c c T L D re q ue st tha t ha s c o mple te d e va lua tio n (i.e ., is “va lida te d”) will b e c o nside re d c o mple te a nd the re fo re wo uld no t b e disq ua lifie d b y a ne wly-file d g T L D a pplic a tio n. I n the c a se whe re ne ithe r a pplic a tio n ha s c o mple te d its re spe c tive pro c e ss, whe re the g T L D a pplic a tio n do e s no t ha ve the re q uire d a ppro va l fro m the re le va nt g o ve rnme nt

r pub lic a utho rity, a va lida te d re q ue st fo r a n I

DN c c T L D will pre va il a nd the g T L D a pplic a tio n will no t b e a ppro ve d. T he te rm “va lida te d” is de fine d in the I DN c c T L D F a st T ra c k Pro c e ss I mple me nta tio n, whic h c a n b e fo und a t http:/ / www.ic a nn.o rg / e n/ to pic s/ idn. I n the c a se whe re a g T L D a pplic a nt ha s o b ta ine d the suppo rt o r no n-o b je c tio n o f the re le va nt g o ve rnme nt o r pub lic a utho rity, b ut is e limina te d due to c o nte ntio n with a string re q ue ste d in the I DN c c T L D F a st T ra c k pro c e ss, a full re fund o f the e va lua tio n fe e is a va ila b le to the a pplic a nt if the g T L D a pplic a tio n wa s sub mitte d prio r to the pub lic a tio n

f the c c T

L D re q ue st.

Re vie w of 2-c har ac te r IDN str ings — I

n a dditio n to the a b o ve re vie ws, a n a pplie d-fo r g T L D string tha t is a 2- c ha ra c te r I DN string is re vie we d b y the String Simila rity Pa ne l fo r visua l simila rity to : a) Any o ne -c ha ra c te r la b e l (in a ny sc ript), a nd

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b) Any po ssib le two -c ha ra c te r ASCI I c o mb ina tio n. An a pplie d-fo r g T L D string tha t is fo und to b e to o simila r to a ) o r b ) a b o ve will no t pa ss this re vie w.

2.2.1.1.2 Review Methodology

T he String Simila rity Pa ne l is info rme d in pa rt b y a n a lg o rithmic sc o re fo r the visua l simila rity b e twe e n e a c h a pplie d-fo r string a nd e a c h o f o the r e xisting a nd a pplie d- fo r T L

Ds. a nd re se rve d na me s. T

he sc o re will pro vide o ne

b je c tive me a sure fo r c o nside ra tio n b y the pa ne l, a s pa rt
f the pro c e ss o f ide ntifying string s like ly to re sult in use r

c o nfusio n. I n g e ne ra l, a p plic a nts sho uld e xpe c t tha t a hig he r visua l simila rity sc o re sug g e sts a hig he r pro b a b ility tha t the a pplic a tio n will no t pa ss the String Simila rity re vie w. Ho we ve r, it sho uld b e no te d tha t the sc o re is o nly indic a tive a nd tha t the fina l de te rmina tio n o f simila rity is e ntire ly up to the Pa ne l’ s judg me nt. T he e xa mine rs’ ta sk is a lg o rithm, use r g uide line s, a nd a dditio na l b a c kg ro und info rma tio n a re a va ila b le to ide ntifya pplic a nts fo r te sting a nd info rma tio na l purpo se s.2 Applic a nts will ha ve the a b ility to te st the ir string s a nd

b ta in a lg o rithmic re sults thro ug h the a pplic a tio n syste m

prio r to sub missio n o f a n a pplic a tio n. T he a lg o rithm suppo rts the c o mmo n c ha ra c te rs in Ara b ic , Chine se , Cyrillic , De va na g a ri, Gre e k, Ja pa ne se , K

re a n,

a nd L a tin sc ripts. I t c a n a lso c o mpa re string s in diffe re nt sc ripts to e a c h o the r. T he pa ne l will a lso ta ke into a c c o unt va ria nt c ha ra c te rs, a s de fine d in a ny re le va nt la ng ua g e ta b le , in its de te rmina tio ns. F

r e xa mple , string s tha t a re no t visua lly

simila r b ut a re de te rmine d to b e va ria nt T L D string s b a se d

n a n I

DN ta b le wo uld b e pla c e d in a c o nte ntio n se t. Va ria nt T L D string s tha t a re liste d a s pa rt o f the a pplic a tio n will a lso b e sub je c t to the string simila rity a na lysis.3 T he pa ne l will e xa mine a ll the a lg o rithm da ta a nd pe rfo rm its o wn re vie w o f simila ritie s tha t wo uld c re a te a pro b a b ility

f de trime nta l use r c o nfusio n. T

he e xa mine rsb e twe e n string s a nd whe the r the y rise to the le ve l o f string c o nfusio n. I n c a se s o f string s in sc ripts no t ye t suppo rte d b y the

2 See http://icann.sword-group.com/algorithm/ 3 In the case where an applicant has listed Declared Variants in its application (see subsection 1.3.3), the panel will perform an

analysis of the listed strings to confirm that the strings are variants according to the applicant’s IDN table. This analysis may include comparison of applicant IDN tables with other existing tables for the same language or script, and forwarding any questions to the applicant.

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a lg o rithm, the pa ne l’ s a sse ssme nt pro c e ss is e ntire ly ma nua l. T he pa ne l will use a c o mmo n sta nda rd to te st fo r whe the r string c o nfusio n e xists, a s fo llo ws:

Standar d for Str ing Confusion – String c o nfusio n e xists whe re

a string so ne a rly re se mb le s a no the r visua lly tha t it is like ly to de c e ive o r c a use c o nfusio n. F

r the like liho o d o f c o nfusio n

to e xist, it must b e pro b a b le , no t me re ly po ssib le tha t c o nfusio n will a rise in the mind o f the a ve ra g e , re a so na b le I nte rne t use r. Me re a sso c ia tio n, in the se nse tha t the string b ring s a no the r string to mind , is insuffic ie nt to find a like liho o d o f c o nfusio n. T he sta nda rd will b e a pplie d in two se ts 2.2.1.1.3

Outcomes of c irc umsta nc e s, whe n c o mpa ring :

Applie d-fo r g T

L D string s a g a inst e xisting T L Ds a nd re se rve d na me s.

Applie d-fo r g T

L D string s a g a inst o the r a pplie d fo r g T L D string s o r string s re q ue ste d in c c T L D pro c e sse s).

E xistingthe String Similarity E xamination – T

his re vie w invo lve s c ro ss-c he c king b e twe e n e a c h a pplie d-fo r string a nd the list o f e xisting T L D string s to de te rmine whe the r the two string s a re so simila r to o ne a no the r tha t the y c re a te a pro b a b ility o f de trime nta l use r c o nfusio n.Review All T L Ds c urre ntly in the ro o t zo ne c a n b e fo und a t http:/ / ia na .o rg / do ma ins/ ro o t/ db / . An a pplic a tio n tha t fa ils the string c o nfusio nString Simila rity re vie w a nd is fo und to o simila rdue to simila rity to a n e xisting string T L D will no t pa ss the I nitia l E va lua tio n, a nd no furthe r re vie ws will b e a va ila b le . I n the simple c a se in whic hWhe re a n a pplie d-fo r T L D string is ide ntic a l to a n e xisting T L D, the a pplic a tio n syste mdo e s no t pa ss the String Simila rity re vie w, the a pplic a nt will re c o g nize the e xisting T L D a nd no t a llo w the a pplic a tio n to b e sub mitte d. Suc h te sting fo r ide ntic a l string s a lso ta ke s into c o nside ra tio n the c o de po int va ria nts liste d in a ny re le va nt la ng ua g e re fe re nc e ta b le . F

r e xa mple , pro to c o ls tre a t e q uiva le nt la b e lsno tifie d a s

a lte rna tive fo rms o f the sa me la b e l, justso o n a s “fo o ” a nd “F

o ” a re tre a te d a s a lte rna te fo rms o f the sa me la b e l

(RF C 3490).

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the re vie w is c o mple te d. An a pplic a tio n fo r a string tha t is fo und to o simila r to a no the r a pplie d-fo r g T L D string will b e pla c e d in a c o nte ntio n se t. An a pplic a tio n tha t pa sse s the string c o nfusio n String Simila rity re vie w is still sub je c t to c ha lle ng e o b je c tio n b y a n e xisting T L D o pe ra to r o r b y a no the r g T L D a pplic a nt in the c urre nt a pplic a tio n ro und. T ha t pro c e ss re q uire s tha t a spe c ific string c o nfusio n o b je c tio n b e file d b y a n o b je c to r ha ving the sta nding to ma ke suc h a n o b je c tio n. Suc h c a te g o ry o f o b je c tio n is no t limite d to visua l simila rity. Ra the r, c o nfusio n b a se d o n a ny type o f simila rity (inc luding visua l, a ura l, o r simila rity o f me a ning ) ma y b e c la ime d b y a n o b je c to r. Re fe r to Mo dule 3, Disp ute Re so lutio n Pro c e dure s, fo r mo re info rma tio n a b o ut the o b je c tio n pro c e ss.

Str ing Conte ntion Se ts: Similar ity with Othe r Applie d-for gT L D Str ings – All a pplie d-fo r g T

L D string s will b e re vie we d a g a inst

ne a no the r to ide ntify a ny string s tha t a re so simila r tha t

the y c re a te a pro b a b ility o f de trime nta l use r c o nfusio n wo uld re sult if mo re tha n o ne is de le g a te d into the ro o t zo ne . I n pe rfo rming the string c o nfusio n re vie w, the pa ne l

f String Simila rity E

xa mine rs will c re a te c o nte ntio n se ts tha t ma y b e use d la te r in the pro c e ss. A c o nte ntio n se t c o nta ins a t le a st two a pplie d-fo r string s ide ntic a l to o ne a no the r o r so simila r tha t string c o nfusio n wo uld re sult if mo re tha n o ne we re de le g a te d into the ro o t zo ne . Re fe r to Mo dule 4, String Co nte ntio n Pro c e dure s, fo r mo re info rma tio n o n c o nte ntio n se ts a nd c o nte ntio n re so lutio n. I CANN will no tify a pplic a nts who a re pa rt o f a c o nte ntio n se t b y the c o nc lusio n o f the I nitia l E va lua tio n pe rio d. T he se c o nte ntio n se ts will a lso b e pub lishe d o n I CANN’ s we b site .

Similar ity to T L D str ings applie d for as c c T L Ds -- Applie d-fo r

g T L D string s will a lso b e re vie we d fo r simila rity to T L D string s a pplie d fo r in the I DN c c T L D F a st T ra c k pro c e ss (se e http:/ / www.ic a nn.o rg / e n/ to pic s/ idn/ fa st-tra c k/ ). Sho uld c o nflic t with a pro spe c tive fa st-tra c k I DN c c T L D b e ide ntifie d , I CANN will ta ke ste ps to re so lve the c o nflic t. (Se e pro c e ss fo r Ge o g ra phic a l Na me s in pa ra g ra ph 2.1.1.4.)

Str ing Similar ity Algor ithm – T

he String Simila rity Alg o rithm (Alg o rithm) is a to o l the e xa mine rs use to pro vide o ne

b je c tive me a sure a s pa rt o f the pro c e ss o f ide ntifying

string s like ly to re sult in c o nfusio n. T he Alg o rithm is a lso a va ila b le to a pplic a nts fo r te sting a nd info rma tio na l purpo se s. T he Alg o rithm a nd use r g uide line s a re a va ila b le a t http:/ / 80.124.160.66/ ic a nn-a lg o rithm.

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T he Alg o rithm c a lc ula te s sc o re s fo r visua l simila rity b e twe e n a ny two string s, using fa c to rs suc h a s le tte rs in se q ue nc e , numb e r o f simila r le tte rs, numb e r o f dissimila r le tte rs, c o mmo n pre fixe s, c o mmo n suffixe s, a nd string le ng th.

2.1.1.An a pplic a nt ma y file a fo rma l o b je c tio n a g a inst

a no the r g T L D a pplic a tio n o n string c o nfusio n g ro unds. Suc h a n o b je c tio n ma y, if suc c e ssful, c ha ng e the c o nfig ura tio n

f the pre limina ry c o nte ntio n se ts in tha t the two a pplie d-

fo r g T L D string s will b e c o nside re d in dire c t c o nte ntio n with

ne a no the r (se e Mo dule 4, String Co nte ntio n Pro c e dure s).

T he o b je c tio n pro c e ss will no t re sult in re mo va l o f a n a pplic a tio n fro m a c o nte ntio n se t.

2.2.1.2 Review for Reserved Names

T he Re se rve d Na me s re vie w invo lve s c o mpa riso nAll a pplie d-fo r g T L D string s a re c o mpa re d with the list o f to p- le ve l Re se rve d Na me s to e nsure tha t the a pplie d-fo r g T L D string do e s no t a ppe a r o n tha t list. Top-Level Reserved Names List

AFRINIC IANA-SERVERS NRO ALAC ICANN RFC-EDITOR APNIC IESG RIPE ARIN IETF ROOT-SERVERS ASO INTERNIC RSSAC CCNSO INVALID SSAC EXAMPLE* IRTF TEST* GAC ISTF TLD GNSO LACNIC WHOIS GTLD-SERVERS LOCAL WWW IAB LOCALHOST IANA NIC *Note that in addition to the above strings, ICANN will also reserve translations of the terms “test” and “example” in multiple languages. The remainder of the strings are reserved only in the form included above.

I f a n a pplic a nt e nte rs a Re se rve d Na me a s its a pplie d-fo r g T L D string , the a pplic a tio n syste m will re c o g nize the Re se rve d Na me a nd will no t a llo w the a pplic a tio n to b e sub mitte d. I n a dditio n, a pplie d-fo r g T L D string s a re re vie we d in a pro c e ss ide ntic a l to tha t de sc rib e d induring the pre c e ding se c tio nString Simila rity re vie w to de te rmine whe the r the y e xc e e d a simila rity thre sho ld witha re simila r to a Re se rve d Na me . An a pplic a tio n fo r a g T L D string tha t is ide ntifie d a s

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to o simila r to a Re se rve d Na me will no t pa ss the Re se rve d Na me sthis re vie w. Na me s a ppe a ring o n the De c la re d Va ria nts L ist (se e se c tio n 1.3.3) will b e po ste d o n I CANN’ s we b site a nd will b e tre a te d e sse ntia lly the sa me a s Re se rve d Na me s. T ha t is, a n a pplic a tio n fo r a g T L D string tha t is ide ntic a l o r simila r to a string o n the De c la re d Va ria nts L ist will no t pa ss this re vie w.

2.12.1.3 DNS Stability Review for Potential DNS Instability

T his re vie w de te rmine s whe the r a n a pplie d-fo r g T L D string mig ht c a use insta b ility to the DNS. I n a ll c a se s, this will invo lve a re vie w fo r c o nfo rma nc e with te c hnic a l a nd o the r re q uire me nts fo r g T L D string s (la b e ls.). I n so me e xc e ptio na l c a se s, a n e xte nde d re vie w ma y b e ne c e ssa ry to inve stig a te po ssib le te c hnic a l sta b ility pro b le ms with the a pplie d-fo r g T L D string .

2.2.1.1.3.1 StringDNS Stability: String Review Procedure

Ne w g T L D la b e ls must no t a dve rse ly a ffe c t o n the se c urity

r sta b ility o f the DNS. Altho ug h no string c o mplying with

the re q uire me nts in pa ra g ra ph 2.1.1.3.2 o f this mo dule is e xpe c te d to a dve rse ly a ffe c t DNS se c urity o r sta b ility, a n e xte nde d re vie w is po ssib le if te c hnic a l re vie we rs ide ntify a n issue with the a pplie d-fo r g T L D string tha t re q uire s furthe r inve stig a tio n.

Str ing Stability Re vie w Pr

c e dur

e – During the I

nitia l E va lua tio n pe rio d , I CANN will c o nduc t a pre limina ry re vie w

n the se t o f a pplie d-fo r g T

L D string s to e nsure tha t pro po se d string s c o mply with re le va nt sta nda rds pro vide d in the pre c e ding se c tio n a nd de te rmine whe the r a ny string s ra ise sig nific a nt te c hnic a l sta b ility issue s tha t ma y re q uire a n E xte nde d E va lua tio n.:

e nsure tha t a pplie d-fo r g T

L D string s c o mply with the re q uire me nts pro vide d in se c tio n 2.2.1.3.2, a nd

de te rmine whe the r a ny string s ra ise sig nific a nt

se c urity o r sta b ility issue s tha t ma y re q uire furthe r re vie w. T he re is a ve ry lo w pro b a b ility tha t this re vie we xte nde d a na lysis will b e ne c e ssa ry fo r a string tha t fully c o mplie s with the string re q uire me nts in pa ra g ra phsub se c tio n 2.12.1.3.2 o f this mo dule . Ho we ve r, the te c hnic a l sta b ilitystring re vie w pro c e ss pro vide s a n a dditio na l sa fe g ua rd if una ntic ipa te d

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se c urity o r sta b ility issue s a rise c o nc e rning a n a pplie d-fo r g T L D string . Se e Se c tio n 2.2 fo r furthe r info rma tio n o n the E xte nde d E va lua tio n pro c e ss. 2.1I n suc h a c a se , the DNS Sta b ility Pa ne l will pe rfo rm a n e xte nde d re vie w o f the a pplie d-fo r g T L D string during the I nitia l E va lua tio n pe rio d. T he pa ne l will de te rmine whe the r the string fa ils to c o mply with re le va nt sta nda rds o r c re a te s a c o nditio n tha t a dve rse ly a ffe c ts the thro ug hput, re spo nse time , c o nsiste nc y, o r c o he re nc e o f re spo nse s to I nte rne t se rve rs o r e nd syste ms, a nd will re po rt o n its finding s. I f the pa ne l de te rmine s tha t the string c o mplie s with re le va nt sta nda rds a nd do e s no t c re a te the c o nditio ns de sc rib e d a b o ve , the a pplic a tio n will pa ss the DNS Sta b ility re vie w. I f the pa ne l de te rmine s tha t the string do e s no t c o mply with re le va nt te c hnic a l sta nda rds, o r tha t it c re a te s a c o nditio n tha t a dve rse ly a ffe c ts the thro ug hput, re spo nse time , c o nsiste nc y, o r c o he re nc e o f re spo nse s to I nte rne t se rve rs o r e nd syste ms, the a pplic a tio n will no t pa ss the I nitia l E va lua tio n, a nd no furthe r re vie ws a re a va ila b le . I n the c a se whe re a string is de te rmine d like ly to c a use se c urity o r sta b ility pro b le ms in the DNS, the a pplic a nt will b e no tifie d a s so o n a s the DNS Sta b ility re vie w is c o mple te d.

2.2.1.3.2 String Requirements4

I CANN will re vie w e a c h a pplie d-fo r g T L D string to e nsure tha t it c o nfo rmsc o mplie s with the re q uire me nts o utline d in the fo llo wing pa ra g ra phs. I f a n a pplie d-fo r g T L D string is fo und to vio la te a ny o f the se rule s, the a pplic a tio n will b e de nie d.no t pa ss the DNS Sta b ility re vie w. No furthe r re vie ws a re a va ila b le .

Par t I -- T e c hnic al R e quir e me nts for all L abe ls (Str ings) – T

he te c hnic a l re q uire me nts fo r the se le c tio n o f to p-le ve l do ma in la b e ls fo llo w.

T he ASCI I la b e l (tha t is,i.e ., the la b e l a s tra nsmitte d o n the wire ) must b e va lid a s spe c ifie d in the te c hnic a l sta nda rds Do main Name s: I mple me ntatio n and S pe c ific atio n (RF C 1035), a nd Clarific atio ns to the DNS S pe c ific atio n (RF C 2181).)

4 The string requirements have been revised according to revisions of RFC 1123 in progress in the IETF. See

http://tools.ietf.org/html/draft-liman-tld-names-04.

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a nd a ny upda te s the re to . T his inc lude s the fo llo wing : 1.1.1 T he la b e l must ha ve no mo re tha n 63 c ha ra c te rs. 1.1.2 Uppe r a nd lo we r c a se c ha ra c te rs a re tre a te d a s ide ntic a l.

T he ASCI I la b e l must b e a va lid ho st na me , a s spe c ifie d in the te c hnic a l sta nda rds DOD I nte rne t Ho st T able S pe c ific atio n (RF C 952), Re quire me nts fo r I nte rne t Ho sts — Applic atio n and S uppo rt (RF C 1123), a nd Applic atio n T e c hnique s fo r Che c king and T ransfo rmatio n o f Name s (RF C 3696).), I nte rnatio nalize d Do main Name s in Applic atio ns (I DNA)(RF Cs 5890-5894), and any update s the re to . T his inc lude s the fo llo wing : 1.2.1 T he ASCI I la b e l must c o nsist e ntire ly o f le tte rs, d ig its a nd hyphe ns. (a lpha b e tic c ha ra c te rs a -z), o r

he la b e l must no t sta rt o r e nd with a hyphe n.

he re must b e no po ssib ility fo r c o nfusing a n ASCI I la b e l fo r a n I P a ddre ss o r o the r nume ric a l ide ntifie r b y a pplic a tio n so ftwa re . F

r e xa mple ,

re pre se nta tio ns suc h a s “255”, “o 377” o r “0xff”re pre se nting de c ima l, o c ta l, a nd he xa de c ima l string s, c a n b e c o nfuse d fo r I P a ddre sse s. As suc h, la b e ls:

Must no t b e who lly c o mpo se d o f dig its b e twe e n

“0” a nd “9”.

Must no t c o mme nc e with “0x” o r “x”, a nd ha ve

the re ma inde r o f the la b e l who lly c o mpo se d o f he xa de c ima l dig its, “0” to “9” a nd “a ” thro ug h “f”.

Must no t c o mme nc e with “0o ” o r “o ”, a nd ha ve

the re ma inde r o f the la b e l who lly c o mpo se d o f dig its b e twe e n “0” a nd “7”.

1.2.2 T

he ASCI I la b e l ma y o nly inc lude hyphe ns in the third a nd fo urth po sitio n if it re pre se nts a va lid I nte rna tio na lize d Do ma in Na me in itsI DNA A-la b e l fo rm (ASCI I e nc o ding ).(furthe r re stric te d a s de sc rib e d in Pa rt I I b e lo w).

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he pre se nta tio n fo rma t o f the do ma in (tha t is, e ithe r the la b e l fo r ASCI I do ma ins, o r the U-la b e l fo r I nte rna tio na lize d Do ma in Na me s) must no t b e g in o r e nd with a dig it.

Par t II -- Re quir e me nts for Inte r nationalize d Domain Name s

– T he se re q uire me nts a pply o nly to pro spe c tive to p-le ve l do ma ins tha t use c o nta in no n-ASCI I c ha ra c te rs. Applic a nts fo r the se inte rna tio na lize d to p-le ve l do ma in la b e ls a re e xpe c te d to b e fa milia r with the I E T F I DNA sta nda rds, Unic o de sta nda rds, a nd the te rmino lo g y a sso c ia te d with I nte rna tio na lize d Do ma in Na me s.

T he la b e l must b e a va lid inte rna tio na lize d do ma in na me ,a n A-la b e l a s spe c ifie dde fine d in I DNA, c o nve rte d fro m (a nd c o nve rtib le to ) a U-la b e l tha t is c o nsiste nt with the te c hnic a l sta nda rd I nte rnatio nalizing Do main Name sde finitio n in Applic atio ns (RF C 3490). T his inc lude s I DNA, a nd furthe r re stric te d b y the fo llo wing no ne xha ustive , no n-e xha ustive , list o f limita tio ns: 2.1.1 Must o nly c o nta in Unic o de c o de po ints tha t a re de fine d a s “Va lid” in Must b e a va lid A- la b e l a c c o rding to I DNA. 2.1.2 T he U nic o de Co de po ints and I DNA (http:/ / www.ie tf.o rg / inte rne t-dra fts/ dra ft- ie tf-idna b is-ta b le s-02.txt)de rive d pro pe rty va lue o f a ll c o de po ints, a s de fine d b y I DNA, must b e PVAL I D a nd b e a c c o mpa nie d b y una mb ig uo us c o nte xtua l rule s whe re ne c e ssa ry.5 2.1.3 T he g e ne ra l c a te g o ry o f a ll c o de po ints, a s de fine d b y I DNA, must b e o ne o f (L l, L

m, Mn). 2.1.4 Must b e fully c o mplia nt with No rma liza tio n F

rm C, a s de sc rib e d in U

nic o de S tandard Anne x # 15: Unic o de No rmalizatio n F

rms.

Se e a lso e xa mple s in http:/ / unic o de .o rg / fa q / no rma liza tio n.html.

5 It is expected that conversion tools for IDNA 2008 will be available before the Application Submission period begins, and that

labels will be checked for validity under IDNA2008. In this case, labels valid under the previous version of the protocol (IDNA2003) but not under IDNA2008 will not meet this element of the requirements. Labels that are valid under both versions of the protocol will meet this element of the requirements. Labels valid under IDNA2008 but not under IDNA2003 may meet the requirements; however, applicants are strongly advised to note that the duration of the transition period between the two protocols cannot presently be estimated nor guaranteed in any specific timeframe. The development of support for IDNA2008 in the broader software applications environment will occur gradually. During that time,TLD labels that are valid under IDNA2008, but not under IDNA2003, will have limited functionality.

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2.1.5 Must c o nsist e ntire ly o f c ha ra c te rs with the sa me dire c tio na l pro pe rty.

T he la b e l must me e t the re le va nt c rite ria o f the I CANN Guide line s fo r the I mple me ntatio n o f I nte rnatio nalise d Do main Name s. Se e http:/ / www.ic a nn.o rg / e n/ to pic s/ idn/ imple me nta tio n-g uide line s.htm. T his inc lude s the fo llo wing no ne xha ustive , no n-e xha ustive , list o f limita tio ns: 2.2.1 All c o de po ints in a sing le la b e l must b e ta ke n fro m the sa me sc ript a s de te rmine d b y the Unic o de Sta nda rd Anne x # 24: Unic o de Sc ript Pro pe rty. 2.2.2 E xc e ptio ns to 2.2.1 a re pe rmissib le fo r la ng ua g e s with e sta b lishe d o rtho g ra phie s a nd c o nve ntio ns tha t re q uire the c o mming le d use o f multiple sc ripts. Ho we ve r, e ve n with this e xc e ptio n, visua lly c o nfusa b le c ha ra c te rs fro m diffe re nt sc ripts will no t b e a llo we d to c o -e xist in a sing le se t

f pe rmissib le c o de po ints unle ss a

c o rre spo nding po lic y a nd c ha ra c te r ta b le isa re c le a rly de fine d. T he I DNA pro to c o l use d fo r inte rna tio na lize d la b e ls is c urre ntly unde r re visio n thro ug h the I nte rne t sta nda rdiza tio n pro c e ss. As suc h, a dditio na l re q uire me nts ma y b e spe c ifie d tha t ne e d to b e a dhe re d to a s this re visio n is b e ing c o mple te d. T he c urre nt sta tus o f the pro to c o l re visio n is do c ume nte d a t http:/ / to o ls.ie tf.o rg / wg / idna b is.

Par t III - Polic y R e quir e me nts for Ge ne r ic T

e ve l Domains – T

he se re q uire me nts a pply to a ll pro spe c tive to p- le ve l do ma in string s a pplie d fo r a s g T L Ds. 3.1 Applie d-fo r g T L D string s in ASCI I must b e c o mpo se d

f thre e o r mo re visua lly distinc t letters orc ha ra c te rs.

T wo -c ha ra c te r ASCI I string s a re no t pe rmitte d, to a vo id c o nflic ting with c urre nt a nd future c o untry c o de s b a se d o n the I SO 3166-1 sta nda rd. 3.2 Applie d-fo r g T L D string s in I DN sc ripts must b e c o mpo se d o f two o r mo re visua lly distinc t c ha ra c te rs in the sc ript, a s a ppro pria te . No te , ho we ve r, tha t a two -c ha ra c te r I DN string will no t b e a ppro ve d if:

2.1

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3.2.1 I t is visua lly simila r to a ny o ne -c ha ra c te r la b e l (in a ny sc ript); o r 3.2.2 I t is visua lly simila r to a ny po ssib le two - c ha ra c te r ASCI I c o mb ina tio n. Se e the String Simila rity re vie w in sub se c tio n 2.2.1.1 fo r a dditio na l info rma tio n o n this re q uire me nt.

2.2.1.4 GeographicalGeographic Names Review

I CANN will re vie w a ll a pplie d-Applic a tio ns fo r g T L D string s to must e nsure tha t a ppro pria te c o nside ra tio n is g ive n to the inte re sts o f g o ve rnme nts o r pub lic a utho ritie s in c o untry

r te rrito ryg e o g ra phic na me s, a s we ll a s c e rta in o the r type s
f sub -na tio na l pla c e na me s.. T

he re q uire me nts a nd pro c e dure I CANN will fo llo w isin the e va lua tio n pro c e ss a re de sc rib e d in the fo llo wing pa ra g ra phs. Applic a nts sho uld re vie w the se re q uire me nts e ve n if the y do no t b e lie ve the ir inte nde d g T L D string is a g e o g ra phic na me . All a pplie d-fo r g T L D string s will b e re vie we d a c c o rding to the re q uire me nts in this se c tio n, re g a rdle ss o f whe the r the a pplic a tio n indic a te s it is fo r a g e o g ra phic na me .

2.2.1.1.4.1 Requirements for Strings IntendedTreatment of Country or Territory Names6

Applic a tio ns fo r string s tha t a re c o untry o r te rrito ry na me s will no t b e a ppro ve d, a s the y a re no t a va ila b le unde r the Ne w g T L D Pro g ra m in this a pplic a tio n ro und. A string sha ll b e c o nside re d to Re pre se nt Ge o g ra phic a l E ntitie sb e a c o untry o r te rrito ry na me if: i. it is a n a lpha -3 c o de liste d in the I SO 3166-1 sta nda rd. ii. it is a lo ng -fo rm na me liste d in the I SO 3166-1 sta nda rd, o r a tra nsla tio n o f the lo ng -fo rm na me in a ny la ng ua g e . iii. it is a sho rt-fo rm na me liste d in the I SO 3166-1 sta nda rd, o r a tra nsla tio n o f the sho rt-fo rm na me in a ny la ng ua g e .

6 Country and territory names are excluded from the process based on advice from the Governmental Advisory Committee in recent

communiqués providing interpretation of Principle 2.2 of the GAC Principles regarding New gTLDs to indicate that strings which are a meaningful representation or abbreviation of a country or territory name should be handled through the forthcoming ccPDP, and other geographic strings could be allowed in the gTLD space if in agreement with the relevant government or public authority.

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iv. it is the sho rt- o r lo ng -fo rm na me a sso c ia tio n with a c o de tha t ha s b e e n de sig na te d a s “e xc e ptio na lly re se rve d” b y the I SO 3166 Ma inte na nc e Ag e nc y. v. it is a se pa ra b le c o mpo ne nt o f a c o untry na me de sig na te d o n the “Se pa ra b le Co untry Na me s L ist,” o r is a tra nsla tio n o f a na me a ppe a ring o n the list, in a ny la ng ua g e . Se e the Anne x a t the e nd o f this mo dule . vi. I t is a pe rmuta tio n o r tra nspo sitio n o f a ny o f the na me s inc lude d in ite ms (i) thro ug h (v). Pe rmuta tio ns inc lude re mo va l o f spa c e s, inse rtio n o f punc tua tio n, a nd a dd itio n o r re mo va l o f g ra mma tic a l a rtic le s like “the .” A tra nspo sitio n is c o nside re d a c ha ng e in the se q ue nc e o f the lo ng o r sho rt–fo rm na me , fo r e xa mple , “Re pub lic Cze c h” o r “I sla ndsCa yma n.”

2.2.1.4.2 Geographic Names Requiring Government Support

T he fo llo wing type s o f a pplic a tio ns a pplie d-fo r string s a re c o nside re d g e o g ra phic na me s a nd must b e a c c o mpa nie d b y do c ume ntsdo c ume nta tio n o f suppo rt o r no n-o b je c tio n fro m the re le va nt g o ve rnme nts o r pub lic a utho ritie s: 1. An a pplic a tio n fo r a ny string tha t is a re pre se nta tio n, in a ny la ng ua g e , o f the c apital c ity name o f a ny c o untry o r te rrito ry liste d in the I SO 3166-1 sta nda rd. I n this c a se , it is a ntic ipa te d tha t the re le va nt g o ve rnme nt(s) o r pub lic a utho rity(ie s). wo uld b e a t the na tio na l le ve l.

Applic a tio ns fo r a ny string tha t is a me a ning ful

re pre se nta tio n o f a c o untry o r te rrito ry name liste d in the I SO 3166-1 sta nda rd (se e http:/ / www.iso .o rg / iso / c o untry_c o de s/ iso _3166_da t a b a se s.htm). T his inc lude s a re pre se nta tio n o f the c o untry o r te rrito ry na me in a ny o f the six o ffic ia l Unite d Na tio ns la ng ua g e s (F re nc h, Sp a nish, Chine se , Ara b ic , Russia n a nd E ng lish) a nd the c o untry o r te rrito ry’ s lo c a l la ng ua g e . 2. Applic a tio ns fo r a ny string tha t re pre se ntsAn a pplic a tio n fo r a c ity name , whe re the a pplic a nt

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de c la re s tha t it inte nds to use the g T L D fo r purpo se s a sso c ia te d with the c ity na me . City na me s pre se nt c ha lle ng e s b e c a use c ity na me s ma y a lso b e g e ne ric te rms o r b ra nd na me s, a nd in ma ny c a se s no c ity na me is uniq ue . Unlike o the r type s o f g e o g ra phic na me s, the re a re no e sta b lishe d lists tha t c a n b e use d a s o b je c tive re fe re nc e s in the e va lua tio n pro c e ss. T hus, c ity na me s a re no t unive rsa lly pro te c te d. Ho we ve r, the pro c e ss do e s pro vide a me a ns fo r c itie s a nd a pplic a nts to wo rk to g e the r whe re de sire d. An a pplic a tio n fo r a c ity na me will b e sub je c t to the g e o g ra phic na me s re q uire me nts (i.e ., will re q uire do c ume nta tio n o f suppo rt o r no n-o b je c tio n fro m the re le va nt g o ve rnme nts o r pub lic a utho ritie s) if: (a ) I t is c le a r fro m a pplic a nt sta te me nts within the a pplic a tio n tha t the a pplic a nt will use the T L D prima rily fo r purpo se s a sso c ia te d with the c ity na me ; a nd (b ) T he a pplie d-fo r string is a c ity na me a s liste d o n

ffic ia l c ity do c ume nts.7

I n the c a se o f a n a pplic a tio n tha t me e ts c o nditio ns (a ) a nd (b ), do c ume nta tio n o f suppo rt will b e re q uire d o nly fro m the re le va nt g o ve rnme nt o r pub lic a utho rity o f the c ity na me d in the a pplic a tio n.

An a pplic a tio n fo r a ny string tha t is a n e xa c t ma tc h

f a sub-natio nal plac e name , suc h a s a c o unty,

pro vinc e , o r sta te , liste d in the I SO 3166-2 sta nda rd.

Applic a tio ns fo r a c ity na me , whe re the a pplic a nt

c le a rly inte nds to use the g T L D to le ve ra g e fro m the c ity na me . I n this c a se , it is a ntic ipa te d tha t the re le va nt g o ve rnme nt o r pub lic a utho rity wo uld b e a t the sub -na tio na l le ve l, suc h a s a sta te , pro vinc ia l o r lo c a l g o ve rnme nt o r a utho rity.

7 City governments with concerns about strings that are duplicates, nicknames or close renderings of a city name should not rely

n the evaluation process as the primary means of protecting their interests in a string. Rather, a government may elect to file a

formal objection to an application that is opposed by the relevant community, or may submit its own application for the string.

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An a pplic a tio n fo r a string whic h re pre se ntsliste d a s

a c o ntine nt o r UNUNE SCO re g io n8 o r a ppe a ring o n the 4. “Co mpo sitio n o f ma c ro g e o g ra phic a l (c o ntine nta l) re g io ns, g e o g ra phic a l sub -re g io ns, a nd se le c te d e c o no mic a nd o the r g ro uping s list a t http:/ / unsta ts.un.o rg / unsd/ me tho ds/ m49/ m49re g in. htm.” list.9 I n the c a se o f a n a pplic a tio n fo r a string a ppe a ring

n e ithe r o f the lists a b o ve , do c ume nta tio n o f

suppo rt will b e re q uire d fro m a t le a st 60% o f the re spe c tive na tio na l g o ve rnme nts in the re g io n, a nd the re ma y b e no mo re tha n o ne writte n sta te me nt

f o b je c tio n to the a pplic a tio n fro m re le va nt

g o ve rnme nts in the re g io n a nd/ o r pub lic a utho ritie s a sso c ia te d with the c o ntine nt o r the re g io n. Whe re the 60% rule is a pplie d, a nd the re a re c o mmo n re g io ns o n b o th lists, the re g io na l c o mpo sitio n c o nta ine d in the “c o mpo sitio n o f ma c ro g e o g ra phic a l (c o ntine nta l) re g io ns, g e o g ra phic a l sub -re g io ns, a nd se le c te d e c o no mic a nd o the r g ro uping s” ta ke s pre c e de nc e . An a pplie d-fo r g T L D string tha t fa lls into the a ny o f 1 thro ug h 4 liste d a b o ve c a te g o rie s is c o nside re d to re pre se nt a g e o g ra phic a lg e o g ra phic na me . I n the e ve nt o f a ny do ub t, it is in the a pplic a nt’ s inte re st to c o nsult with re le va nt g o ve rnme nts a nd pub lic a utho ritie s a nd e nlist the ir suppo rt o r no n-o b je c tio n prio r to sub missio n o f the a pplic a tio n, in o rde r to pre c lude po ssib le o b je c tio ns a nd pre -a ddre ss a ny a mb ig uitie s c o nc e rning the string a nd a pplic a b le re q uire me nts. I n the e ve nt tha t the re is mo re tha n o ne re le va nt g o ve rnme nt o r pub lic a utho rity fo r the a pplie d-fo r g T L D string , the a pplic a nt must pro vide do c ume nta tio n o f suppo rt o r no n-o b je c tio n fro m a ll the re le va nt g o ve rnme nts

r pub lic a utho ritie s. I

t is a ntic ipa te d tha t this ma y a pply to the c a se o f a sub -na tio na l pla c e na me . I t is the a pplic a nt’ s re spo nsib ility to :

ide ntify whe the r its a pplie d-fo r g T

L D string fa lls into a ny o f the a b o ve c a te g o rie s; a nd to

8 See http://www.unesco.org/new/en/unesco/worldwide/. 9 See http://unstats.un.org/unsd/methods/m49/m49regin.htm.

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de te rmine the re le va nt g o ve rnme nt o r

g o ve rnme nts, o r the re le va nt pub lic a utho rity o r a utho ritie s. I n the c a se o f a n a pplic a tio n fo r a string ; a nd

ide ntify whic h re pre se nts a c o ntine nt o r UN re g io n,

e vide nc e le ve l o f g o ve rnme nt suppo rt, o r no n-

b je c tio n, will b e is re q uire d.

T he re q uire me nt to inc lude do c ume nta tio n o f suppo rt fo r c e rta in a pplic a tio ns do e s no t pre c lude o r e xe mpt a pplic a tio ns fro m a b e ing the sub je c t o f o b je c tio ns o n c o mmunity g ro unds (re fe r to sub se c tio n 3.1.1 o f Mo dule 3), unde r whic h a pplic a tio ns ma y b e re je c te d b a se d o n

b je c tio ns sho wing sub sta ntia l numb e r o f the re le va nt

g o ve rnme nts a nd/ o r pub lic a utho ritie s a sso c ia te d with the c o ntine nt o r the UN re g io no ppo sitio n fro m the ta rg e te d c o mmunity.

2.2.1.4.3 Documentation Requirements

T he e vide nc e do c ume nta tio n o f suppo rt o r no n-o b je c tio n sho uld inc lude a sig ne d le tte r fro m the re le va nt g o ve rnme nt o r pub lic a utho rity sho uld inc lude a sig ne d le tte r o f suppo rt o r no n-o b je c tio n fro m. Unde rsta nding tha t this will diffe r a c ro ss the re spe c tive jurisdic tio ns, the le tte r c o uld b e sig ne d b y the ministe r with the po rtfo lio re spo nsib le fo r do ma in na me a dministra tio n, I CT , fo re ig n a ffa irs, o r the Offic e o f the Prime Ministe r o r Pre side nt o f the re le va nt jurisdic tio n. I f the re a re re a so ns fo r do ub t a b o ut the ; o r a se nio r re pre se nta tive o f the a g e nc y o r de pa rtme nt re spo nsib le fo r do ma in na me a dministra tio n, I CT , fo re ig n a ffa irs, o r the Offic e o f the Prime Ministe r. T

a ssist the a pplic a nt in de te rmining who the re le va nt

g o ve rnme nt o r pub lic a utho rity ma y b e fo r a po te ntia l g e o g ra phic na me , the a pplic a nt ma y wish to c o nsult with the re le va nt Go ve rnme nta l Adviso ry Co mmitte e (GAC) re pre se nta tive .10 T he le tte r must c le a rly e xpre ss the g o ve rnme nt’ s o r pub lic a utho rity’ s suppo rt fo r o r no n-o b je c tio n to the a pplic a nt’ s a pplic a tio n a nd de mo nstra te the g o ve rnme nt’ s o r pub lic a utho rity’ s unde rsta nding o f the string b e ing re q ue ste d a nd inte nde d use . T he le tte r sho uld a lso de mo nstra te the g o ve rnme nt’ s o r pub lic a utho rity’ s unde rsta nding tha t the string is b e ing so ug ht thro ug h the g T L D a pplic a tio n pro c e ss a nd tha t the a pplic a nt is willing to a c c e pt the c o nditio ns unde r whic h the string will b e a va ila b le , i.e ., e ntry into a re g istry

10 See http://gac.icann.org/gac-members

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a g re e me nt with I CANN re q uiring c o mplia nc e with c o nse nsus po lic ie s a nd pa yme nt o f fe e s. (Se e Mo dule 5 fo r a disc ussio n o f the o b lig a tio ns o f a g T L D re g istry o pe ra to r.) A sa mple le tte r o f suppo rt is a va ila b le a s a n a tta c hme nt to this mo dule . I t is impo rta nt to no te tha t a g o ve rnme nt o r pub lic a utho rity is unde r no o b lig a tio n to pro vide do c ume nta tio n o f suppo rt

r no n-o b je c tio n in re spo nse to a re q ue st b y a n

a pplic a nt.11

2.2.1.4.4 Review Procedure for Geographic Names

A Ge o g ra phic Na me s Pa ne l (GNP) will de te rmine whe the r e a c h a pplie d-fo r g T L D string re pre se nts a g e o g ra phic na me , a nd ve rify the re le va nc e a nd a uthe ntic ity o f the suppo rting do c ume nta tio n whe re ne c e ssa ry. T he GNP will re vie w a ll a pplic a tio ns re c e ive d , no t o nly tho se whe re the a pplic a nt ha s no te d its a pplie d-fo r g T L D string a s a g e o g ra phic na me . F

r a ny a pplic a tio n whe re

the GNP de te rmine s tha t the a pplie d-fo r g T L D string is a c o untry o r te rrito ry na me (a s de fine d in this mo dule ), the a pplic a tio n will no t pa ss the Ge o g ra phic Na me s re vie w a nd will b e de nie d. No a dditio na l re vie ws will b e a va ila b le . F

r a ny a pplic a tio n whe re the GNP de te rmine s tha t the

a pplie d-fo r g T L D string is no t a g e o g ra phic na me re q uiring g o ve rnme nt suppo rt (a s de sc rib e d in this mo dule ), the a pplic a tio n will pa ss the Ge o g ra phic Na me s re vie w with no a dditio na l ste ps re q uire d. F

r a ny a pplic a tio n whe re the GNP de te rmine s tha t the

a pplie d-fo r g T L D string is a g e o g ra phic na me re q uiring g o ve rnme nt suppo rt, the GNP will c o nfirm tha t the a pplic a nt ha s pro vide d the re q uire d do c ume nta tio n fro m the re le va nt g o ve rnme nts o r pub lic a utho ritie s, a nd tha t the c o mmunic a tio n, I CANN will c o nsult with the fro m the g o ve rnme nt o r pub lic a utho rity is le g itima te a nd c o nta ins the re q uire d c o nte nt. I CANN ma y c o nfirm the a uthe ntic ity

f the c o mmunic a tio n b y c o nsulting with the re le va nt

diplo ma tic a utho ritie s o r me mb e rs o f I CANN’ s Go ve rnme nta l Adviso ry Co mmitte e fo r the g o ve rnme nt o r pub lic a utho rity c o nc e rne d o n the c o mpe te nt a utho rity a nd a ppro pria te po int o f c o nta c t withwithin the ir a dministra tio n fo r c o mmunic a tio ns.

11 It is also possible that a government may withdraw its support for an application at a later time, including after the new gTLD has

been delegated, if registry operator has deviated from the conditions of original support or non-objection.

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T he GNP ma y c o mmunic a te with the sig ning e ntity o f the le tte r must c le a rly e xpre ss the g o ve rnme nt’ s o r pub lic a utho rity’ s suppo rt o r no n-o b je c tio n fo r the a pplic a nt’ s a pplic a tio n a nd de mo nstra te the g o ve rnme nt’ s o r pub lic a utho rity’ sto c o nfirm the ir inte nt a nd the ir unde rsta nding o f the string b e ing re q ue ste d a nd wha t it will b e use d fo r. T he re q uire me nt to inc lude e vide nc e o f suppo rt fo r c e rta in a pplic a tio ns do e s no t pre c lude o r e xe mpt a pplic a tio ns fro m b e ing the sub je c t o f o b je c tio nste rms o n c o mmunity g ro unds (re fe r to se c tio n 3.1.1 o f Mo dule 3), unde r whic h a pplic a tio ns ma y b e re je c te d b a se d o n o b je c tio ns sho wing sub sta ntia l o ppo sitio n fro m the ta rg e te d c o mmunity.the suppo rt fo r a n a pplic a tio n is g ive n.

2.1.1.4.2 Review Procedure for Geographical Names

A Ge o g ra phic a l Na me s Pa ne l (GNP) will b e e sta b lishe d to e va lua te a pplic a tio ns a nd c o nfirm whe the r e a c h string re pre se nts a g e o g ra phic te rm, a nd to ve rify the a uthe ntic ity o f the suppo rting do c ume nta tio nI n c a se s whe re ne c e ssa ry. T he Ge o g ra phic Na me s Pa ne l ma y c o nsult with a dditio na l e xpe rts a s the y c o nside r a ppro pria te . T he ste ps I CANN a nd the Ge o g ra phic a l Na me s Pa ne l inte nd to fo llo w to e nsure c o mplia nc e with the se re q uire me nts a re de sc rib e d he re .

1. During the I

nitia l E va lua tio n pe rio d, I CANN e va lua te s e a c h a pplic a tio n fo r a g e o g ra phic a l na me to c o nfirm tha t the a n a pplic a nt ha s no t pro vide d a le tte r o f suppo rt o r no no b je c tio n fro m the re le va nt g o ve rnme nt.

2. I

CANN fo rwa rds a pplic a tio ns c o nside re d c o mple te to re q uire d do c ume nta tio n, the GNP fo r c o nfirma tio n tha t:

he string s a re a me a ning ful re pre se nta tio n o f a c o untry o r te rrito ry na me o r a sub na tio na l pla c e na me , a nd

he c o mmunic a tio n fro m the g o ve rnme nt o r pub lic a utho rity is le g itima te a nd c o nta ins the sug g e ste d c o nte nt.

3. T

he GNP a lso re vie ws a pplic a tio ns tha t a re no t se lf- ide ntifie d a s a g e o g ra phic a l na me to e nsure tha t the a pplie d-fo r string is no t a me a ning ful re pre se nta tio n o f a c o untry o r te rrito ry na me o r a sub -na tio na l pla c e na me .

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4. All a pplic a tio ns de te rmine d to b e g e o g ra phic a l b ut

witho ut ne c e ssa ry suppo rting do c ume nts will b e c o nside re d inc o mple te . T he a pplic a nt will b e c o nta c te d a nd no tifie d a ndo f the re q uire me nt, a nd g ive n a limite d time fra me to pro vide the do c ume nta tio n. I f the a pplic a nt is a b le to pro vide the do c ume nta tio n b e fo re the c lo se o f the I nitia l E va lua tio n pe rio d , a nd the do c ume nta tio n is fo und to me e t the re q uire me nts, the a pplic a nt will pa ss the Ge o g ra phic Na me s re vie w. I f no t, the a pplic a tio na pplic a nt will no t pa ss I nitia l E va lua tio n.

5. T

he GNP ma y c o nsultha ve a dditio na l e xpe rtise if unc e rta inty a rise s a b o uttime to o b ta in the na me re q uire d do c ume nta tio n; ho we ve r, if the a pplie d-fo r g T L D string is c la ime d to re pre se nt. T he re sults o fa pplic a nt ha s no t pro duc e d the e va lua tio n will b e pub lic ly po ste d o n I CANN’ s we b site re q uire d do c ume nta tio n b y the re q uire d da te (a t the c o nc lusio n o f the I nitia l E va lua tio n, a nd will a lso b e a va ila b le to a pplic a ntsle a st 90 da ys fro m the da te o f no tic e ), the a pplic a tio n will b e c o nside re d inc o mple te a nd will b e ine lig ib le fo r furthe r re vie w. T he a pplic a nt ma y re a pply in sub se q ue nt a pplic a tio n ro unds, if de sire d , sub je c t to the fe e s a nd re q uire me nts o f the spe c ific a pplic a tio n ro unds. I f the re is mo re tha n o ne a pplic a tio n fo r a string re pre se nting a c e rta in g e o g ra phic a l te rmg e o g ra phic na me a s de sc rib e d in this se c tio n, a nd the a pplic a tio ns a re c o nside re d c o mple te (tha t is, ha ve re q uisite g o ve rnme nt a ppro va ls),, the a pplic a tio ns will b e suspe nde d pe nding re so lutio n b y the a pplic a nts. I f the re is I f a n a pplic a tio n fo r a string re pre se nting a g e o g ra phic na me is in a c o nte ntio n between identical (or se t with a pplic a tio ns fo r simila r) applicants where one is string s tha t ha ve no t b e e n ide ntifie d a s a g e o g ra phic a l

namena me s, the string c o nte ntio n will b e se ttle d using the

string c o nte ntio n methodologypro c e dure s de sc rib e d in Mo dule 4.

2.12.2 Applicant Reviews

Co nc urre nt with the a pplie d-fo r g T L D string re vie ws de sc rib e d in sub se c tio n 2.12.1, I CANN will re vie w the a pplic a nt’ s te c hnic a l a nd o pe ra tio na l c a pa b ility, its fina nc ia l c a pa b ility, a nd its pro po se d re g istry se rvic e s. T ho se re vie ws a re de sc rib e d in g re a te r de ta il in the fo llo wing sub se c tio ns.

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2.1.2.1 Information Sought The questions provided for applicants in the 2.2.2.1 Technical/Operational Review

I n its a pplic a tio n fo rm a re a va ila b le a t http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld-dra ft- e va lua tio n-c rite ria -24o c t08-e n.pdf. Applic a nts a nswe r, the a pplic a nt will re spo nd to a se t o f q ue stio ns (se e q ue stio ns whic h c o ve r the fo llo wing thre e a re a s in re la tio n to the mse lve s: g e ne ra l info rma tio n, te c hnic a l a nd o pe ra tio na l c a pa b ility, a nd fina nc ia l c a pa b ility. Applic a nts sho uld b e a wa re tha t the a pplic a tio n ma te ria ls sub mitte d in the o nline a pplic a tio n syste m, a s we ll a s a ny e va lua tio n ma te ria ls a nd c o rre spo nde nc e , will b e pub lic ly po ste d o n I CANN’ s we b site . T he se c tio ns in the a pplic a tio n tha t a re ma rke d CONF I DE NT I AL will no t b e po ste d. Any se c tio ns o f the a pplic a tio n tha t I CANN ha s no t de sig na te d CONF I DE NT I AL will b e po ste d. T he a pplic a nt q ue stio ns c o ve r the fo llo wing thre e a re a s:

Ge ne r al Infor mation – T

he se q ue stio ns a re 24 – 44 in the Applic a tio n F

rm) inte nde d to g a the r info rma tio n a b o ut a n

a pplic a nt’ s le g a l ide ntity, c o nta c t info rma tio n, a nd a pplie d-fo r g T L D string . F a ilure to pro vide a ny o f this info rma tio n will re sult in a n a pplic a tio n b e ing c o nside re d inc o mple te . Unde r spe c ific a re a s o f q ue stio ns unde r this c a te g o ry a re : the ide ntific a tio n o f the a pplie d-fo r string ; se le c tio n o f T L D type ; a nd re q ue sts fo r c e rta in do c ume nts.

De monstr ation of T e c hnic al and Ope r ational Capability –

T he se q ue stio ns a re inte nde d to g a the r info rma tio n a b o ut a n the a pplic a nt’ s te c hnic a l c a pa b ilitie s a nd its pla ns fo r

pe ra tio n o f the pro po se d g T

L D. Applic a nts a re no t re q uire d to ha ve de plo ye d a n a c tua l g T L D re g istry to c o mple te the re q uire me nts fo r a suc c e ssful a pplic a tio n.pa ss the T e c hnic a l/ Ope ra tio na l re vie w. I t will b e suffic ie nt a t a pplic a tio n time ne c e ssa ry, ho we ve r, fo r a n a pplic a nt to de mo nstra te a c le a r unde rsta nding a nd a c c o mplishme nt o f so me g ro undwo rk to wa rd the ke y te c hnic a l a nd o pe ra tio na l a spe c ts o f running a g T L D re g istry. E a c h o pe ra tio n. Sub se q ue ntly, e a c h a pplic a nt tha t pa sse s the te c hnic a l e va lua tio n a nd a ll o the r ste ps will b e re q uire d , fo llo wing e xe c utio n o f a re g istry a g re e me nt, to c o mple te a pre -de le g a tio n te c hnic a l te st b e fo re prio r to de le g a tio n o f the a pplie d-fo rne w g T L

D. Re fe r to Mo dule 5,

T ra nsitio n to De le g a tio n, fo r a dditio na l info rma tio n.

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De monstr ation of 2.2.2.2 Financial Capability – T

he se

Review

I n its a pplic a tio n, the a pplic a nt will re spo nd to a se t o f q ue stio ns a re (se e q ue stio ns 45-50 in the Applic a tio n F

inte nde d to g a the r info rma tio n a b o ut a nthe a pplic a nt’ s fina nc ia l c a pa b ilitie s to o pe ra te fo r o pe ra tio n o f a g T L D re g istry b usine ss a nd its fina nc ia l pla nning in pre pa ra tio n fo r lo ng -te rm o pe ra tio nsta b ility o f a the ne w g T L D. Be c a use diffe re nt re g istry type s a nd purpo se s ma y justify diffe re nt re spo nse s to individua l q ue stio ns, e va lua to rs will pa y pa rtic ula r a tte ntio n to the c o nsiste nc y o f a n a pplic a tio n a c ro ss a ll c rite ria . F

r e xa mple , a n a pplic a nt’ s

sc a ling pla ns ide ntifying syste m ha rdwa re to e nsure its c a pa c ity to o pe ra te a t a pa rtic ula r vo lume le ve l sho uld b e c o nsiste nt with its fina nc ia l pla ns to se c ure the ne c e ssa ry e q uipme nt. T ha t is, the e va lua tio n c rite ria sc a le with the a pplic a nt pla ns to pro vide fle xib ility.

2.1.2.2.3 Evaluation Methodology

I nitia l E va lua tio nsDe dic a te d te c hnic a l a nd fina nc ia l e va lua tio n pa ne ls will c o nduc t the te c hnic a l/ o pe ra tio na l a nd fina nc ia l re vie ws, a c c o rding to the e sta b lishe d c rite ria a nd sc o ring me tho do lo g y inc lude d a s a n a tta c hme nt to this mo dule . T he se re vie ws a re c o nduc te d o n the b a sis o f the info rma tio n e a c h a pplic a nt ma ke s a va ila b le to I CANN in its re spo nse to the q ue stio ns in the a pplic a tio n fo rm. I CANN a nd its e va lua to rs Applic a tio n F

T he e va lua to rs ma y re q ue st c la rific a tio n o r a dditio na l info rma tio n during the I nitia l E va lua tio n pe rio d. F

r e a c h

a pplic a tio n, c la rifying q ue stio ns will b e c o nso lida te d a nd se nt to the a pplic a nt fro m e a c h o f the pa ne ls. T he a pplic a nt will thus ha ve a n o ppo rtunity to c la rify o r supple me nt the a pplic a tio n in tho se a re a s whe re a re q ue st is ma de b y the e va lua to rs. T he se c o mmunic a tio ns will

c c ur via the o nline a pplic a tio n syste m, ra the r tha n b y

pho ne , le tte r, e ma il, o r o the r me a ns. Unle ss o the rwise no te d, suc h c o mmunic a tio ns will inc lude a 3-we e k de a dline fo r the a pplic a nt to re spo nd. Any supple me nta l info rma tio n pro vide d b y the a pplic a nt will b e c o me pa rt o f the a pplic a tio n. I t is the a pplic a nt’ s re spo nsib ility to e nsure tha t the q ue stio ns ha ve b e e n fully a nswe re d a nd the re q uire d do c ume nta tio n is a tta c he d. E va lua to rs a re e ntitle d , b ut no t o b lig e d , to re q ue st furthe r info rma tio n o r e vide nc e fro m a n a pplic a nt, a nd a re no t o b lig e d to ta ke into a c c o unt a ny info rma tio n o r e vide nc e tha t is no t ma de

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a va ila b le in the a pplic a tio n a nd sub mitte d b y the due da te , unle ss e xplic itly re q ue ste d b y the e va lua to rs. E va lua to rs a re e ntitle d, b ut no t o b lig e d , to re q ue st furthe r info rma tio n o r e vide nc e fro m a n a pplic a nt, a nd a ny suc h re q ue st will b e ma de so le ly thro ug h T AS, ra the r tha n b y dire c t me a ns suc h a s pho ne , le tte r, e ma il, o r o the r simila r me a ns. Only o ne e xc ha ng e o f info rma tio n b e twe e n the a pplic a nt a nd the e va lua to rs ma y ta ke pla c e within the I nitia l E va lua tio n pe rio d. Be c a use diffe re nt re g istry type s a nd purpo se s ma y justify diffe re nt re spo nse s to individua l q ue stio ns, e va lua to rs will pa y pa rtic ula r a tte ntio n to the c o nsiste nc y o f a n a pplic a tio n a c ro ss a ll c rite ria . F

r e xa mple , a n a pplic a nt’ s

sc a ling pla ns no ting ha rdwa re to e nsure its c a pa c ity to

pe ra te a t a pa rtic ula r vo lume le ve l sho uld b e c o nsiste nt

with its fina nc ia l pla ns to se c ure the ne c e ssa ry e q uipme nt.

2.12.3 Registry Services Review

Co nc urre nt with the string o the r re vie ws de sc rib e d in sub se c tio n 2.1.1tha t o c c ur during the I nitia l E va lua tio n pe rio d , I CANN will re vie w the a pplic a nt’ s pro po se d re g istry se rvic e s fo r a ny po ssib le a dve rse impa c t o n se c urity o r sta b ility. T he a pplic a nt will b e re q uire d to pro vide a list o f pro po se d re g istry se rvic e s in its a pplic a tio n.

2.2.3.1 Definitions

Re gistr y se r vic e s a re de fine d a s: (1)

1. o pe ra tio ns o f the re g istry c ritic a l to the fo llo wing

ta sks: the re c e ipt o f da ta fro m re g istra rs c o nc e rning re g istra tio ns o f do ma in na me s a nd na me se rve rs; pro visio n to re g istra rs o f sta tus info rma tio n re la ting to the zo ne se rve rs fo r the T L D; disse mina tio n o f T L D zo ne file s; o pe ra tio n o f the re g istry zo ne se rve rs; a nd disse mina tio n o f c o nta c t a nd o the r info rma tio n c o nc e rning do ma in na me se rve r re g istra tio ns in the T L D a s re q uire d b y the re g istry a g re e me nt; (2)

2. o the r pro duc ts o r se rvic e s tha t the re g istry o pe ra to r

is re q uire d to pro vide b e c a use o f the e sta b lishme nt

f a c o nse nsus po lic y; a nd (3)
3. a ny o the r pro duc ts o r se rvic e s tha t o nly a re g istry
pe ra to r is c a pa b le o f pro viding , b y re a so n o f its

de sig na tio n a s the re g istry o pe ra to r. A full de finitio n o fPro po se d re g istry se rvic e c a n b e fo und a t http:/ / www.ic a nn.o rg / e n/ re g istrie s/ rse p/ rse p.html a nd in the dra ft re g istry a g re e me nt a t

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http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld-dra ft- a g re e me nt-24o c t08-e n.pdf. Re g istry se rvic e s will b e e xa mine d to de te rmine if the pro po se d re g istry se rvic e the y mig ht ra ise sig nific a nt sta b ility o r se c urity issue s. E xa mple s o f se rvic e s sub mitte d to the re g istry se rvic e s pro c e ss pro po se d b y e sta b lishe de xisting re g istrie s c a n b e fo und a t http:/ / www.ic a nn.o rg / e n/ re g istrie s/ rse p/ . I n mo st c a se s, the se pro po se d se rvic e s suc c e ssfully pa ss this inq uiry. T he re g istra tio n o f do ma in na me s, fo r e xa mple , is a re g istry se rvic e . L ists o f re g istryRe g istry se rvic e s c urre ntly pro vide d b y g T L D re g istrie s c a n b e fo und in re g istry a g re e me nt a ppe ndic e s. I n g e ne ra l c a se s, the se se rvic e s suc c e ssfully pa ss this inq uiry. Se e http:/ / www.ic a nn.o rg / e n/ re g istrie s/ a g re e me nts.htm. Re vie wA full de finitio n o f a ll a pplic a nts’ pro po se d re g istry se rvic e s will o c c ur during the I nitia l E va lua tio n.

c e dur

e – I

CANN’ s first re vie w willc a n b e a pre limina ry de te rmina tio n o f whe the r a pro po se d re g istry se rvic e re q uire s furthe r c o nside ra tio n b a se d o n whe the r the re g istry se rvic e ma y ra ise sig nific a nt se c urity o r sta b ility issue s.fo und a t http:/ / www.ic a nn.o rg / e n/ re g istrie s/ rse p/ rse p.html. I f I CANN’ s pre limina ry de te rmina tio n re ve a ls tha t the re ma y b e sig nific a nt se c urity o r sta b ility issue s surro unding the pro po se d se rvic e , the a pplic a tio n will b e fla g g e d fo r a n e xte nde d re vie w b y the RST E P (se e http:/ / www.ic a nn.o rg / e n/ re g istrie s/ rse p/ rste p.html). T his re vie w will o c c ur during the E xte nde d E va lua tio n pha se (re fe r to se c tio n 2.2). De finitio ns fo r se c urity a nd sta b ility a pplie d in the re g istry se rvic e s re vie w a re : F

r purpo se s o f this re vie w, se c urity a nd sta b ility a re

de fine d a s fo llo ws:

Se c ur ity – a n e ffe c t o n se c urity b y the pro po se d re g istry

se rvic e me a ns (1) the una utho rize d disc lo sure , a lte ra tio n, inse rtio n o r de struc tio n o f re g istry da ta , o r (2) the una utho rize d a c c e ss to o r disc lo sure o f info rma tio n o r re so urc e s o n the I nte rne t b y syste ms o pe ra ting in a c c o rda nc e with a ll a pplic a b le sta nda rds.

Stability – a n e ffe c t o n sta b ility me a ns tha t the pro po se d

re g istry se rvic e (1) do e s no t c o mply with a pplic a b le re le va nt sta nda rds tha t a re a utho rita tive a nd pub lishe d b y a we ll-e sta b lishe d, re c o g nize d, a nd a utho rita tive sta nda rds b o dy, suc h a s re le va nt sta nda rds-tra c k o r b e st c urre nt pra c tic e RF Cs spo nso re d b y the I E T F , o r (2) c re a te s a

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c o nditio n tha t a dve rse ly a ffe c ts the thro ug hput, re spo nse time , c o nsiste nc y, o r c o he re nc e o f re spo nse s to I nte rne t se rve rs o r e nd syste ms, o pe ra ting in a c c o rda nc e with a pplic a b le re le va nt sta nda rds tha t a re a utho rita tive a nd pub lishe d b y a we ll-e sta b lishe d, re c o g nize d a nd a utho rita tive sta nda rds b o dy, suc h a s re le va nt sta nda rds- tra c k o r b e st c urre nt pra c tic e RF Cs a nd re lying o n re g istry

pe ra to r’ s de le g a tio n info rma tio n o r pro visio ning se rvic e s.

2.12.2.3.2 Customary Services

T he fo llo wing re g istry se rvic e s a re c usto ma ry se rvic e s

ffe re d b y a re g istry o pe ra to r:
Re c e ipt o f da ta fro m re g istra rs c o nc e rning

re g istra tio n o f do ma in na me s a nd na me se rve rs

Disse mina tio n o f T

L D zo ne file s

Disse mina tio n o f c o nta c t o r o the r info rma tio n

c o nc e rning do ma in na me re g istra tio ns

DNS Se c urity E

xte nsio ns T he a pplic a nt must de sc rib e whe the r a ny o f the se re g istry se rvic e s a re inte nde d to b e o ffe re d in a ma nne r uniq ue to the T L D. Any a dditio na l re g istry se rvic e s tha t a re uniq ue to the pro po se d g T L D re g istry sho uld b e de sc rib e d in de ta il. Dire c tio ns fo r de sc rib ing the re g istry se rvic e s a re pro vide d a t http:/ / www.ic a nn.o rg / e n/ re g istrie s/ rse p/ rrs_sa mple .html.

2.2.3.3 TLD Zone Contents

I CANN re c e ive s a numb e r o f inq uirie s a b o ut use o f va rio us re c o rd type s in a re g istry zo ne , a s e ntitie s c o nte mpla te diffe re nt b usine ss a nd te c hnic a l mo de ls. Pe rmissib le zo ne c o nte nts fo r a T L D zo ne a re :

Ape x SOA re c o rd.
Ape x NS re c o rds a nd in-b a iliwic k g lue fo r the T

L D’ s DNS se rve rs.

NS re c o rds a nd in-b a iliwic k g lue fo r DNS se rve rs o f

re g iste re d na me s in the T L D.

DS re c o rds fo r re g iste re d na me s in the T

L D.

Re c o rds a sso c ia te d with sig ning the T

L D zo ne (i.e ., RRSI G, DNSK E Y, NSE C, a nd NSE C3). An a pplic a nt wishing to pla c e a ny o the r re c o rd type s into its T L D zo ne sho uld de sc rib e in de ta il its pro po sa l in the

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re g istry se rvic e s se c tio n o f the a pplic a tio n. T his will b e e va lua te d a nd c o uld re sult in a n e xte nde d e va lua tio n to de te rmine whe the r the se rvic e wo uld c re a te a risk o f a me a ning ful a dve rse impa c t o n se c urity o r sta b ility o f the

DNS. Applic a nts sho uld b e a wa re tha t a se rvic e b a se d o n

use o f le ss-c o mmo n DNS re so urc e re c o rds in the T L D zo ne , e ve n if a ppro ve d in the re g istry se rvic e s re vie w, mig ht no t wo rk a s inte nde d fo r a ll use rs due to la c k o f a pplic a tio n suppo rt.

2.2.3.4 Methodology

Re vie w o f the a pplic a nt’ s pro po se d re g istry se rvic e s will inc lude a pre limina ry de te rmina tio n o f whe the r a ny o f the pro po se d re g istry se rvic e s c o uld ra ise sig nific a nt se c urity o r sta b ility issue s a nd re q uire a dditio na l c o nside ra tio n. I f the pre limina ry de te rmina tio n re ve a ls tha t the re ma y b e sig nific a nt se c urity o r sta b ility issue s (a s de fine d in sub se c tio n 2.2.3.1) surro unding a pro po se d se rvic e , the a pplic a tio n will b e fla g g e d fo r a n e xte nde d re vie w b y the Re g istry Se rvic e s T e c hnic a l E va lua tio n Pa ne l (RST E P), se e http:/ / www.ic a nn.o rg / e n/ re g istrie s/ rse p/ rste p.html). T his re vie w, if a p plic a b le , will o c c ur during the E xte nde d E va lua tio n pe rio d (re fe r to Se c tio n 2.3). I n the e ve nt tha t a n a pplic a tio n is fla g g e d fo r e xte nde d re vie w o f o ne o r mo re re g istry se rvic e s, a n a dditio na l fe e to c o ve r the c o st o f the e xte nde d re vie w will b e due fro m the a pplic a nt. Applic a nts will b e a dvise d o f a ny a dditio na l fe e s due , whic h must b e re c e ive d b e fo re the a dditio na l re vie w b e g ins.

2.2.4 Applicant’s Withdrawal of an Application

An a pplic a nt who do e s no t pa ss the I nitia l E va lua tio n ma y b e pe rmitte d to withdra w its a pplic a tio n a t this sta g e fo ra nd re q ue st a pa rtia l re fund (re fe r to sub se c tio n 1.5.5 o f Mo dule 1, I ntro duc tio n to g T L D Applic a tio n Pro c e ss).

2.23 Extended Evaluation

An a pplic a nt ma y re q ue st a n E xte nde d E va lua tio n if the a pplic a tio n ha s fa ile d to pa ss the I nitia l E va lua tio n e le me nts c o nc e rning :

Ge o g ra phic na me s (re fe r to sub se c tio n 2.2.1.4) –

T he re is no a dditio na l fe e fo r a n e xte nde d e va lua tio n in this insta nc e .

De mo nstra tio n o f te c hnic a l a nd o pe ra tio na l

c a pa b ility (re fe r to pa ra g ra phsub se c tio n 2.12.2.1).

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T he re is no a dditio na l fe e fo r a n e xte nde d e va lua tio n in this insta nc e .

De mo nstra tio n o f fina nc ia l c a pa b ility (re fe r to

pa ra g ra ph 2.1.2.1).sub se c tio n 2.2.2.2). T he re is no a dditio na l fe e fo r a n e xte nde d e va lua tio n in this insta nc e . An E xte nde d E va lua tio n ma y a lso re sult if I CANN ide ntifie s a ne e d fo r furthe r re vie w o n the fo llo wing e le me nts:

DNS sta b ility (re fe r to pa ra g ra ph 2.1.1.3).
Re g istry se rvic e s (re fe r to sub se c tio n 2.12.3). No te

tha t this inve stig a tio n inc urs a n a dditio na l fe e (the Re g istry Se rvic e s Re vie w F e e ) if the a pplic a nt wishe s to pro c e e d. Se e Se c tio n 1.5 o f Mo dule 1 fo r fe e a nd pa yme nt info rma tio n. An E xte nde d E va lua tio n do e s no t imply a ny c ha ng e o f the e va lua tio n c rite ria . T he sa me c rite ria use d in the I nitia l E va lua tio n will b e use d to re vie w the a pplic a tio n in lig ht o f c la rific a tio ns pro vide d b y the a pplic a nt. F ro m the time a n a pplic a nt re c e ive s no tic e o f fa ilure to pa ss the I nitia l E va lua tio n, it ha se lig ib le a pplic a nts will ha ve 15 c a le nda r da ys to sub mit to I CANN the No tic e o f Re q ue st fo r E xte nde d E va lua tio n thro ug h the o nline a pplic a tio n inte rfa c e . I f the a pplic a nt do e s no t e xplic itly re q ue st the E xte nde d E va lua tio n, (a nd pa y a nya n a dditio na l fe e s a s a pplic a b le ,fe e in the c a se o f a Re g istry Se rvic e s inq uiry) the a pplic a tio n will no t pro c e e d.

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2.23.1 Geographic Names Extended Evaluation

I n the c a se o f a n a pplic a tio n tha t ha s b e e n ide ntifie d a s a g e o g ra phic na me re q uiring g o ve rnme nt suppo rt, b ut whe re the a pplic a nt ha s no t pro vide d e vide nc e o f suppo rt

r no n-o b je c tio n fro m a ll re le va nt g o ve rnme nts o r pub lic

a utho ritie s b y the e nd o f the I nitia l E va lua tio n pe rio d , the a pplic a nt ha s a dditio na l time in the E xte nde d E va lua tio n pe rio d to o b ta in a nd sub mit this do c ume nta tio n. I f the a pplic a nt sub mits the do c ume nta tio n to the Ge o g ra phic Na me s Pa ne l b y the re q uire d da te , the GNP will pe rfo rm its re vie w o f the do c ume nta tio n a s de ta ile d in se c tio n 2.2.1.4. I f the a pplic a nt ha s no t pro vide d the do c ume nta tio n b y the re q uire d da te (a t le a st 90 da ys fro m the da te o f the no tic e ), the a pplic a tio n will no t pa ss the E xte nde d E va lua tio n, a nd no furthe r re vie ws a re a va ila b le .

2.3.2 Technical and /Operational or Financial Extended Evaluation

T his sub se c tio nT he fo llo wing a pplie s to a n E xte nde d E va lua tio n o f a n a pplic a nt’ s te c hnic a l a nd o pe ra tio na l c a pa b ility o r fina nc ia l c a pa b ility, a s de sc rib e d in pa ra g ra phsub se c tio n 2.1.2.1. 2. An a pplic a nt who ha s re q ue ste d E xte nde d E va lua tio n will a g a in a c c e ss the o nline a pplic a tio n syste m a nd c la rify its a nswe rs to tho se q ue stio ns o r se c tio ns o n whic h it re c e ive d a no n-pa ssing sc o re . T he a nswe rs sho uld b e re spo nsive to the e va lua to r re po rt tha t indic a te s the re a so ns fo r fa ilure . Applic a nts ma y no t use the E xte nde d E va lua tio n pe rio d to sub stitute po rtio ns o f ne w info rma tio n fo r the info rma tio n sub mitte d in the ir o rig ina l a pplic a tio ns, i.e ., to ma te ria lly c ha ng e the a pplic a tio n. An a pplic a nt pa rtic ipa ting in a n E xte nde d E va lua tio n o n the T e c hnic a l / Ope ra tio na l o r F ina nc ia l re vie ws will ha ve the o ptio n to ha ve its a pplic a tio n re vie we d b y the sa me e va lua tio n pa ne lists who pe rfo rme d the re vie w during the I nitia l E va lua tio n pe rio d , o r to ha ve a diffe re nt se t o f pa ne lists pe rfo rm the re vie w during E xte nde d E va lua tio n. T he E xte nde d E va lua tio n a llo ws o ne a n a dditio na l ro unde xc ha ng e o f inq uiry a nd a nswe rinfo rma tio n b e twe e n the e va lua to rs a nd the a pplic a nt to furthe r c la rify info rma tio n c o nta ine d in the a p plic a tio n. T his supple me nta l info rma tio n will b e c o me pa rt o f the a pplic a tio n. Applic a nts ma y no t c ha ng e the info rma tio n sub mitte d in the ir o rig ina l a pplic a tio ns. T hro ug h the o nline syste m, the e va lua to rs will pro vide the a pplic a nt a se t o f q ue stio ns de sc rib ing a ny de fic ie nc ie s in the a pplic a tio n a nd re q ue st c la rific a tio n.

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re c o rd. Suc h c o mmunic a tio ns will inc lude a de a dline fo r the a pplic a nt to re spo nd. T he sa me pa ne l tha t re vie we d a n a pplic a tio n during I nitia l E va lua tio n will c o nduc t the E xte nde d E va lua tio n, using the sa me c rite ria a s o utline d a t http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld-dra ft- e va lua tio n-c rite ria -24o c t08-e n.pdf, to de te rmine whe the r the a pplic a tio n, no w tha t c e rta in info rma tio n ha s b e e n c la rifie d , me e ts the c rite ria . I CANN will no tify a pplic a nts a t the e nd o f the E xte nde d E va lua tio n pe rio d a s to whe the r the y ha ve pa sse d. I f a n a pplic a nta pplic a tio n pa sse s E xte nde d E va lua tio n, its a pplic a tio n it c o ntinue s to the ne xt sta g e in the pro c e ss. I f a n a pplic a nta pplic a tio n do e s no t pa ss E xte nde d E va lua tio n, the a pplic a tio nit will pro c e e d no furthe r. No furthe r re vie ws a re a va ila b le .

2.2.2 String Stability Extended Evaluation

T his se c tio n a pplie s to a n E xte nde d E va lua tio n o f DNS se c urity o r sta b ility issue s with a n a pplie d-fo r g T L D string , a s de sc rib e d in pa ra g ra ph 2.1.1.3. I f the e va lua to rs de te rmine tha t a string po se s sta b ility issue s tha t re q uire furthe r inve stig a tio n, the a pplic a nt must e ithe r c o nfirm tha t it inte nds to mo ve fo rwa rd with the a pplic a tio n pro c e ss o r withdra w its a pplic a tio n. I f a n a pplic a tio n is sub je c t to suc h a n E xte nde d E va lua tio n, a n inde pe nde nt 3-me mb e r pa ne l will b e fo rme d to re vie w the se c urity o r sta b ility issue s ide ntifie d during the I nitia l E va lua tio n. T he pa ne l will re vie w the string a nd de te rmine whe the r the string c o mplie s with re le va nt sta nda rds o r c re a te s a c o nditio n tha t a dve rse ly a ffe c ts the thro ug hput, re spo nse time , c o nsiste nc y, o r c o he re nc e o f re spo nse s to I nte rne t se rve rs o r e nd syste ms, a nd will c o mmunic a te its finding s to I CANN a nd to the a pplic a nt. I f the pa ne l de te rmine s tha t the string do e s no t c o mply with re le va nt sta nda rds o r c re a te s a c o nditio n tha t a dve rse ly a ffe c ts the thro ug hput, re spo nse time , c o nsiste nc y, o r c o he re nc e o f re spo nse s to I nte rne t se rve rs

r e nd syste ms, the a pplic a tio n c a nno t pro c e e d.

2.23.3 Registry Services Extended Evaluation

T his se c tio n a pplie s to a n E xte nde d E va lua tio n o f Re g istry Se rvic e sre g istry se rvic e s, a s de sc rib e d in sub se c tio n 2.12.3.

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I f a pro po se d re g istry se rvic e ha s b e e n re fe rre d to the Re g istry Se rvic e s T e c hnic a l E va lua tio n Pa ne l (RST E P) fo r a n e xte nde d re vie w, the RST E P will fo rm a re vie w te a m o f me mb e rs with the a ppro pria te q ua lific a tio ns. T he re vie w te a m will g e ne ra lly c o nsist o f 3thre e me mb e rs, de pe nding o n the c o mple xity o f the re g istry se rvic e pro po se d. I n a 3-me mb e r pa ne l, the re vie w c o uld b e c o nduc te d within 30 to 45 da ys. I n c a se s whe re a 5- me mb e r pa ne l is ne e de d , this will b e ide ntifie d b e fo re the e xte nde d e va lua tio n sta rts. I n a 5-me mb e r pa ne l, the re vie w c o uld b e c o nduc te d in 45 da ys o r fe we r. T he c o st o f a n RST E P re vie w will b e c o ve re d b y the a pplic a nt thro ug h pa yme nt o f the Re g istry Se rvic e s Re vie w F e e . Re fe r to pa yme nt pro c e dure s in se c tio n 1.5 o f Mo dule

1. T

he RST E P te a m re vie w will no t c o mme nc e until pa yme nt ha s b e e n re c e ive d. I f the RST E P finds tha t o ne o r mo re o f the a pplic a nt’ s pro po se d re g istry se rvic e s ma y b e intro duc e d witho ut risk

f a me a ning ful a dve rse e ffe c t o n se c urity o r sta b ility,

the se se rvic e s ma ywill b e inc lude d in the a pplic a nt’ s c o ntra c t with I CANN. I f the RST E P finds tha t the pro po se d se rvic e wo uld c re a te a risk o f a me a ning ful a dve rse e ffe c t o n se c urity o r sta b ility, the a pplic a nt ma y e le c t to pro c e e d with its a pplic a tio n witho ut the pro po se d se rvic e , o r withdra w its a pplic a tio n fo r the g T L

D. I

n this insta nc e , a n a pplic a nt ha s 15 c a le nda r da ys to no tify I CANN o f its inte nt to pro c e e d with the a pplic a tio n. I f a n a pplic a nt do e s no t e xplic itly pro vide suc h no tic e within this time fra me , the a pplic a tio n will pro c e e d no furthe r.

2.3 Probity and Conflicts4 Parties Involved in Evaluation A number of Interest

I CANN sta ff a nd b y va rio us inde pe nde nt se rvic e pro vide rs will re vie w a ll a pplic a tio ns during Initial E

valuation a nd E xte nde d E

valuation. During this e ntire e xpe rts a nd g ro ups

pla y a pa rt in pe rfo rming the va rio us re vie ws in the e va lua tio n pro c e ss, a pplic a nts must no t a ppro a c h, o r ha ve a ny o the r pe rso n o r e ntity a ppro a c h o n . A b rie f de sc riptio n

f the va rio us pa ne ls, the ir b e ha lf, a ny I

CANN sta ff me mb e r, a ny I CANN Bo a rd me mb e r, o r a ny pe rso n a sso c ia te d with the e va lua tio n pro c e ssro le s, a nd the c irc umsta nc e s unde r whic h the y wo rk is inc lude d in this se c tio n.

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2.4.1 Panels and Roles

T he Str

ing Similar ity Pane l will a sse ss whe the r a pro po se d

g T L D string c re a te s a pro b a b ility o f use r c o nfusio n due to simila rity with a ny re se rve d na me , a ny e xisting T L D, a ny re q ue ste d I DN c c T L D, o r a ny ne w g T L D string a pplie d fo r in the c urre nt a pplic a tio n ro und. T his o c c urs during the String Simila rity re vie w in I nitia l E va lua tio n. T he pa ne l ma y a lso re vie w I DN ta b le s sub mitte d b y a pplic a nts a s pa rt o f its wo rk. T he DNS Stability Pane l will re vie w e a c h a pplie d-fo r string to de te rmine whe the r the pro po se d string mig ht a dve rse ly a ffe c t the se c urity o r sta b ility o f the DNS. T his o c c urs during the DNS Sta b ility String re vie w in I nitia l E va lua tio n. T he Ge ogr

aphic Name s Pane l will re vie w e a c h a pplic a tio n

to de te rmine whe the r the a pplie d-fo r g T L D re pre se nts a g e o g ra phic na me , a s de fine d in this g uide b o o k. I n the e ve nt tha t the string re pre se nts a g e o g ra phic na me a nd re q uire s g o ve rnme nt suppo rt, the pa ne l will e nsure tha t the re q uire d do c ume nta tio n is pro vide d with the a pplic a tio n a nd ve rify tha t the do c ume nta tio n is fro m the re le va nt g o ve rnme nts o r pub lic a utho ritie s a nd is a uthe ntic . T he T

e c hnic al E valuation Pane l will re vie w the te c hnic a l

c o mpo ne nts o f e a c h a pplic a tio n a g a inst the c rite ria in the Applic a nt Guide b o o k, a lo ng with pro po se d re g istry

pe ra tio ns, in o rde r to de te rmine whe the r the a pplic a nt is

te c hnic a lly a nd o pe ra tio na lly c a pa b le o f o pe ra ting a g T L D re g istry a s pro po se d in the a pplic a tio n. T his o c c urs during the T e c hnic a l/ Ope ra tio na l re vie ws in I nitia l E va lua tio n, a nd ma y a lso o c c ur in E xte nde d E va lua tio n if e le c te d b y the a pplic a nt. T he F

inanc ial E valuation Pane l will re vie w e a c h a pplic a tio n

a g a inst the re le va nt b usine ss, fina nc ia l a nd o rg a niza tio na l c rite ria c o nta ine d in the Applic a nt Guide b o o k, to de te rmine whe the r the a pplic a nt is fina nc ia lly c a pa b le o f ma inta ining a g T L D re g istry a s pro po se d in the a pplic a tio n. T his o c c urs during the F ina nc ia l re vie w in I nitia l E va lua tio n, a nd ma y a lso o c c ur in E xte nde d E va lua tio n if e le c te d b y the a pplic a nt. T he R

e gistr y Se r vic e s T e c hnic al E valuation Pane l (RST E P) will

re vie w the pro po se d re g istry se rvic e s in the a pplic a tio n to de te rmine if a ny re g istry se rvic e s po se a risk o f a me a ning ful a dve rse impa c t o n se c urity o r sta b ility. T his

c c urs, if a p plic a b le , during the E

xte nde d E va lua tio n pe rio d.

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Me mb e rs o f a ll pa ne ls a re re q uire d to a b ide b y the e sta b lishe d Co de o f Co nduc t a nd Co nflic t o f I nte re st g uide line s inc lude d in this mo dule .

2.4.2 Panel Selection Process

I CANN is in the pro c e ss o f se le c ting q ua lifie d third-pa rty pro vide rs to pe rfo rm the va rio us re vie ws.12 I n a dditio n to the spe c ific sub je c t ma tte r e xpe rtise re q uire d fo r e a c h pa ne l, spe c ifie d q ua lific a tio ns a re re q uire d, inc luding a ny e va lua to rs, e xpe rts, e xa mine rs, o r re vie we rs re ta ine d:

he pro vide r must b e a b le to c o nve ne – o r ha ve the c a pa c ity to c o nve ne - g lo b a lly dive rse pa ne ls a nd b e a b le to e va lua te a pplic a tio ns fro m a ll re g io ns o f the wo rld, inc luding a pplic a tio ns fo r I DN g T L Ds.

he pro vide r sho uld b e fa milia r with the I E T F I DNA sta nda rds, Unic o de sta nda rds, re le va nt RF Cs a nd the te rmino lo g y a sso c ia te d with I DNs.

he pro vide r must b e a b le to sc a le q uic kly to me e t the de ma nds o f the e va lua tio n o f a n unkno wn numb e r o f a pplic a tio ns. At pre se nt it is no t kno wn ho w ma ny a pplic a tio ns will b e re c e ive d, ho w c o mple x the y will b e , a nd whe the r the y will b e pre do mina ntly fo r ASCI I

r no n-ASCI

I g T L Ds.

he pro vide r must b e a b le to e va lua te the a pplic a tio ns within the re q uire d time fra me s o f I nitia l a nd E xte nde d E va lua tio n. T he pro vide rs will b e fo rma lly e ng a g e d a nd a nno unc e d o n I CANN’ s we b site prio r to the o pe ning o f the Applic a tio n Sub missio n pe rio d.

2.4.3 Code of Conduct Guidelines for Panelists

T he purpo se o f the Ne w g T L D Pro g ra m (“Pro g ra m”) Co de

f Co nduc t (“Co de ”) is to pre ve nt re a l a nd a ppa re nt

c o nflic ts o f inte re st a nd une thic a l b e ha vio r b y a ny E va lua tio n Pa ne list (“Pa ne list”). Pa ne lists sha ll c o nduc t the mse lve s a s tho ug htful, c o mpe te nt, we ll pre pa re d , a nd impa rtia l pro fe ssio na ls thro ug ho ut the a pplic a tio n pro c e ss. Pa ne lists a re e xpe c te d to c o mply with e q uity a nd hig h e thic a l sta nda rds while a ssuring the I nte rne t c o mmunity, its c o nstitue nts, a nd the

12 See http://icann.org/en/topics/new-gtlds/open-tenders-eoi-en.htm.

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pub lic o f o b je c tivity, inte g rity, c o nfid e ntia lity, a nd c re dib ility. Une thic a l a c tio ns, o r e ve n the a ppe a ra nc e o f c o mpro mise , a re no t a c c e pta b le . Pa ne lists a re e xpe c te d to b e g uide d b y the fo llo wing princ iple s in c a rrying o ut the ir re spe c tive re spo nsib ilitie s. T his Co de is inte nde d to summa rize the princ iple s a nd no thing in this Co de sho uld b e c o nside re d a s limiting dutie s, o b lig a tio ns o r le g a l re q uire me nts with whic h Pa ne lists must c o mply.

Bias -- Pa ne lists sha ll:

no t a dva nc e pe rso na l a g e nda s o r no n-I

CANN a ppro ve d a g e nda s in the e va lua tio n o f a pplic a tio ns;

e xa mine fa c ts a s the y e xist a nd no t b e influe nc e d

b y pa st re puta tio n, me dia a c c o unts, o r unve rifie d sta te me nts a b o ut the a pplic a tio ns b e ing e va lua te d;

e xc lude the mse lve s fro m pa rtic ipa ting in the

e va lua tio n o f a n a pplic a tio n if, to the ir kno wle dg e , the re is so me pre dispo sing fa c to r tha t c o uld pre judic e the m with re spe c t to suc h e va lua tio n; a nd

e xc lude the mse lve s fro m e va lua tio n a c tivitie s if the y

a re philo so phic a lly o ppo se d to o r a re o n re c o rd a s ha ving ma de g e ne ric c ritic ism a b o ut a spe c ific type o f a pplic a nt o r a pplic a tio n.

Compe nsation/ Gifts -- Pa ne lists sha ll no t re q ue st o r a c c e pt

a ny c o mpe nsa tio n wha tso e ve r o r a ny g ifts o f sub sta nc e fro m the Applic a nt b e ing re vie we d o r a nyo ne a ffilia te d with the Applic a nt. (Gifts o f sub sta nc e wo uld inc lude a ny g ift g re a te r tha n USD 25 in va lue ). I f the g iving o f sma ll to ke ns is impo rta nt to the Applic a nt’ s c ulture , Pa ne lists ma y a c c e pt the se to ke ns; ho we ve r, the to ta l o f suc h to ke ns must no t e xc e e d USD 25 in va lue . I f in do ub t, the Pa ne list sho uld e rr o n the side o f c a utio n b y de c lining g ifts o f a ny kind.

Conflic ts of Inte r e st -- Pa ne lists sha ll a c t in a c c o rda nc e with

the “Ne w g T L D Pro g ra m Co nflic ts o f I nte re st Guide line s” (se e sub se c tio n 2.4.3.1).

Confide ntiality -- Co nfide ntia lity is a n inte g ra l pa rt o f the

e va lua tio n pro c e ss. Pa ne lists must ha ve a c c e ss to se nsitive info rma tio n in o rde r to c o nduc t e va lua tio ns. Pa ne lists must

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ma inta in c o nfide ntia lity o f info rma tio n e ntruste d to the m b y I CANN a nd the Applic a nt a nd a ny o the r c o nfide ntia l info rma tio n pro vide d to the m fro m wha te ve r so urc e , e xc e pt whe n disc lo sure is le g a lly ma nda te d o r ha s b e e n a utho rize d b y I

CANN. “Co nfide ntia l info rma tio n” inc lude s

a ll e le me nts o f the Pro g ra m a nd info rma tio n g a the re d a s pa rt o f the pro c e ss – whic h inc lude s b ut is no t limite d to : do c ume nts, inte rvie ws, disc ussio ns, inte rpre ta tio ns, a nd a na lyse s – re la te d to the re vie w o f a ny ne w g T L D a pplic a tio n.

Affir mation -- All Pa ne lists sha ll re a d this Co de prio r to

c o mme nc ing e va lua tio n se rvic e s a nd sha ll c e rtify in writing tha t the y ha ve do ne so a nd unde rsta nd the Co de .

2.4.3.1 Conflict of Interest Guidelines for Panelists

I t is re c o g nize d tha t third-pa rty pro vide rs ma y ha ve a la rg e numb e r o f e mplo ye e s in se ve ra l c o untrie s se rving nume ro us c lie nts. I n fa c t, it is po ssib le tha t a numb e r o f Pa ne lists ma y b e ve ry we ll kno wn within the re g istry / re g istra r c o mmunity a nd ha ve pro vide d pro fe ssio na l se rvic e s to a numb e r o f po te ntia l a pplic a nts. T

sa fe g ua rd a g a inst the po te ntia l fo r ina ppro pria te

influe nc e a nd e nsure a pplic a tio ns a re e va lua te d in a n

b je c tive a nd inde pe nde nt ma nne r, I

CANN ha s e sta b lishe d de ta ile d Co nflic t o f I nte re st g uide line s a nd pro c e dure s tha t will b e fo llo we d b y the E va lua tio n Pa ne lists. T

he lp e nsure tha t the g uide line s a re

a ppro pria te ly fo llo we d I CANN will:

Re q uire e a c h E

va lua tio n Pa ne list (pro vide r a nd individua l) to a c kno wle dg e a nd do c ume nt unde rsta nding o f the Co nflic t o f I nte re st g uide line s.

Re q uire e a c h E

va lua tio n Pa ne list to disc lo se a ll b usine ss re la tio nships e ng a g e d in a t a ny time during the pa st six mo nths.

Whe re po ssib le , ide ntify a nd se c ure prima ry

a nd b a c kup pro vide rs fo r e va lua tio n pa ne ls.

n c o njunc tio n with the E va lua tio n Pa ne lists, de ve lo p a nd imple me nt a pro c e ss to ide ntify c o nflic ts a nd re -a ssig n a pplic a tio ns a s a ppro pria te to se c o nda ry o r c o nting e nt third pa rty pro vide rs to pe rfo rm the re vie ws.

Complianc e Pe r iod -- All E

va lua tio n Pa ne lists must c o mply with the Co nflic t o f I nte re st g uide line s b e g inning with the

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pe ning da te o f the Applic a tio n Sub missio n pe rio d a nd

e nding with the pub lic a nno unc e me nt b y I CANN o f the fina l o utc o me s o f a ll the a pplic a tio ns fro m the Applic a nt in q ue stio n.

Guide line s -- T

he fo llo wing g uide line s a re the minimum sta nda rds with whic h a ll E va lua tio n Pa ne lists must c o mply. I t is re c o g nize d tha t it is impo ssib le to fo re se e a nd c o ve r a ll c irc umsta nc e s in whic h a po te ntia l c o nflic t o f inte re st mig ht a rise . I n the se c a se s the E va lua tio n Pa ne list sho uld e va lua te whe the r the e xisting fa c ts a nd c irc umsta nc e s wo uld le a d a re a so na b le pe rso n to c o nc lude tha t the re is a n a c tua l c o nflic t o f inte re st. E va lua tio n Pa ne lists a nd I mme dia te F a mily Me mb e rs:

Must no t b e unde r c o ntra c t, ha ve o r b e

inc lude d in a c urre nt pro po sa l to pro vide Pro fe ssio na l Se rvic e s fo r o r o n b e ha lf o f the Applic a nt during the Co mplia nc e Pe rio d.

Must no t c urre ntly ho ld o r b e c o mmitte d to

a c q uire a ny inte re st in a priva te ly-he ld Applic a nt.

Must no t c urre ntly ho ld o r b e c o mmitte d to

a c q uire mo re tha n 1% o f a ny pub lic ly liste d Applic a nt’ s o utsta nding e q uity se c uritie s o r

the r o wne rship inte re sts.
Must no t b e invo lve d o r ha ve a n inte re st in a

jo int ve nture , pa rtne rship o r o the r b usine ss a rra ng e me nt with the Applic a nt.

Must no t ha ve b e e n na me d in a la wsuit with
r a g a inst the Applic a nt.
Must no t b e a :
Dire c to r, o ffic e r, o r e mplo ye e , o r in

a ny c a pa c ity e q uiva le nt to tha t o f a me mb e r o f ma na g e me nt o f the Applic a nt;

Pro mo te r, unde rwrite r, o r vo ting

truste e o f the Applic a nt; o r

ruste e fo r a ny pe nsio n o r pro fit- sha ring trust o f the Applic a nt.

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De finitions--

E va lua tio n Pa ne list: An E va lua tio n Pa ne list is a ny individua l a sso c ia te d with the re vie w o f a n a pplic a tio n. T his inc lude s a ny prima ry, se c o nda ry, a nd c o nting e nt third pa rty Pa ne lists e ng a g e d b y I CANN to re vie w ne w g T L D a pplic a tio ns. I mme dia te F a mily Me mb e r: I mme dia te F a mily Me mb e r is a spo use , spo usa l e q uiva le nt, o r de pe nde nt (whe the r o r no t re la te d) o f a n E va lua tio n Pa ne list. Pro fe ssio na l Se rvic e s: inc lude , b ut a re no t limite d to le g a l se rvic e s, fina nc ia l a udit, fina nc ia l pla nning / inve stme nt,

utso urc e d se rvic e s, c o nsulting se rvic e s suc h a s b usine ss /

ma na g e me nt / inte rna l a udit, ta x, info rma tio n te c hno lo g y, re g istry / re g istra r se rvic e s.

2.4.3.2 Code of Conduct Violations

E va lua tio n pa ne list b re a c he s o f the Co de o f Co nduc t, whe the r inte ntio na l o r no t, sha ll b e re vie we d b y I CANN, whic h ma y ma ke re c o mme nda tio ns fo r c o rre c tive a c tio n, if de e me d ne c e ssa ry. Se rio us b re a c he s o f the Co de ma y b e c a use fo r dismissa l o f the pe rso n, pe rso ns o r pro vide r c o mmitting the infra c tio n. I n a c a se whe re I CANN de te rmine s tha t a Pa ne list ha s fa ile d to c o mply with the Co de o f Co nduc t, the re sults o f tha t Pa ne list’ s re vie w fo r a ll a ssig ne d a pplic a tio ns will b e disc a rde d a nd the a ffe c te d a pplic a tio ns will unde rg o a re vie w b y ne w pa ne lists. Co mpla ints a b o ut vio la tio ns o f the Co de o f Co nduc t b y a Pa ne list ma y b e b ro ug ht to the a tte ntio n o f I CANN via the pub lic c o mme nt a nd a pplic a nt suppo rt me c ha nisms, thro ug ho ut the e va lua tio n pe rio d. Co nc e rns o f a pplic a nts re g a rding pa ne ls sho uld b e c o mmunic a te d via the de fine d suppo rt c ha nne ls (se e sub se c tio n 1.4.2). Co nc e rns

f the g e ne ra l pub lic (i.e ., no n-a pplic a nts) c a n b e ra ise d

via the pub lic c o mme nt fo rum, a s de sc rib e d in Mo dule 1.

2.4.4 Communication Channels

De fine d c ha nne ls fo r te c hnic a l suppo rt o r e xc ha ng e s o f info rma tio n with I CANN a nd with e va lua tio n pa ne ls a re a va ila b le to a pplic a nts during the I nitia l E va lua tio n a nd E xte nde d E va lua tio n pe rio ds. Co nta c ting individua l I CANN sta ff me mb e rs, Bo a rd me mb e rs, o r individua ls e ng a g e d b y I CANN to pe rfo rm a n e va lua tio n ro le in o rde r to lo b b y fo r a

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pa rtic ula r o utc o me o r to o b ta in c o nfide ntia l info rma tio n a b o ut a pplic a tio ns unde r re vie w is no t a ppro pria te . I n the inte re sts o f fa irne ss a nd e q uiva le nt tre a tme nt fo r a ll a pplic a nts, a ny suc h individua l c o nta c ts will b e re fe rre d to the a ppro pria te c o mmunic a tio n c ha nne ls.

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Module 3

Dispute Resolution Procedures

T his mo dule de sc rib e s the purpo se o f the o b je c tio n a nd dispute re so lutio n me c ha nisms, the g ro unds fo r lo dg ing a na fo rma l o b je c tio n to a g T L D a pplic a tio n, the g e ne ra l pro c e dure s fo r filing o r re spo nding to a n o b je c tio n, a nd the ma nne r in whic h dispute re so lutio n pro c e e ding s a re c o nduc te d. T his mo dule a lso disc usse s the g uiding princ iple s, o r sta nda rds, that e a c h DRSPdispute re so lutio n pane l will a pply in re ac hing its de c isio nse xpe rt de te rminatio n. All a pplic ants sho uld b e a wa re o f the po ssib ility that a n

b je c tio n ma y b e file d ag a inst the ir a pplic a tio nsa ny

a pplic a tio n, a nd o f the pro c e dure s and o ptio ns a va ilab le in the e ve nt o f suc h a n o b je c tio n.

3.1 Purpose and Overview of the Dispute Resolution Process

T he inde pe nde nt dispute re so lutio n pro c e ss is de sig ne d to pro te c t c e rta in inte re sts a nd rig hts. T he pro c e ss pro vide s a path fo r fo rma l o b je c tio ns during e va luatio n o f the a pplic a tio ns. I t a llo ws c e rta in pa rtie sa pa rty with sta nding to have the ir o b je c tio nsits o b je c tio n c o nside re d b e fo re a pa ne l o f q ua lifie d e xpe rts. A fo rma l o b je c tio n c a n b e file d o nly o n fo ur e nume ra te d g ro unds, a s de sc rib e d in this mo dule . A fo rma l o b je c tio n initia te s a dispute re so lutio n pro c e e ding . I n filing a n a pplic a tio n fo r a g T L D, the a pplic a nt a g re e s to a c c e pt the a pplic a b ility o f this g T L D dispute re so lutio n pro c e ss. Simila rly, a n o b je c to r a c c e pts the a pplic a b ility o f this g T L D dispute re so lutio n pro c e ss b y filing its o b je c tio n.

3.1.1 Grounds for Objection

An o b je c tio n ma y b e file d o n a ny o ne o f the fo llo wing fo ur g ro unds:

Str ing Co nfusio n Obje c tio n – T

he a pplie d-fo r g T L D string is c o nfusing ly simila r to a n e xisting T L D o r to a no the r a pplie d- fo r g T L D string in the same ro und o f applic atio ns.

L e gal Rights Obje c tio n – T

he a pplie d-fo r g T L D string infring e s the e xisting le g al rig hts o f the o b je c to r.

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Mo r ality and[L imite d Public Or de r Inte r e st Obje c tio n]1 – T

he a pplie d-fo r g T L D string is c o ntra ry to g e ne ra lly a c c e pte d le g al no rms o f mo ra lity a nd pub lic o rde r that a re re c o g nize d unde r princ iple s o f inte rna tio na l princ iple s o f la w.

Co mmunity Obje c tio n – T

he re is sub sta ntial o ppo sitio n to the g T L D a pplic a tio n fro m a sig nific a nt po rtio n o f the c o mmunity to whic h the g T L D string ma y b e e xplic itly o r implic itly ta rg e te d. T he ratio na le s fo r the se o b je c tio n g ro unds a re disc usse d in the fina l re po rt o f the I CANN po lic y de ve lo pme nt pro c e ss fo r ne w g T L

Ds. F
r mo re info rmatio n o n this pro c e ss, se e

http:/ / g nso .ic a nn.o rg / issue s/ ne w-g tlds/ pdp-de c 05-fr-pa rta - 08aug 07.htm.

3.1.2 Standing to Object

Ob je c to rs must satisfy sta nding re quire me nts to have the ir

b je c tio ns c o nside re d. As pa rt o f the dispute pro c e e ding s,

a ll o bje c tio ns will b e re vie we d b y pane listsa pa ne l o f e xpe rts de sig nate d b y the a pplic able Dispute Re so lutio n Se rvic e Pro vide r (DRSP) to de te rmine whe the r the o b je c to r ha s sta nding to o b je c t. Sta nding re q uire me nts fo r the fo ur

b je c tio n g ro unds a re :

Objection Groundground Who may object String confusion Existing TLD operator or gTLD applicant in current round Legal rights Rightsholders Morality and Public Order[Limited public interest] To be determinedNo limitations on who may file – however, subject to a “quick look” designed for early conclusion of frivolous and/or abusive objections Community Established institution associated with a clearly delineated community

3.1.2.1 String Confusion Objection

T wo type s o f e ntitie s have sta nding to o b je c t:

An e xisting T

L D o pe rato r ma y file a string c o nfusio n

b je c tio n to a sse rt string c o nfusio n be twe e n an

a pplie d-fo r g T L D a nd the T L D that it c urre ntly

pe rate s.

1 “[Limited Public Interest Objection]” here replaces what was termed a “Morality and Public Order Objection” in previous versions of

the Guidebook. This term is subject to community consultation and revision and is used in brackets throughout. The details of this

bjection are described to provide applicants with an understanding of this objection basis, and may be revised based on further

community consultation before the Guidebook is approved by the Board and the New gTLD Program is launched.

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Any g T

L D a pplic a nt in this a pplic a tio n ro und ma y a lso file a string c o nfusio n o b je c tio n to asse rt string c o nfusio n be twe e n an a pplie d-fo r g T L D a nd the g T L D fo r whic h it ha s a pplie d, whe re string c o nfusio n be twe e n the two a pplic ants ha s no t a lre a dy b e e n fo und in the I nitial E valuatio n. T hat is, a n a pplic a nt do e s no t have standing to o b je c t to a no the r a pplic a tio n with whic h it is a lre a dy in a c o nte ntio n se t as a re sult o f the I nitial E valuatio n. I n the c ase whe re a n e xisting T L D o pe rato r suc c e ssfully a sse rts string c o nfusio n with a n a pplic a nt, the a pplic a tio n will b e re je c te d. I n the c ase whe re a g T L D a pplic ant suc c e ssfully a sse rts string c o nfusio n with a no the r a pplic ant, the o nly po ssib le

utc o me is fo r b o th a pplic a nts to b e pla c e d in a

c o nte ntio n se t and to be re fe rre d to a c o nte ntio n re so lutio n pro c e dure (re fe r to Mo dule 4)., String Co nte ntio n Pro c e dure s). I f a n o b je c tio n b y a o ne g T L D a pplic a nt to a no the r g T L D a pplic anta pplic a tio n is unsuc c e ssful, the a pplic ants ma y b o th mo ve fo rwa rd in the pro c e ss witho ut b e ing c o nside re d in dire c t c o nte ntio n with o ne a no the r.

3.1.2.2 Legal Rights Objection

Only a A rig htsho lde r has sta nding to file a le g al rig hts

b je c tio n. T

he so urc e and do c ume ntatio n o f the e xisting le g al rig hts the o b je c to r is c la iming (whic h ma y inc lude e ithe r re g iste re d o r unre g iste re d trade ma rks) a re infring e d b y the applie dye sapplie d-fo r g T L D must b e inc lude d in the filing . An inte rg o ve rnme ntal o rg a niza tio n (I GO) is e lig ib le to file a le g a l rig hts o b je c tio n if it me e ts the c rite ria fo r re g istra tio n

f a .I

NT do ma in name 2: a ) An inte rnatio na l tre aty b e twe e n o r a mo ng natio na l g o ve rnme nts must ha ve e sta b lishe d the o rg a niza tio n; a nd b ) T he o rg a niza tio n tha t is e sta blishe d must be wide ly c o nside re d to ha ve inde pe nde nt inte rna tio na l le g a l pe rso na lity a nd must b e the sub je c t o f a nd g o ve rne d b y inte rna tio na l la w. T he spe c ialize d a g e nc ie s o f the UN a nd the o rg a nizatio ns having o b se rve r status at the UN Ge ne ra l Asse mb ly a re a lso re c o g nize d a s me e ting the c rite ria .

2 See also http://www.iana.org/domains/int/policy/.

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3.1.2.3 Morality and[Limited Public OrderInterest Objection]

Sta nding re q uire me nts fo r mo ra lity and pub lic o rde r

b je c tio ns re ma in unde r study. I

n the c a se o f mo ra lity a nd public o rde r o b je c tio ns, it ma y be a ppro priate to g ra nt sta nding o nly to pa rtie s who ha ve re c o g nize d a utho rity in the a re na o f mo ra lity o r pub lic o rde r, suc h a s g o ve rnme nts,

r it ma y b e a ppro pria te to ma ke this o ptio n a va ila b le to

a ny inte re ste d pa rtie s who a sse rt harm due to an a pplie d- fo r g T L D string . Anyo ne ma y file a [L imite d Pub lic I nte re st Ob je c tio n]. Due to the inc lusive standing b a se , ho we ve r, o b je c to rs a re sub je c t to a “q uic k lo o k” pro c e dure de sig ne d to ide ntify a nd e limina te frivo lo us a nd/ o r a b usive o b je c tio ns. An

b je c tio n fo und to b e ma nife stly unfo unde d a nd/ o r a n

a b use o f the rig ht to o bje c t ma y be dismisse d at any time . A [L imite d Pub lic I nte re st o b je c tio n] wo uld b e ma nife stly unfo unde d if it did no t fa ll within o ne o f the c a te g o rie s tha t ha ve b e e n de fine d a s the g ro unds fo r suc h a n o b je c tio n (se e subse c tio n 3.4.3). A [L imite d Pub lic I nte re st o b je c tio n] tha t is ma nife stly unfo unde d ma y a lso b e a n a b use o f the rig ht to o b je c t. An

b je c tio n ma y b e fra me d to fa ll within o ne o f the

a c c e pte d c a te g o rie s fo r [L imite d Pub lic I nte re st

b je c tio ns], b ut o the r fa c ts ma y c le a rly sho w tha t the
b je c tio n is a b usive . F
r e xa mple , multiple o b je c tio ns file d

b y the sa me o r re late d pa rtie s a g a inst a sing le a pplic a nt ma y c o nstitute ha rassme nt o f the applic ant, ra the r tha n a le g itima te de fe nse o f le g a l no rms tha t a re re c o g nize d unde r g e ne ra l princ iple s o f inte rnatio na l la w. An o b je c tio n that atta c ks the a pplic ant, ra the r tha n the a pplie d-fo r string , c o uld b e a n ab use o f the rig ht to o b je c t.3

3 The jurisprudence of the European Court of Human Rights offers specific examples of how the term “manifestly ill-founded” has

been interpreted in disputes relating to human rights. Article 35(3) of the European Convention on Human Rights provides: “The Court shall declare inadmissible any individual application submitted under Article 34 which it considers incompatible with the provisions of the Convention or the protocols thereto, manifestly ill-founded, or an abuse of the right of application.” The ECHR renders reasoned decisions on admissibility, pursuant to Article 35 of the Convention. (Its decisions are published on the Court’s website http://www.echr.coe.int.) In some cases, the Court briefly states the facts and the law and then announces its decision, without discussion or analysis. E.g., Decision as to the Admissibility of Application No. 34328/96 by Egbert Peree against the Netherlands (1998). In other cases, the Court reviews the facts and the relevant legal rules in detail, providing an analysis to support its conclusion on the admissibility of an application. Examples of such decisions regarding applications alleging violations of Article 10 of the Convention (freedom of expression) include: Décision sur la recevabilité de la requête no 65831/01 présentée par Roger Garaudy contre la France (2003); Décision sur la recevabilité de la requête no 65297/01 présentée par Eduardo Fernando Alves Costa contre le Portugal (2004). The jurisprudence of the European Court of Human Rights also provides examples of the abuse of the right of application being sanctioned, in accordance with ECHR Article 35(3). See, for example, Décision partielle sur la recevabilité de la requête no

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T he quic k lo o k is the Pa ne l’ s first ta sk, a fte r its a ppo intme nt b y the DRSP a nd is a re vie w o n the me rits o f the o b je c tio n. T he dismissa l o f a n o b je c tio n tha t is ma nife stly unfo unde d a nd/ o r a n a b use o f the rig ht to o b je c t wo uld b e a n E xpe rt De te rminatio n, re nde re d in a c c o rda nc e with Artic le 21 o f the Ne w g T L D Dispute Re so lutio n Pro c e dure . I n the c ase whe re the quic k lo o k re vie w do e s le a d to the dismissa l o f the o b je c tio n, the pro c e e ding s that no rmally fo llo w the initia l sub missio ns (inc luding pa yme nt o f the full a dva nc e o n c o sts) will no t ta ke pla c e , a nd it is c urre ntly c o nte mplate d that the filing fe e pa id b y the a pplic a nt wo uld b e re funde d, pursua nt to Pro c e dure Artic le 14(e ).

3.1.2.4 Community Objection

E sta b lishe d institutio ns a sso c ia te d with de fine dc le a rly de line a te d c o mmunitie s a re e lig ib le to file a c o mmunity

b je c tio n. T

he c o mmunity na me d b y the o b je c to r must b e a c o mmunity stro ng ly a sso c iate d with the a pplie d-fo r g T L D string in the a pplic a tio n tha t is the sub je c t o f the o b je c tio n. T

q ua lify fo r sta nding fo r a c o mmunity o b je c tio n, the
b je c to r must pro ve b o th o f the fo llo wing :

It is an e stablishe d institutio n – F

a c to rs that ma y be c o nside re d in ma king this de te rmina tio n inc lude , b ut a re no t limite d to :

e ve l o f g lo b a l re c o g nitio n o f the institutio n;

e ng th o f time the institutio n ha s b e e n in e xiste nc e ; a nd

Pub lic histo ric a l e vide nc e o f its e xiste nc e , suc h a s

the pre se nc e o f fo rma l c ha rte r o r na tio na l o r inte rnatio nal re g istratio n, o r validatio n b y a g o ve rnme nt, inte r-g o ve rnme nta l o rg a niza tio n, o r tre aty. T he institutio n must no t have b e e n e sta b lishe d so le ly in c o njunc tio n with the g T L D a pplic atio n pro c e ss.

It has an o ngo ing r e latio nship with a de fine dc le ar ly de line ate d c o mmunity that c o nsists o f a r e str ic te d po pulatio n – F

a c to rs tha t ma y b e c o nside re d in ma king this de te rmina tio n inc lude , b ut a re no t limite d to :

he pre se nc e o f me c hanisms fo r pa rtic ipa tio n in a c tivitie s, me mb e rship, a nd le a de rship;

61164/00 présentée par Gérard Duringer et autres contre la France et de la requête no 18589/02 contre la France (2003).

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nstitutio nal purpo se re late d to the be ne fit o f the a sso c iate d c o mmunity;

Pe rfo rmanc e o f re g ula r a c tivitie s that b e ne fit the

a sso c iate d c o mmunity; a nd

he le ve l o f fo rma l b o unda rie s a ro und the c o mmunity.

3.1.3 Options in the Event of Objection

Applic a nts who se a pplic atio ns a re the sub je c t o f a n

b je c tio n ha ve the fo llo wing o ptio ns:

T he a pplic a nt c a n file a re spo nse to the o b je c tio n a nd e nte r the dispute re so lutio n pro c e ss (re fe r to subse c tio n 3.3); o r T he a pplic a nt c a n withdra w, in whic h c a se the o b je c to r will pre va il by de fa ult a nd the a pplic a tio n will no t pro c e e d furthe r. I f fo r a ny re a so n the a pplic a nt do e s no t file a re spo nse to a n o b je c tio n, the o b je c to r will pre va il b y de fa ult.

3.2 Procedure for Filing an Objection

T he pane l will pe rfo rm a b a lanc ing o f the fa c to rs liste d a b o ve , a s we ll a s o the r re le va nt info rma tio n, in ma king its de te rminatio n. I t is no t e xpe c te d that a n o b je c to r must de mo nstrate satisfa c tio n o f e a c h and e ve ry fa c to r c o nside re d in o rde r to satisfy the sta nding re q uire me nts.

3.1.3 Dispute Resolution Service Providers

trig g e r a dispute re so lutio n pro c e e ding , a n o b je c tio n

must b e file d b y the po ste d de a dline da te . Ob je c tio ns must b e file d, dire c tly with the appro priate DRSP fo r e a c h

b je c tio n g ro und.
T

he I nte rnatio na l Ce ntre fo r Dispute Re so lutio n has a g re e d in princ iple to a dministe r dispute s b ro ug ht pursua nt to string c o nfusio n o b je c tio ns.

he Arb itratio n a nd Me dia tio n Ce nte r o f the Wo rld I nte lle c tual Pro pe rty Org a nizatio n ha s a g re e d in princ iple to a dministe r dispute s b ro ug ht pursua nt to le g al rig hts o b je c tio ns.

he I nte rnatio na l Ce nte r o f E xpe rtise o f the I nte rna tio na l Chamb e r o f Co mme rc e ha s a g re e d in princ iple to a dministe r dispute s b ro ug ht pursua nt to

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Mo ra lity a nd[L imite d Public Orde rI nte re st] a nd Co mmunity Ob je c tio ns. I CANN se le c te d DRSPs o n the b a sis o f the ir re le vant e xpe rie nc e a nd e xpe rtise , a s we ll a s the ir willing ne ss and a b ility to a dministe r dispute pro c e e ding s in the ne w g T L D Pro g ra m. T he se le c tio n pro c e ss b e g a n with a pub lic c all fo r e xpre ssio ns o f inte re st4 fo llo we d b y dia lo g ue with tho se c a ndida te s who re spo nde d. T he c a ll fo r e xpre ssio ns o f inte re st spe c ifie d se ve ra l c rite ria fo r pro vide rs, inc luding e sta b lishe d se rvic e s, sub je c t ma tte r e xpe rtise , g lo b a l c a pa c ity, a nd o pe ratio na l c apa b ilitie s. An impo rta nt a spe c t o f the se le c tio n pro c e ss wa s the ab ility to re c ruit pa ne lists who will e ng e nde r the re spe c t o f the pa rtie s to the dispute .

3.1.4 Options in the Event of Objection

Applic a nts who se a pplic atio ns a re the sub je c t o f a n

b je c tio n ha ve the fo llo wing o ptio ns:

T he a pplic ant c a n wo rk to re a c h a se ttle me nt with the

b je c to r, re sulting in withdra wa l o f the o b je c tio n o r the

a pplic a tio n; T he a pplic a nt c a n file a re spo nse to the o b je c tio n a nd e nte r the dispute re so lutio n pro c e ss (re fe r to Se c tio n 3.2); o r T he a pplic a nt c a n withdra w, in whic h c a se the o b je c to r will pre va il b y de fa ult a nd the a pplic a tio n will no t pro c e e d furthe r. I f fo r a ny re a so n the a pplic a nt do e s no t file a re spo nse to a n o b je c tio n, the o b je c to r will pre va il b y de fa ult.

3.1.5 Independent Objector

A fo rma l o b je c tio n to a g T L D a pplic a tio n ma y a lso b e file d b y the I nde pe nde nt Obje c to r (I O). T he I O do e s no t a c t o n b e ha lf o f a ny pa rtic ula r pe rso ns o r e ntitie s, b ut ac ts so le ly in the b e st inte re sts o f the public who use the g lo ba l I nte rne t. I n lig ht o f this pub lic inte re st g o a l, the I nde pe nde nt Ob je c to r is limite d to filing o b je c tio ns o n the g ro unds o f [L imite d Pub lic I nte re st] a nd Co mmunity. Ne ithe r I CANN sta ff no r the I CANN Bo a rd o f Dire c to rs ha s a utho rity to dire c t o r re q uire the I O to file o r no t file a ny pa rtic ula r o b je c tio n. I f the I O de te rmine s that an o b je c tio n

4 See http://www.icann.org/en/announcements/announcement-21dec07.htm.

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sho uld b e file d, he o r she will initia te a nd pro se c ute the

b je c tio n in the pub lic inte re st.

Mandate and Sc o pe - T

he I O ma y file o b je c tio ns a g a inst “hig hly o b je c tio na b le ” g T L D a pplic a tio ns to whic h no

b je c tio n ha s b e e n file d. T

he I O is limite d to filing two type s

f o b je c tio ns: (1) [L

imite d Pub lic I nte re st o b je c tio ns] a nd (2) Co mmunity o b je c tio ns. T he I O is g ra nte d sta nding to file

b je c tio ns o n the se e nume rate d g ro unds, no twithsta nding

the re g ula r sta nding re q uire me nts fo r suc h o b je c tio ns (se e subse c tio n 3.1.2). T he I O ma y file a [L imite d Pub lic I nte re st o b je c tio n] a g a inst a n a pplic a tio n e ve n if a Co mmunity o b je c tio n ha s b e e n file d, a nd vic e ve rsa . T he I O ma y file a n o b je c tio n a g a inst a n a pplic atio n, no twithsta nding the fa c t that a String Co nfusio n o b je c tio n

r a L

e g a l Rig hts o b je c tio n wa s file d. Ab se nt e xtrao rdina ry c irc umstanc e s, the I O is no t pe rmitte d to file a n o b je c tio n to a n a pplic a tio n whe re a n o b je c tio n ha s a lre a dy b e e n file d o n the sa me g ro und. T he I O ma y c o nside r pub lic c o mme nt whe n making a n inde pe nde nt a sse ssme nt whe the r a n o b je c tio n is wa rra nte d. T he I O will have ac c e ss to c o mme nts fro m the a ppro priate time pe rio d, running thro ug h the I nitia l E valuatio n pe rio d until the c lo se o f the de a dline fo r the I O to sub mit an o b je c tio n.

Se le c tio n – T

he I O will b e se le c te d b y I CANN, thro ug h a n

pe n and tra nspa re nt pro c e ss, a nd re ta ine d a s an

inde pe nde nt c o nsulta nt. T he I nde pe nde nt Ob je c to r will b e a n individua l with c o nside ra b le e xpe rie nc e and re spe c t in the I nte rne t c o mmunity, una ffilia te d with a ny g T L D a pplic ant. Altho ug h re c o mme ndatio ns fo r I O c a ndida te s fro m the c o mmunity a re we lc o me d, the I O must b e and re ma in inde pe nde nt a nd una ffilia te d with a ny o f the g T L D a pplic ants. T he va rio us rule s o f e thic s fo r judg e s and inte rna tio na l a rb itra to rs pro vide mo de ls fo r the I O to de c la re a nd ma inta in his/ he r inde pe nde nc e . T he I O’ s (re ne wab le ) te nure is limite d to the time ne c e ssa ry to c a rry o ut his/ he r dutie s in c o nne c tio n with a sing le ro und

f g T

L D a pplic a tio ns.

Budge t and F unding – T

he I O’ s b udg e t wo uld c o mprise two princ ipa l e le me nts: (a ) sa la rie s and o pe rating e xpe nse s, a nd (b ) dispute re so lutio n pro c e dure c o sts – b o th o f whic h

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sho uld b e funde d fro m the pro c e e ds o f ne w g T L D a pplic a tio ns. As a n o b je c to r in dispute re so lutio n pro c e e ding s, the I O is re q uire d to pa y filing a nd a dministra tive fe e s, a s we ll a s a dva nc e pa yme nt o f c o sts, just a s a ll o the r o b je c to rs a re re q uire d to do . T ho se pa yme nts will b e re funde d b y the DRSP in c a se s whe re the I O is the pre va iling pa rty. I n a dditio n, the I O will inc ur va rio us e xpe nse s in pre se nting

b je c tio ns be fo re DRSP pa ne ls that will no t be re funde d,

re g a rdle ss o f the o utc o me . T he se e xpe nse s inc lude the fe e s and e xpe nse s o f o utside c o unse l (if re ta ine d) a nd the c o sts o f le g a l re se a rc h o r fa c tual inve stig a tio ns.

3.2 Filing Procedures

T he info rma tio n inc lude d in this se c tio n pro vide s a summa ry

f pro c e dure s fo r filing :
Ob je c tio ns; a nd
Re spo nse s to o b je c tio ns.

r a c o mpre he nsive sta te me nt o f filing re q uire me nts

a pplic a b le g e ne ra lly, re fe r to the Ne w g T L D Dispute Re so lutio n Pro c e dure (“Pro c e dure ”) inc lude d as a n attac hme nt to this mo dule . I n the e ve nt o f a ny disc re pa nc y b e twe e n the info rma tio n pre se nte d in this mo dule and the Pro c e dure , the Pro c e dure sha ll pre va il. No te tha t the rule s a nd pro c e dure s o f e a c h DRSP spe c ific to e a c h o b je c tio n g ro und must a lso b e fo llo we d.

F
r a String Co nfusio n Ob je c tio n, the a pplic ab le

DRSP Rule s are the I CDR Supple me nta ry Pro c e dure s fo r I CANN’ s Ne w g T L D Pro g ra m. T he se rule s a re ava ilab le in dra ft fo rm and have be e n po ste d a lo ng with this mo dule .

F
r a L

e g a l Rig hts Ob je c tio n, the a pplic a b le DRSP Rule s a re the WI PO Rule s fo r Ne w g T L D Dispute Re so lutio n. T he se rule s a re ava ila ble in dra ft fo rm a nd have b e e n po ste d a lo ng with this mo dule .

F
r a [L

imite d Pub lic I nte re st Ob je c tio n], the a pplic a b le DRSP Rule s a re the Rule s fo r E xpe rtise o f the I nte rnatio na l Chamb e r o f Co mme rc e .5

5 See http://www.iccwbo.org/court/expertise/id4379/index.html

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F
r a Co mmunity Ob je c tio n, Ob je c tio n, the

a pplic a b le DRSP Rule s a re the Rule s fo r E xpe rtise o f the I nte rnatio na l Chamb e r o f Co mme rc e .6

3.2.1 Objection Filing Procedures

T he pro c e dure s o utline d in this sub se c tio n must b e fo llo we d b y a ny pa rty wishing to file a fo rma l o b je c tio n to a n a pplic atio n that ha s be e n po ste d by I

CANN. T

he se pro c e dure s a re pro vide d to a pplic a nts fo r re fe re nc e and a re inte nde d to c o ve r dispute re so lutio n pro c e dure s g e ne ra lly. E a c h pro vide r ha s its o wn rule s and pro c e dure s that a lso must be fo llo we d whe n filing a n o b je c tio n. Sho uld a n a pplic a nt wish to file a fo rma l o b je c tio n to a no the r g T L D a pplic a tio n, it wo uld fo llo w the se sa me pro c e dure s.

All o b je c tio ns must b e file d e le c tro nic a lly with the

a ppro priate DRSP b y the po ste d de adline date . Ob je c tio ns will no t be ac c e pte d b y the DRSPs a fte r this date .

All o b je c tio ns must b e file d in E

ng lish.

a c h o bje c tio n must be file d se pa rate ly. T ha t is, if a nyAn o b je c to r wishe swishing to o b je c t to se ve ra l a pplic a tio ns at the same time , the o b je c to r must file a na se pa rate o bje c tio n a nd pa y a the a c c o mpa nying filing fe e fe e s fo r e ac h a pplic a tio n that is the sub je c t o f a n o b je c tio n. I f a n o b je c to r wishe s to o bje c t to o ne an a pplic a tio n o n diffe re nt g ro undsmo re tha n o ne g ro und, the o b je c to r must file a n o b je c tio nse pa rate o b je c tio ns a nd pa y athe a c c o mpa nying filing fe e fe e s fo r e ac h o b je c tio n g ro und.

All o b je c tio ns must b e file d with the a ppro pria te DRSP.

I f a n o b je c tio n is file d with a DRSP o the r tha n the DRSP spe c ifie d fo r the o b je c tio n g ro und, tha t DRSP will pro mptly no tify the o b je c to r o f the e rro r. T he o b je c to r the n has 5 c a le nda r da ys a fte r re c e iving that no tific a tio n to file its o b je c tio n with the a ppro priate DRSP.

Ob je c tio ns must b e file d e le c tro nic a lly a nd a ll

inte ra c tio ns with the DRSPs during the o b je c tio n pro c e ss must be c o nduc te d o nline .

6 Ibid.

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E a c h o bje c tio n file d b y a n o b je c to r must inc lude :

he na me a nd c o nta c t info rma tio n, inc luding a ddre ss, pho ne , a nd e ma il a ddre ss, o f a ll pa rtie s submitting an o b je c tio nthe o b je c to r.

he A sta te me nt o f the o b je c to r’ s ba sis fo r sta nding ; tha t is, why the o b je c to r b e lie ve s it ha sme e ts the rig htsta nding re q uire me nts to o b je c t.

A state me ntde sc riptio n o f the nature o fb a sis fo r the

dispute , whic h sho uld inc lude o b je c tio n, inc luding :

A sta te me nt g iving the spe c ific g ro und

unde rupo n whic h the o b je c tio n is b e ing file d.

A de ta ile d e xpla na tio n o f ho w the o b je c to r’ s

c la im me e ts the re q uire me nts fo r filing a c la im pursua nt to that pa rtic ula r g ro und o r sta nda rd.

A de ta ile d e xpla na tio n o f the va lidity o f the
b je c tio n and why the a pplic a tio nit sho uld b e

de nie d. uphe ld.

Co pie s o f any do c ume nts that the o b je c to r

c o nside rs to b e a b asis fo r the o b je c tio n. Ob je c tio ns a re limite d to 25005000 wo rds o r 20 pa g e s, whic he ve r is le ss, e xc luding attac hme nts. T he DRSP will use e le c tro nic me a ns to de live r c o pie s o f a ll mate ria ls file d to the a pplic a nt a nd to all o b je c to rs. E a c h applic a nt a nd all o b je c to rsAn o b je c to r must pro vide c o pie s o f a ll submissio ns to the DRSP a sso c iate d with the

b je c tio n pro c e e ding s to o ne a no the r, a nd to the

a pplic ant. I CANN. I CANN a nd/ o r the DRSPs will pub lish, a nd re g ula rly update , a do c ume ntlist o n its we b site ide ntifying a ll o b je c tio ns sho rtly a fte r the de a dline fo r filing o b je c tio ns ha s pa sse d (re fe r to I te m 1 a b o ve ). Ob je c tio ns will no t be publishe d b e fo re that de a dline . a s the y a re file d a nd I CANN is no tifie d.

3.2.2 Objection Filing Fees

At the time a n o b je c tio n is file d, the o b je c to r is re q uire d to pa y a nonrefundable filing fe e in the a mo unt se t a nd pub lishe d b y the re le vant DRSP. I f the filing fe e is no t pa id,

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the DRSP will dismiss the o b je c tio n witho ut pre judic e . Se e Se c tio n 1.5 o f Mo dule 1 re g a rding fe e s.

3.2.3 Filing a Response to an Objection

3.3.1 Filing Procedures

T he se pro c e dure s a re inte nde d to c o ve r dispute re so lutio n pro c e dure s g e ne ra lly. E a c h DRSP will have its o wn rule s that a lso must be fo llo we d. Upo n no tific a tio n tha t I CANN ha s pub lishe d the list o f a ll

b je c tio ns file d (re fe r to sub se c tio n 3.2.1), the DRSPs will

no tify the pa rtie s tha t re spo nse s must b e file d within 30 c a le nda r days o f re c e ipt o f that no tic e . DRSPs will no t a c c e pt late re spo nse s. Any a pplic ant that fa ils to re spo nd to a n o b je c tio n within the 30-da y re spo nse pe rio d will b e in de fa ult, whic h will re sult in the o b je c to r pre va iling .

All re spo nse s must b e file d in E

ng lish.

a c h re spo nse must be file d se pa rate ly. T hat is, if a n a pplic ant wishe s to re spo ndre spo nding to se ve ral

b je c tio ns, the a pplic ant must file a se pa rate

re spo nse and pa y a the a c c o mpa nying filing fe e to re spo nd to e a c h o b je c tio n.

All re spo nse s must b e file d with the appro priate DRSP. I

f a re spo nse is file d with a DRSP o the r tha n the DRSP spe c ifie d fo r the o b je c tio n g ro und, tha t DRSP will pro mptly no tify the a pplic a nt o f the e rro r. T he a pplic a nt the n has 5 c a le nda r da ys a fte r re c e iving the no tific a tio n to file its o b je c tio n with the a ppro pria te DRSP.

Re spo nse s must b e file d e le c tro nic a lly a nd all

inte ra c tio ns with the DRSPs during the dispute re so lutio n pro c e ss must b e c o nduc te d o nline . . E a c h re spo nse file d b y a n a pplic a nt must inc lude the :

he na me a nd c o nta c t info rma tio n, inc luding a ddre ss, pho ne , a nd e ma il a ddre ss, o f a ll pa rtie s submitting the re spo nse . o f the a pplic a nt.

a c h re spo nding a pplic a nt’ s re spo nse must c o nta in a A po int-b y-po int c o nfirma tio n o r de nia l o f re spo nse to the c la ims ma de b y e ac hthe o b je c to r. T he a pplic ant also sho uld a tta c h a ny

Any c o pie s o f do c ume nts that it c o nside rs to be a

b a sis fo r the re spo nse .

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Re spo nse s a re limite d to 25005000 wo rds o r 20 pa g e s,

whic he ve r is le ss, e xc luding attac hme nts.

he DRSP will use e le c tro nic me a ns to de live r c o pie s o f a ll mate rials file d to the a pplic ant and to a ll o b je c to rs.

a c h applic a nt a nd all o b je c to rs must pro vide c o pie s o f a ll submissio ns to the DRSP a sso c iate d with the

b je c tio n pro c e e ding s to o ne a no the r a nd to I

CANNthe

b je c to r.

3.3.2.4 Response Filing Fees

At the time a n a pplic a nt file s its re spo nse , it is re q uire d to pa y a no nre funda ble filing fe e in the a mo unt se t a nd pub lishe d b y the re le vant DRSP, whic h will b e the sa me a s the filing fe e pa id b y the o b je c to r. I f the filing fe e is no t pa id, the re spo nse will b e disre g a rde d , whic h will re sult in the o b je c to r pre va iling .

3.4 3 Objection Processing Overview

T he info rmatio n b e lo w pro vide s a n o ve rvie w o f the pro c e ss b y whic h DRSPs a dministe r dispute pro c e e ding s that have b e e n initiate d. F

r c o mpre he nsive info rmatio n, ple a se re fe r

to the Ne w g T L D Dispute Re so lutio n Pro c e dure (inc lude d a s a n a tta c hme nt to this mo dule ).

3.43.1 Preliminary Objection ProcessingAdministrative Review

E a c h DRSP will c o nduc t a n a dministrative re vie w o f e a c h

b je c tio n fo r c o mplia nc e with a ll pro c e dura l rule s within 14

c a le nda r days o f re c e iving the o b je c tio n. De pe nding o n the numbe r o f o b je c tio ns re c e ive d, the DRSP may a sk I CANN fo r a sho rt e xte nsio n o f this de a dline . I f the DRSP finds that the o b je c tio n c o mplie s with pro c e dura l rule s, the o b je c tio n will b e de e me d file d, a nd the pro c e e ding s will c o ntinue . I f the DRSP finds that the

b je c tio n do e s no t c o mply with pro c e dural rule s, the DRSP

will dismiss the o b je c tio n a nd c lo se the pro c e e ding s witho ut pre judic e to the o b je c to r’ s sub missio n o frig ht to submit a ne w o b je c tio n that c o mplie s with pro c e dural rule s. T he DRSP’ s re vie w o r re je c tio n o f the o b je c tio n will no t inte rrupt the time limit fo r submitting filing a n o b je c tio n.

3.43.2 Consolidation of Objections

Onc e the DRSP re c e ive s a nd pro c e sse s all o b je c tio ns, a t its disc re tio n the DRSP ma y e le c t to c o nso lidate c e rta in

b je c tio ns. T

he DRSP sha ll e nde a vo r to de c ide upo n

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c o nso lida tio n prio r to issuing its no tic e to a pplic a nts tha t the re spo nse sho uld be file d a nd, whe re a ppro priate , sha ll info rm the pa rtie s o f the c o nso lida tio n in tha t no tic e . An e xa mple o f c irc umsta nc e sa c irc umstanc e in whic h c o nso lida tio n mig ht o c c ur is multiple o b je c tio ns to the sa me a pplic a tio n b a se d o n the sa me g ro und. I n a sse ssing whe the r to c o nso lida te o b je c tio ns, the DRSP will we ig h the e ffic ie nc ie s in time , mo ne y, e ffo rt, a nd c o nsiste nc y that ma y be g a ine d b y c o nso lidatio n a g a inst the pre judic e o r inc o nve nie nc e c o nso lida tio n ma y c a use . T he DRSPs will e nde avo r to have a ll o b je c tio ns re so lve d o n a simila r time line . I t is inte nde d that no se que nc ing o f

b je c tio ns will be e stab lishe d.

Ne w g T L D applic ants and o b je c to rs a lso will be pe rmitte d to pro po se c o nso lida tio n o f o b je c tio ns, b ut it will b e a t the DRSP’ s disc re tio n whe the r to a g re e to the pro po sa l. I CANN c o ntinue s to stro ng ly e nc o urag e a ll o f the DRSPs to c o nso lidate matte rs whe ne ve r prac tic a b le .

3.4.3 Negotiation and.3 Mediation

T he pa rtie s to a dispute re so lutio n pro c e e ding a re e nc o ura g e d—b ut no t re q uire d—to pa rtic ipa te in a c o o ling

ff pe rio d to de te rmine whe the rme dia tio n a ime d a t

se ttling the dispute c an b e re so lve d b y the pa rtie s.. E a c h DRSP ha s pane listse xpe rts who c a n b e re ta ine d as me diato rs to fa c ilitate this pro c e ss, sho uld the pa rtie s e le c t to do so , a nd the DRSPs will c o mmunic a te with the pa rtie s c o nc e rning this o ptio n and a ny a sso c ia te d fe e s. I f a me diato r is a ppo inte d, that pe rso n ma y no t se rve o n the pa ne l to re so lve the o b je c tio nc o nstitute d to issue a n e xpe rt de te rmina tio n in the re late d dispute . T he re a re no a uto matic e xte nsio ns o f time a sso c iate d with a ny c o o ling o ff pe rio dthe c o nduc t o f ne g o tiatio ns o r me diatio n. T he pa rtie s ma y submit jo int re q ue sts fo r e xte nsio ns o f time to the DRSP a c c o rding to its pro c e dure s, a nd the DRSP o r the pa ne l, if a ppo inte d, will de c ide whe the r to g ra nt the re q ue sts, a ltho ug h e xte nsio ns will be disc o ura g e d. T he Ab se nt e xc e ptio na l c irc umsta nc e s, the pa rtie s must limit the ir re q ue sts fo r e xte nsio n to 30 c a le nda r da ys. T he pa rtie s a re fre e to ne g o tiate witho ut me diatio n a t any time , o r to e ng a g e a mutua lly a c c e pta b le me dia to r o f the ir o wn a c c o rd.

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3.3.4.4 Selection and Number of PanelistsExpert Panels

Appro priate lyA pa ne l will c o nsist o f a ppro pria te ly q ua lifie d pa ne lists will b e e xpe rts appo inte d to e a c h pro c e e ding b y the de sig nate d DRSP. Pa ne lists E xpe rts must b e inde pe nde nt o f the pa rtie s to an

b je c tio na dispute re so lutio n pro c e e ding . E

a c h DRSP will fo llo w its a do pte d pro c e dure s fo r re q uiring suc h inde pe nde nc e , inc luding pro c e dure s fo r c ha lle ng ing a nd re pla c ing a pa ne lista n e xpe rt fo r lac k o f inde pe nde nc e . T he re will be o ne pa ne liste xpe rt in pro c e e ding s invo lving a string c o nfusio n o b je c tio n. T he re will be o ne pa ne liste xpe rt, o r, if a ll pa rtie s ag re e , thre e e xpe rts with re le vant e xpe rie nc e in inte lle c tua l pro pe rty rig hts dispute s in pro c e e ding s invo lving a n e xisting le g al rig hts o b je c tio n. T he re will be thre e pane listse xpe rts re c o g nize d a s e mine nt jurists o f inte rnatio nal re putatio n, with e xpe rtise in re le va nt fie lds a s a ppro pria te , in pro c e e ding s invo lving a mor ality and public or der [L imite d Pub lic I nte re st o b je c tio n.]. T he re will be o ne pa ne liste xpe rt in pro c e e ding s invo lving a c o mmunity o b je c tio n. Ne ithe r the pa ne listse xpe rts, the DRSP, I CANN, no r the ir re spe c tive e mplo ye e s, Bo a rd me mbe rsdire c to rs, o r c o nsulta nts will b e lia ble to any pa rty in a ny a c tio n fo r da ma g e s o r injunc tive re lie f fo r a ny a c t o r o missio n in c o nne c tio n with a ny pro c e e ding unde r the dispute re so lutio n pro c e dure s.

3.43.5 Adjudication

At its disc re tio n, the T he pa ne l a ppo inte d b y the DRSP ma y re q ue st furthe r de c ide whe the r the pa rtie s sha ll sub mit a ny writte n sta te me nts o r in a dditio n to the file d o b je c tio n a nd re spo nse , a nd ma y spe c ify time limits fo r suc h sub missio ns. I n o rde r to ac hie ve the g o a l o f re so lving dispute s ra pidly a nd a t re a so na b le c o st, pro c e dure s fo r the pro duc tio n o f do c ume nts fro m the pa rtie s, a ltho ug h suc h re q ue sts will sha ll be limite d a nd infre q ue nt.. I n e xc e ptio na l c a se s, the pa ne l ma y re quire a pa rty to pro duc e a dditio na l e vide nc e . T

ke e p c o sts do wn a nd limit de la ys, the pa ne l will

disc o ura g e a nd, if pra c tic a b le , no t pe rmit a ny do c ume nt

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pro duc tio n o r o the r disc o ve ry-style re que sts fro m the pa rtie s. Witho ut its b e ing re q ue ste d b y the pa rtie s, the pa ne lists ma y a ppo int e xpe rts to Dispute s will usua lly be pa id fo r b y the pa rtie s, re que st live o r writte n witne ss te stimo ny, o r re q ue st limite d e xc ha ng e o f do c ume nts. Any pa rty ma y re q ue st a re so lve d witho ut a n in-pe rso n he a ring ; ho we ve r, it is within the pa ne l’ s disc re tio n whe the r to allo w. T he pa ne l ma y de c ide to ho ld suc h a he a ring . T he pre sumptio n is that the pa ne l will re nde r de c isio ns b a se d o n writte n sub missio ns a nd witho ut a he a ring . I f a re q ue st fo r a he a ring is g ra nte d, vide o c o nfe re nc e s a re to b e use d if po ssib le . I f no t po ssible , the n the DRSP pa ne l will se le c t a pla c e fo r he a ring if the pa rtie s c a nno t a g re e . T he pane l will de te rmine whe the r the he a ring s a re to be public o r private . He a ring s will la st no mo re tha n o ne da y, e xc e pt in the mo st e xc e ptio na l o nly in e xtra o rdina ry c irc umstanc e s. T ypic a lly, dispute re so lutio n pro c e e ding s will b e c o nduc te d in E ng lish, b ut ma y b e c o nduc te d in a no the r lang ua g e in a c c o rda nc e with the rule s o f the pro vide r.

3.43.6 DecisionExpert Determination

T he DRSPs’ fina l de c isio nse xpe rt de te rmina tio ns will be in writing a nd will inc lude :

A summa ry o f the dispute a nd finding s; a nd
An ide ntific a tio n o f the pre va iling pa rty; a nd
T

he re a so ning upo n whic h the de c isio ne xpe rt de te rmina tio n is b a se d. E a c h DRSP will de ve lo p a sing le fo rma t fo r a ll fina l de c isio ns that its pane lists re nde r. T he DRSP will no tify the pa rtie s o f the de c isio n via e ma il. I CANN will stro ng ly e nc o ura g e DRSPs to use re aso na b le e ffo rts to issue a ll fina l de c isio ns within 45 da ys o f the pa ne l a ppo intme nt date unle ss, a fte r b o th pa rtie s have c o mple te d the ir initia l sub missio ns, the pa rtie s jo intly re q ue st a sho rt po stpo ne me nt o f the ir a djudic atio n date to a c c o mmo da te ne g o tia tio n o r me dia tio n o r to a c c o mmo da te o the r a spe c ts o f the pro c e e ding s, a nd the pa ne l a g re e s. Whe n the pa ne l is c o mpo se d o f thre e pa ne lists, the de c isio n will b e ma de b y a ma jo rity o f the pane lists.

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Unle ss the pa ne l de c ide s o the rwise , e a c h DRSP will pub lish a ll de c isio ns re nde re d b y its pa ne ls in full o n its we b site . A dispute re so lutio n T he finding s o f the pane l de c isio n will b e c o nside re d a n e xpe rt de te rminatio n, a nd will b e c o nside re d b ya dvic e that I CANN in ma king a fina l de c isio n re g a rding the suc c e ss o f a ny a pplic a tio nwill a c c e pt within the dispute re so lutio n pro c e ss.

3.43.7 Dispute Resolution FeesCosts

Be fo re a c c e pta nc e o f o b je c tio ns, e a c h DRSP will pub lish a sc he dule o f c o sts o r state me nt o f ho w c o sts will b e c a lc ulate d fo r the pro c e e ding s that it a dministe rs unde r this pro c e dure . T he se c o sts c o ve r the fe e s and e xpe nse s o f the me mb e rs o f the pane l and the DRSP’ s a dministrative c o sts. I CANN e xpe c ts that string c o nfusio n a nd le g a l rig hts

b je c tio n pro c e e ding s will invo lve a fixe d a mo unt c ha rg e d

b y the pa ne lists while mo ra lity a nd pub lic o rde r[L imite d Public I nte re st] a nd c o mmunity o b je c tio n pro c e e ding s will invo lve ho urly ra te s c ha rg e d b y the pa ne lists. Within 7te n (10) busine ss da ys o f c o nstituting the pa ne l, the DRSP will e stimate the to ta l c o sts a nd re que st a dva nc e pa yme nt in full o f its c o sts fro m b o th the o b je c to r a nd the a pplic a nt. E a c h pa rty must make its a dva nc e pa yme nt within 15 c ale nda rte n (10) da ys o f re c e iving the DRSP’ s re q ue st fo r pa yme nt a nd submit to the DRSP e vide nc e o f suc h pa yme nt. T he re spe c tive filing fe e s pa id b y the pa rtie s will b e c re dite d a g a inst the amo unts due fo r this a dva nc e pa yme nt o f c o sts. T he DRSP ma y re vise its e stimate o f the to tal c o sts a nd re q ue st a dditio na l a dvanc e pa yme nts fro m the pa rtie s during the re so lutio n pro c e e ding s. Additio na l fe e s ma y b e re q uire d in spe c ific c irc umsta nc e s; fo r e xa mple , if the DRSP re c e ive s supple me ntal submissio ns

r e le c ts to ho ld a he a ring .

I f a n o bje c to r fa ils to pay the se c o sts in a dva nc e , the DRSP will dismiss its o b je c tio n a nd no fe e s pa id b y the o b je c to r will b e re funde d. I f a n a pplic a nt fa ils to pa y the se c o sts in a dvanc e , the DSRP will susta in the o b je c tio n and no fe e s pa id b y the a pplic a nt will b e re funde d. Afte r the he a ring ha s take n plac e and the pa ne l re nde rs its de c isio ne xpe rt de te rmina tio n, the DRSP will re fund a ny

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c o sts pa id inthe a dvanc e pa yme nt o f c o sts to the pre va iling pa rty.

3.5 4 Dispute Resolution Principles (Standards)

E a c h pa ne l will use a ppro pria te g e ne ra l princ iple s (sta nda rds) to e valuate the me rits o f e a c h o b je c tio n. T he princ iple s fo r a djudic atio n o n e a c h type o f o b je c tio n a re spe c ifie d in the pa ra g ra phs tha t fo llo w. T he pa ne l ma y a lso re fe r to o the r re le vant rule s o f inte rna tio na l la w in c o nne c tio n with the standa rds. T he o b je c to r b e a rs the burde n o f pro o f in e a c h c a se . T he princ iple s o utline d be lo w a re sub je c t to e vo lutio n b a se d o n o ng o ing c o nsulta tio n with DRSPs, le g a l e xpe rts, a nd the pub lic .

3.54.1 String Confusion Objection

A DRSP pa ne l he a ring a string c o nfusio n o b je c tio n will c o nside r whe the r the a pplie d-fo r g T L D string is like ly to re sult in string c o nfusio n. String c o nfusio n e xists whe re a string so ne a rly re se mb le s a no the r that it is like ly to de c e ive o r c a use c o nfusio n. F

like liho o d o f c o nfusio n to e xist, it must b e pro b a b le , no t me re ly po ssib le tha t c o nfusio n will a rise in the mind o f the ave ra g e , re a so na b le I nte rne t use r. Me re a sso c iatio n, in the se nse that the string b ring s a no the r string to mind, is insuffic ie nt to find a like liho o d o f c o nfusio n.

3.54.2 Legal Rights Objection

I n inte rpre ting a nd g iving me aning to GNSO Re c o mme nda tio n 3 (“String s must no t infring e the e xisting le g al rig hts o f o the rs that a re re c o g nize d o r e nfo rc e a ble unde r g e ne ra lly a c c e pte d a nd inte rna tio na lly re c o g nize d princ iple s o f la w”), a DRSP pa ne l o f e xpe rts pre siding o ve r a le g a l rig hts o b je c tio n will de te rmine whe the r the po te ntia l use o f the applie d-fo r T L Dg T L D b y the a pplic a nt ta ke s unfa ir a dvanta g e o f the distinc tive c ha ra c te r o r the re putatio n o f the o b je c to r’ s re g iste re d o r unre g iste re d tra de ma rk o r se rvic e mark (“ma rk”),”) o r I GO na me o r a c ro nym (a s ide ntifie d in the tre a ty e sta b lishing the

rg a niza tio n), o r unjustifia b ly impa irs the distinc tive

c ha ra c te r o r the re putatio n o f the o b je c to r’ s ma rk o r I GO na me o r a c ro nym, o r o the rwise c re ate s a n impe rmissib le like liho o d o f c o nfusio n be twe e n the a pplie d-fo r T L Dg T L D

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a nd the o b je c to r’ s ma rk, b y c o nside ring the fo llo wing no n- e xc lusive fac to rs: o r I GO na me o r a c ro nym. I n the c ase whe re the o b je c tio n is ba se d o n trade ma rk rig hts, the pa ne l will c o nside r the fo llo wing no n-e xc lusive fa c to rs:

1. Whe the r the a pplie d-fo r T

L Dg T L D is ide ntic a l o r simila r, inc luding in a ppe a ra nc e , pho ne tic so und, o r me a ning , to the o b je c to r’ s e xisting ma rk.

2. Whe the r the o b je c to r’ s ac q uisitio n and use o f rig hts in

the ma rk has b e e n b o na fide .

3. Whe the r a nd to what e xte nt the re is re c o g nitio n in the

re le va nt se c to r o f the pub lic o f the sig n c o rre spo nding to the T L Dg T L D, a s the ma rk o f the o b je c to r, o f the a pplic a nt o r o f a third pa rty.

4. Applic a nt’ s inte nt in a pplying fo r the T

L Dg T L D, inc luding whe the r the a pplic ant, at the time o f a pplic atio n fo r the T L Dg T L D, ha d kno wle dg e o f the o b je c to r’ s ma rk, o r c o uld no t have re a so nab ly b e e n una wa re o f that ma rk, a nd inc luding whe the r the a pplic a nt ha s e ng a g e d in a patte rn o f c o nduc t whe re b y it applie d fo r o r o pe ra te s T L Ds o r re g istratio ns in T L Ds whic h a re ide ntic al o r c o nfusing ly simila r to the ma rks o f o the rs.

5. Whe the r a nd to what e xte nt the a pplic a nt ha s use d, o r

ha s ma de de mo nstrab le pre pa ratio ns to use , the sig n c o rre spo nding to the T L Dg T L D in c o nne c tio n with a b o na fide o ffe ring o f g o o ds o r se rvic e s o r a b o na fide pro visio n o f info rma tio n in a wa y tha t do e s no t inte rfe re with the le g itimate e xe rc ise b y the o b je c to r o f its ma rk rig hts.

6. Whe the r the a pplic ant ha s ma rks o r o the r inte lle c tua l

pro pe rty rig hts in the sig n c o rre spo nding to the T L Dg T L D, a nd, if so , whe the r a ny a c q uisitio n o f suc h a rig ht in the sig n, a nd use o f the sig n, ha s be e n bo na fide , a nd whe the r the purpo rte d o r like ly use o f the T L Dg T L D b y the a pplic a nt is c o nsiste nt with suc h a c q uisitio n o r use .

7. Whe the r a nd to what e xte nt the a pplic a nt ha s be e n

c o mmo nly kno wn b y the sig n c o rre spo nding to the T L Dg T L D, a nd if so , whe the r a ny purpo rte d o r like ly use

f the T

L Dg T L D b y the a pplic a nt is c o nsiste nt the re with a nd b o na fide .

8. Whe the r the a pplic a nt’ s inte nde d- use o f the T

L Dg T L D wo uld c re ate a like liho o d o f c o nfusio n with the

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b je c to r’ s ma rk a s to the so urc e , spo nso rship, a ffilia tio n,
r e ndo rse me nt o f the T

L Dg T L D. 3.5.3 Mo ra lityI n the c a se whe re a le g al rig hts o b je c tio n ha s b e e n file d b y a n I GO, the pa ne l will c o nside r the fo llo wing no n-e xc lusive fa c to rs:

1. Whe the r the a pplie d-fo r g T

L D is ide ntic a l o r simila r, inc luding in a ppe a ra nc e , pho ne tic so und o r me a ning , to the na me o r a c ro nym o f the o b je c ting I GO;

2. Histo ric a l c o e xiste nc e o f the I

GO a nd the applic ant’ s use o f a simila r na me o r a c ro nym. F a c to rs c o nside re d ma y inc lude : a . L e ve l o f g lo b a l re c o g nitio n o f b o th e ntitie s; b . L e ng th o f time the e ntitie s have be e n in e xiste nc e ; c . Public Orde rhisto ric a l e vide nc e o f the ir e xiste nc e , whic h ma y inc lude whe the r the

b je c ting I

GO ha s c o mmunic a te d its na me o r a b b re via tio n unde r Artic le 6te r

f the Pa ris

Co nve ntio n fo r the Pro te c tio n o f I ndustria l Pro pe rty.

3. Whe the r a nd to what e xte nt the a pplic a nt ha s use d, o r

ha s ma de de mo nstrab le pre pa ratio ns to use , the sig n c o rre spo nding to the T L D in c o nne c tio n with a bo na fide o ffe ring o f g o o ds o r se rvic e s o r a b o na fide pro visio n o f info rma tio n in a wa y tha t do e s no t inte rfe re with the le g itimate e xe rc ise o f the o b je c ting I GO’ s na me o r a c ro nym;

4. Whe the r a nd to what e xte nt the a pplic a nt ha s be e n

c o mmo nly kno wn b y the sig n c o rre spo nding to the a pplie d-fo r g T L D, a nd if so , whe the r a ny purpo rte d o r like ly use o f the g T L D b y the a pplic ant is c o nsiste nt the re with and b o na fide ; a nd

5. Whe the r the a pplic ant’ s inte nde d use o f the a pplie d-

fo r g T L D wo uld c re ate a like liho o d o f c o nfusio n with the

b je c ting I

GO’ s name o r a c ro nym a s to the so urc e , spo nso rship, a ffilia tio n, o r e ndo rse me nt o f the T L D.

3.4.3 [Limited Public Interest Objection]

T his se c tio n is unde r c o nstruc tio n. I CANN e xpe c ts to imple me ntAn e xpe rt pa ne l he a ring a sta nda rd[L imite d Pub lic I nte re st o b je c tio n] will c o nside r whe the r the a pplie d- fo r g T L D string is c o ntra ry to g e ne ra l princ iple s o f inte rna tio na l la w fo r mo ra lity a nd pub lic o rde r o b je c tio ns in

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a c c o rda nc e with inte rna tio na l le g a l princ iple s. Ac c o rding ly, I CANN ha s re vie we d le g a l syste ms in a ll I CANN re g io ns. I CANN ha s a lso c o nsulte d with judg e s, atto rne ys, a nd le g al e xpe rts in ma ny jurisdic tio ns. T he . E xa mple s o f instrume nts c o nta ining suc h g e ne ra l princ iple s g uiding I CANN in the e sta b lishme nt o f dispute re so lutio n sta nda rds a re : (1) e ve ryo ne has the rig ht to fre e do m o f e xpre ssio n; a nd (2) suc h fre e do minc lude :

he Unive rsal De c la ratio n o f e xpre ssio n ma y b e sub je c t to c e rta in na rro wly inte rpre te d e xc e ptio ns that a re ne c e ssa ry to pro te c t o the r impo rtant rig hts. Se e Artic le s 19 a nd 20 o f the Huma n Rig hts (UDHR)

he I nte rnatio na l Co ve na nt o n Civil a nd Po litic al Rig hts. I CANN c o ntinue s to a ddre ss (I CCPR)

he Co nve ntio n o n the E limina tio n o f All F

rms o f

Disc riminatio n Ag a inst Wo me n (CE DAW)

he I nte rnatio na l Co nve ntio n o n the E liminatio n o f All F

rms o f Ra c ia l Disc riminatio n
De c la ra tio n o n the c ha lle ng e o f ide ntifying

sta nda rds appro priate fo rE limina tio n o f Vio le nc e a g a inst Wo me n

he I nte rna tio na l Co ve na nt o n E c o no mic , So c ia l, a nd Cultural Rig hts

he Co nve ntio n a g a inst T

rture a nd Othe r Crue l,

I nhuma n, o r De g ra ding T re a tme nt o r Punishme nt

he I nte rna tio na l Co nve ntio n o n the g lo b a l na me spa c e Pro te c tio n o f the Rig hts o f a ll Mig ra nt Wo rke rs a nd Me mbe rs o f the ir F amilie s

Sla ve ry Co nve ntio n
Co nve ntio n o n the Pre ve ntio n a nd Punishme nt o f

the Crime o f Ge no c ide

Co nve ntio n o n the Rig hts o f the Child

No te that the se a re inc lude d to se rve a s e xample s, ra the r tha n an e xha ustive list. I t sho uld b e no te d that the se instrume nts va ry in the ir ra tific a tio n sta tus. Additio na lly, state s ma y limit the sc o pe o f c e rta in pro visio ns thro ug h re se rva tio ns a nd de c la ra tio ns indic a ting ho w the y will inte rpre t a nd a pply c e rta in pro visio ns. Na tio na l la ws no t

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b a se d o n princ iple s o f inte rnatio na l law a re no t a va lid g ro und fo r a [L imite d Pub lic I nte re st o b je c tio n]. Unde r the se princ iple s, e ve ryo ne ha s the rig ht to fre e do m

f e xpre ssio n, b ut the e xe rc ise o f this rig ht c a rrie s with it

spe c ial dutie s a nd re spo nsib ilitie s. Ac c o rding ly, c e rta in limite d re stric tio ns ma y a pply. T he g ro unds upo n whic h a n a pplie d-fo r g T L D string ma y b e c o nside re d c o ntra ry to g e ne ra lly a c c e pte d le g al no rms re lating to mo ra lity a nd pub lic o rde r that a re re c o g nize d unde r princ iple s o f inte rna tio na l law a re :

nc ite me nt to o r pro mo tio n o f vio le nt la wle ss a c tio n;

nc ite me nt to o r pro mo tio n o f disc riminatio n base d upo n ra c e , c o lo r, g e nde r, e thnic ity, re lig io n o r na tio na l o rig in;

nc ite me nt to o r pro mo tio n o f c hild po rno g ra phy o r

the r se xua l a b use o f c hildre n; o r
A de te rmina tio n tha t a n a pplie d-fo r g T

L D string wo uld b e c o ntra ry to spe c ific princ iple s o f inte rna tio na l la w a s re fle c te d in re le va nt inte rna tio na l instrume nts o f la w. T he pane l will c o nduc t the ir a na lysis o n the b a sis o f the a pplie d-fo r g T L D string itse lf. T he pa ne l ma y, if ne e de d, use a s a dditio nal c o nte xt the inte nde d purpo se o f the T L D a s sta te d in the a pplic a tio n.

3.54.4 Community Objection

T he fo ur te sts de sc rib e d he re will e na b le a DRSP pa ne l to de te rmine whe the r the re is sub sta ntial o ppo sitio n fro m a sig nific a nt po rtio n o f the c o mmunity to whic h the string ma y b e ta rg e te d. F

r a n o b je c tio n to b e suc c e ssful, the
b je c to r must pro ve that:
T

he c o mmunity invo ke d b y the o bje c to r is a de fine dc le arly de line a te d c o mmunity; a nd

Co mmunity o ppo sitio n to the a pplic a tio n is

substantial; a nd

he re is a stro ng a sso c iatio n b e twe e n the c o mmunity invo ke d a nd the applie d-fo r g T L D string ; a nd

he re is a like liho o d o f ma te ria l de trime nt to the c o mmunity na me d b y the o b je c to r, a nd the

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b ro a de r I nte rne t c o mmunity, if the g T L D a pplic atio n is a ppro ve d. E a c h o f the se te sts is de sc rib e d in furthe r de ta il b e lo w.

Co mmunity – T

he o b je c to r must pro ve that the c o mmunity e xpre ssing o ppo sitio n c an b e re g a rde d a s a we ll- de fine dc le arly de line a te d c o mmunity. A pa ne l c o uld b a lanc e a numb e r o f fa c to rs to de te rmine this, inc luding b ut no t limite d to :

e ve lT he le ve l o f pub lic re c o g nitio n o f the g ro up a s a c o mmunity a t a lo c al a nd/ o r g lo b a l le ve l;

e ve lT he le ve l o f fo rma l b o unda rie s a ro und the c o mmunity a nd what e le me ntspe rso ns o r e ntitie s a re c o nside re d to fo rm the c o mmunity;

Ho w lo ng T

he le ng th o f time the c o mmunity ha s b e e n in e xiste nc e ;

Ho w g lo b a lly distrib ute d is T

he g lo b a l distrib utio n o f the c o mmunity (b re a dth, le ve l o f impo rta nc e )(this ma y no t a pply if the c o mmunity is te rrito ria l); a nd

Ho w ma nyT

he numbe r o f pe o ple o r e ntitie s that ma ke up the c o mmunity. I f o ppo sitio n b y a numbe r o f pe o ple / e ntitie s is fo und, b ut the g ro up c la iming o ppo sitio nre pre se nte d b y the o b je c to r is no t de te rmine d to b e a distinc tc le a rly de line ate d c o mmunity, the o b je c tio n will fa il.

Substantial Oppo sitio n – T

he o b je c to r must pro ve substantial o ppo sitio n within the c o mmunity it ha s ide ntifie d. itse lf a s re pre se nting . A pa ne l c o uld ba la nc e a numbe r o f fa c to rs to de te rmine whe the r the re is substantial

ppo sitio n, inc luding b ut no t limite d to :
Numb e r o f e xpre ssio ns o f o ppo sitio n re lative to the

c o mpo sitio n o f the c o mmunity;

he re pre se ntative nature o f e ntitie s e xpre ssing

ppo sitio n;
L

e ve l o f re c o g nize d sta ture o r we ig ht a mo ng so urc e s o f o ppo sitio n;

Distrib utio n o r dive rsity a mo ng so urc e s o f

e xpre ssio ns o f o ppo sitio n, inc luding :

Re g io na l
Sub se c to rs o f c o mmunity

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e a de rship o f c o mmunity

Me mb e rship o f c o mmunity
Nature / inte nsityHisto ric a l de fe nse o f o ppo sitio nthe

c o mmunity in o the r c o nte xts; a nd

Co sts inc urre d b y o b je c to r in e xpre ssing o ppo sitio n,

inc luding what o the r c ha nne ls the ythe o b je c to r ma y have use d to c o nve y the ir o ppo sitio n. I f so me o ppo sitio n within the c o mmunity is de te rmine d, b ut it do e s no t me e t the standa rd o f sub stantial o ppo sitio n, the

b je c tio n will fa il.

T ar ge ting – T

he o b je c to r must pro ve a na stro ng a sso c iatio n b e twe e n the a pplie d-fo r g T L D string a nd the c o mmunity e xpre ssing o ppo sitio n.re pre se nte d by the o b je c to r. F a c to rs that c o uld be b ala nc e d b y a pa ne l to de te rmine this inc lude but a re no t limite d to :

Sta te me nts c o nta ine d in a pplic a tio n;
Othe r pub lic state me nts b y the applic a nt;
Asso c ia tio ns b y the public .

I f o ppo sitio n b y a c o mmunity is de te rmine d, b ut the re is no c le a r c o nne c tio nstro ng a sso c iatio n b e twe e n the c o mmunity a nd the a pplie d-fo r g T L D string , the o b je c tio n will fa il.

De tr ime nt – T

he o b je c to r must pro ve tha t the re isthe a pplic a tio n c re ate s a like liho o d o f ma te ria l de trime nt to the rig hts o r le g itimate inte re sts o f its asso c iate d c o mmunity. a nd the b ro a de r I nte rne t c o mmunity. An a lle g a tio n o f de trime nt tha t c o nsists o nly o f the a pplic a nt b e ing de le g a te d the string inste a d o f the o b je c to r will no t b e suffic ie nt fo r a finding o f ma te ria l de trime nt. F a c to rs that c o uld be use d b y a pa ne l in ma king this de te rmina tio n inc lude but a re no t limite d to :

Da ma g e Nature and e xte nt o f da mag e to the

re putatio n o f the c o mmunity re pre se nte d b y the

b je c to r tha t wo uld re sult fro m the a pplic a nt’ s
pe ra tio n o f the a pplie d-fo r g T

L D string ;

vide nc e that the a pplic a nt is no t ac ting o r do e s no t inte nd to a c t in a c c o rda nc e with the inte re sts

f the c o mmunity o r o f use rs mo re wide ly, inc luding

e vide nc e that the a pplic a nt ha s no t pro po se d o r

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do e s no t inte nd to institute e ffe c tive se c urity pro te c tio n fo r use r inte re sts;

nte rfe re nc e with the c o re a c tivitie s o f the c o mmunity tha t wo uld re sult fro m the a pplic a nt’ s

pe ra tio n o f the a pplie d-fo r g T

L D string ; a nd

De pe nde nc e o f the c o mmunity re pre se nte d b y the
b je c to r o n the DNS fo r its c o re a c tivitie s.;
De fe nse s – Satisfa c tio nNa ture a nd e xte nt o f the

sta nding re q uire me nts fo r filing a Co mmunity Ob je c tio n (re fe rc o nc re te o r e c o no mic da ma g e to pa ra g ra ph 3.1.2.4)the c o mmunity re pre se nte d b y the a pplic anto b je c to r, a nd the b ro a de r I nte rne t c o mmunity tha t wo uld re sult fro m the a pplic a nt’ s

pe ra tio n o f the a pplie d-fo r g T

L D string ; a nd

e ve l o f c e rta inty tha t a lle g e d de trime nta l

utc o me s wo uld o c c ur.

I f o ppo sitio n b y a c o mmunity is a c o mple te de fe nse de te rmine d, b ut the re is no like liho o d o f ma te ria l de trime nt to a nthe c o mmunity re sulting fro m the a pplic a nt’ s o pe ra tio n o f the a pplie d-fo r g T L D, the

b je c tio n file d o n c o mmunity g ro unds.will fa il.

T he o b je c to r must me e t a ll fo ur te sts in the sta nda rd fo r the

b je c tio n to pre va il.7

7 After careful consideration of community feedback on this section, the complete defense has been eliminated. However, in order

to prevail in a community objection, the objector must prove an elevated level of likely detriment.

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Module 4

String Contention Procedures

T his mo dule de sc rib e s situa tio ns in whic h c o nte ntio n o ve r a pplie d-fo r g T L D string s o c c urs, a nd the two me tho ds a va ila b le to a pplic a nts fo r re so lving suc h c o nte ntio n c a se s.

4.1 String Contention

String c o nte ntio n o c c urs whe n e ithe r:

1. T

wo o r mo re a pplic a nts fo r a n ide ntic a l g T L D string suc c e ssfully c o mple te a ll pre vio us sta g e s o f the e va lua tio n a nd dispute re so lutio n pro c e sse s; o r

2. T

wo o r mo re a pplic a nts fo r simila r g T L D string s suc c e ssfully c o mple te a ll pre vio us sta g e s o f the e va lua tio n a nd dispute re so lutio n pro c e sse s, a nd the simila rity o f the string s is ide ntifie d a s c re a ting a pro b a b ility o f use r c o nfusio n if mo re tha n o ne o f the string s is de le g a te d. I CANN will no t a ppro ve a pplic a tio ns fo r pro po se d g T L D string s tha t a re ide ntic a l o r tha t wo uld re sult in string use r c o nfusio n, c a lle d c o nte nding string s. I f e ithe r situa tio n 1 o r 2 a b o ve o c c urs, suc h a pplic a tio ns will pro c e e d to c o nte ntio n re so lutio n thro ug h e ithe r c o mpa ra tive c o mmunity prio rity e va lua tio n, in c e rta in c a se s, o r thro ug h a n e ffic ie nt me c ha nism fo r c o nte ntio n re so lutio n, b o th o f whic ha uc tio n. Bo th pro c e sse s a re de sc rib e d in this mo dule . A g ro up o f a pplic a tio ns fo r c o nte nding string s is re fe rre d to a s a c o nte ntio n se t. (I n this Applic a nt Guide b o o k, “simila r” me a ns string s so simila r tha t the y c re a te a pro b a b ility o f use r c o nfusio n if mo re tha n o ne o f the string s is de le g a te d into the ro o t zo ne .)

4.1.1 Identification of Contention Sets

Co nte ntio n se ts a re g ro ups o f a pplic a tio ns c o nta ining ide ntic a l o r simila r a pplie d-fo r g T L D string s. (I n this RF P, “simila r” me a ns string s so simila r tha t it is pro b a b le tha t de trime nta l use r c o nfusio n wo uld re sult if the two simila r g T L Ds a re de le g a te d into the ro o t zo ne .) Co nte ntio n se ts a re ide ntifie d during I nitia l E va lua tio n fro mfo llo wing re vie w

f a ll a pplie d-fo r T

L Dg T L D string s b y the pa ne l o f String

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Simila rity E xa mine rs. I CANN will pub lish pre limina ry c o nte ntio n se ts b y the c lo se o f the I nitia l E va lua tio n pe rio do nc e the String Simila rity re vie w is c o mple te d, a nd will upda te the c o nte ntio n se ts a s ne c e ssa ry during the e va lua tio n a nd dispute re so lutio n sta g e s. Applic a tio ns fo r ide ntic a l g T L D string s will b e a uto ma tic a lly a ssig ne d to a c o nte ntio n se t. F

r e xa mple , if Applic a nt A

a nd Applic a nt B b o th a pply fo r .T L DST RI NG, the y will b e ide ntifie d a s b e ing in a c o nte ntio n se t. Suc h te sting fo r ide ntic a l string s a lso ta ke s into c o nside ra tio n the c o de po int va ria nts liste d in a ny re le va nt la ng ua g e re fe re nc e ta b le I DN ta b le . T ha t is, two o r mo re a pplic a nts who se a pplie d-fo r string s o r de sig na te d va ria nts a re va ria nt string s a c c o rding to a n I DN ta b le sub mitte d to I CANN wo uld b e c o nside re d in dire c t c o nte ntio n with o ne a no the r. F

e xa mple , if o ne a pplic a nt a pplie s fo r string A a nd a no the r a pplie s fo r string B, a nd string s A a nd B a re va ria nt T L D string s a s de fine d in Mo dule 1, the n the two a pplic a tio ns a re in dire c t c o nte ntio n. T he String Simila rity E xa mine rsPa ne l will a lso re vie w the e ntire po o l o f a pplie d-fo r string s to de te rmine whe the r the string s pro po se d in a ny two o r mo re a pplic a tio ns a re so simila r tha t the y wo uld c re a te a pro b a b ility o f use r c o nfusio n if a llo we d to c o e xist in the DNS. T he pa ne l will ma ke suc h a de te rmina tio n fo r e a c h pa ir o f a pplie d-fo r g T L D string s. T he o utc o me o f the String Co nfusio n Re vie wSimila rity re vie w de sc rib e d in sub se c tio n Mo dule 2.1.1 is the ide ntific a tio n o f c o nte ntio n se ts a mo ng a pplic a tio ns tha t ha ve dire c t o r indire c t c o nte ntio n re la tio nships with o ne a no the r. T wo string s a re in dir

ec t c ontention if the y a re ide ntic a l o r so

simila r tha t the re is a pro b a b ility o f use r c o nfusio n if b o th we re to b e de le g a te d a s T L Ds in the ro o t zo ne o ne a no the r. Mo re tha n two a pplic a nts mig ht b e re pre se nte d in a dire c t c o nte ntio n situa tio n: if fo ur diffe re nt a pplic a nts a pplie d fo r the sa me g T L D string , the y wo uld a ll b e in dire c t c o nte ntio n with o ne a no the r. T wo string s a re in indir

ec t c ontention if the y a re b o th in

dire c t c o nte ntio n with a third string , b ut no t with o ne a no the r. Dire c tT he e xa mple tha t fo llo ws e xpla ins dire c t a nd indire c t c o nte ntio n is e xpla ine d in g re a te r de ta il in the e xa mple tha t fo llo ws. I n F ig ure 4-1, String s A a nd B a re a n e xa mple o f dire c t c o nte ntio n. String s C a nd G a re a n e xa mple o f indire c t

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c o nte ntio n. C a nd G b o th c o nte nd with B, b ut no t with o ne a no the r. T he fig ure a s a who le is o ne c o nte ntio n se t. A c o nte ntio n se t c o nsists o f a ll a pplic a tio ns tha t a re linke d b y string c o nte ntio n to o ne a no the r, dire c tly o r indire c tly. Figure 4-1 – This diagram represents one contention set, featuring both directly and indirectly contending strings. While pre limina ry c o nte ntio n se ts a re de te rmine d during I nitia l E va lua tio n, the fina l c o nfig ura tio n o f the c o nte ntio n se ts c a n o nly b e e sta b lishe d o nc e the e va lua tio n a nd dispute re so lutio n pro c e ss ste pssta g e s ha ve c o nc lude d. T his is b e c a use a ny a pplic a tio n e xc lude d thro ug h tho se ste pspro c e sse s mig ht mo dify a c o nte ntio n se t ide ntifie d e a rlie r. A c o nte ntio n se t ma y b e split it into two se ts o r it ma y b e e limina te d a lto g e the r a s a re sult o f a n E xte nde d E va lua tio n o r dispute re so lutio n pro c e e ding . A c o nte ntio n se t ma y b e a ug me nte d, split into two se ts, o r e limina te d a lto g e the r a s a re sult o f a n E xte nde d E va lua tio n

r dispute re so lutio n pro c e e ding . T

he c o mpo sitio n o f a c o nte ntio n se t ma y a lso b e mo difie d a s so me a pplic a tio ns ma y b e vo lunta rily withdra wn thro ug ho ut the pro c e ss. Re fe r to F ig ure 4-2: I n c o nte ntio n se t 1, a pplic a tio ns D a nd G a re e limina te d. Applic a tio n A is the o nly re ma ining a pplic a tio n, so the re is no c o nte ntio n le ft to re so lve . I n c o nte ntio n se t 2, a ll a pplic a tio ns suc c e ssfully c o mple te E xte nde d E va lua tio n a nd Dispute Re so lutio n, so the o rig ina l c o nte ntio n se t re ma ins to b e re so lve d. I n c o nte ntio n se t 3, a pplic a tio n F is e limina te d. Sinc e a pplic a tio n F wa s in dire c t c o nte ntio n with E a nd J, b ut E a nd J a re no t in c o nte ntio n with o ne o the r, the o rig ina l

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c o nte ntio n se t splits into two se ts: o ne c o nta ining E a nd K in dire c t c o nte ntio n, a nd o ne c o nta ining I a nd J. Figure 4-2 – Resolution of string contention cannot begin until all applicants within a contention set have completed all applicable previous stages. T he re ma ining c o nte ntio n c a se s must the n b e re so lve d thro ug h c o mpa ra tive c o mmunity prio rity e va lua tio n o r a n e ffic ie nt me c ha nism fo r c o nte ntio n re so lutio nb y o the r me a ns, de pe nding o n the c irc umsta nc e s. I n this pro c e ssthe string c o nte ntio n re so lutio n sta g e , I CANN a ddre sse s e a c h c o nte ntio n se t to a c hie ve a n una mb ig uo us re so lutio n. I n the ir po lic y a dvic e , the GNSO c a lle d fo r a n e ffic ie nt pro c e ss to re so lve c a se s o f c o nte ntio n whe re the re wa s no c la im o f c o mmunity re pre se nta tio n to b e use d a s a fa c to r fo r re so lving the c o nte ntio n. While no t se ttle d, c a ndida te me a ns fo r this pro c e ss a re disc usse d b e lo w a nd in mo re de ta il in a c o mpa nio n pa pe r to the Dra ft Applic a nt Guide b o o k c a lle d “Re so lving string c o nte ntio n—a c o mple te life c yc le inc luding string c o nte ntio n re so lutio n.” (Se e http:/ / www.ic a nn.o rg / e n/ to pic s/ string -c o nte ntio n- 22o c t08.pdf). As de sc rib e d e lse whe re in this g uide b o o k, c a se s o f c o nte ntio n mig ht b e re so lve d b y c o mmunity prio rity e va lua tio n o r a n a g re e me nt a mo ng the pa rtie s. Ab se nt tha t, the la st-re so rt c o nte ntio n re so lutio n me c ha nism will b e a n a uc tio n.

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4.1.2 Impact of String Confusion Dispute Resolution Proceedings on Contention Sets

I f a n a pplic a nt file s a string c o nfusio n o b je c tio n a g a inst a no the r a pplic a nta pplic a tio n (re fe r to Mo dule 3), a nd the pa ne l do e s findfinds tha t string use r c o nfusio n e xists; is pro b a b le (tha t is, rule sfinds in fa vo r o f the o b je c to r,), the two a pplic a ntsa pplic a tio ns will b e pla c e d in dire c t c o nte ntio n with e a c h o the r. T hus, the o utc o me o f a dispute re so lutio n pro c e e ding b a se d o n a string c o nfusio n

b je c tio n wo uld re sult inb e a ne w c o nte ntio n se t struc ture

fo r the re le va nt a pplic a tio ns., a ug me nting the o rig ina l c o nte ntio n se t. I f a n a pplic a nt file s a string c o nfusio n o b je c tio n a g a inst a no the r a pplic a tio n, a nd the pa ne l finds tha t string c o nfusio n do e s no t e xist (tha t is, finds in fa vo r o f the re spo nding a pplic a nt), the two a pplic a tio ns will no t b e c o nside re d in dire c t c o nte ntio n with o ne a no the r. A dispute re so lutio n o utc o me in the c a se o f a string c o nfusio n o b je c tio n file d b y a no the r a pplic a nt will no t re sult in re mo va l o f a n a pplic a tio n fro m a pre vio usly e sta b lishe d c o nte ntio n se t.

4.1.3 Self-Resolution of String Contention

Applic a nts tha t a re ide ntifie d a s b e ing in c o nte ntio n ma y e le c ta re e nc o ura g e d to re a c h a se ttle me nt o r a g re e me nt a mo ng the mse lve s whe re b y o ne o r mo re a pplic a nts withdra ws its a pplic a tio ntha t re so lve s the c o nte ntio n. T his ma y o c c ur a t a ny sta g e o f the pro c e ss, o nc e I CANN pub lic ly po sts the a pplic a tio ns re c e ive d a nd the pre limina ry c o nte ntio n se ts o n its we b site . Applic a nts ma y no t re so lve a c a se o f string c o nte ntio n b y c ha ng ing the ir a pplic a tio ns b y, fo r insta nc e , se le c ting a ne w T L D string o r c re a ting a jo int ve nture a s a me a ns to re so lve the c o nte ntio n c a se . Applic a nts ma y re so lve string c o nte ntio n in a ma nne r whe re b y o ne o r mo re a pplic a nts withdra w the ir a pplic a tio ns. An a pplic a nt ma y no t re so lve string c o nte ntio n b y se le c ting a ne w string o r b y re pla c ing itse lf with a jo int ve nture . I t is unde rsto o d tha t a pplic a nts ma y se e k to e sta b lish jo int ve nture s in the ir e ffo rts to re so lve string c o nte ntio n. Ho we ve r, ma te ria l c ha ng e s in a pplic a tio ns (fo r e xa mple , c o mb ina tio ns o f a pplic a nts to re so lve c o nte ntio n) will re q uire re -e va lua tio n. T his mig ht

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re q uire a dditio na l fe e s o r e va lua tio n in a sub se q ue nt a pplic a tio n ro und. Applic a nts a re e nc o ura g e d to re so lve c o nte ntio n b y c o mb ining in a wa y tha t do e s no t ma te ria lly a ffe c t the re ma ining a pplic a tio n. Ac c o rding ly, ne w jo int ve nture s must ta ke pla c e in a ma nne r tha t do e s no t ma te ria lly c ha ng e the a pplic a tio n, to a vo id b e ing sub je c t to re -e va lua tio n.

4.1.4 Possible Contention Resolution Outcomes

AnyAn a pplic a tio n with tha t ha s suc c e ssfully c o mple te d a ll pre vio us sta g e s a nd is no lo ng e r pa rt o f a c o nte ntio n situa tio n le ftse t due to re so lve is a llo we d to c ha ng e s in the c o mpo sitio n o f the c o nte ntio n se t (a s de sc rib e d in sub se c tio n 4.1.1) o r se lf-re so lutio n b y a pplic a nts in the c o nte ntio n se t (a s de sc rib e d in sub se c tio n 4.1.3) ma y pro c e e d to the ne xt ste p. sta g e . An a pplic a tio n tha t pre va ils in a c o nte ntio n re so lutio n pro c e dure , e ithe r c o mmunity prio rity e va lua tio n o r a uc tio n, ma y pro c e e d to the ne xt sta g e . I n so me c a se s, a n a pplic a nt who is no t the o utrig ht winne r

f a string c o nte ntio n re so lutio n pro c e ss c a n still pro c e e d.

T his situa tio n is e xpla ine d in the fo llo wing pa ra g ra phs. T he re ma y b e mo re tha n o ne a pplic a tio n tha t pa sse s c o nte ntio n re so lutio n within a c o nte ntio n se t. I f the string s within a g ive n c o nte ntio n se t a re a ll ide ntic a l, the a pplic a tio ns a re in dire c t c o nte ntio n with e a c h o the r a nd the re c a n o nly b e o ne winne r tha t pro c e e ds to the ne xt ste p. Ho we ve r, whe re the re a re b o th dire c t a nd indire c t c o nte ntio n situa tio ns within a se t, mo re tha n o ne string ma y survive the re so lutio n. F

r e xa mple , ifc o nside r a c a se whe re string A is in

c o nte ntio n with B, a nd B is in c o nte ntio n with C, b ut C is no t in c o nte ntio n with A. I f A wins the c o nte ntio n re so lutio n pro c e dure , B is e limina te d b ut C c a n g o o npro c e e d sinc e C is no t in dire c t c o nte ntio n with the winne r a nd b o th string s c a n c o e xist in the DNS witho ut risk fo r c o nfusio n.

4.2 ComparativeCommunity Priority Evaluation

Co mpa ra tive Co mmunity prio rity e va lua tio n will o nly o c c ur if a c o mmunity-b a se d a pplic a nt se le c ts this o ptio n.

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Co mmunity prio rity e va lua tio n c a n b e g in o nc e a ll a pplic a ntsa pplic a tio ns in the c o nte ntio n se t ha ve c o mple te d a ll pre vio us sta g e s o f the pro c e ss. T he c o mpa ra tive c o mmunity prio rity e va lua tio n is a n inde pe nde nt a na lysis. Sc o re s re c e ive d in the a pplic a nt re vie ws a re no t c a rrie d fo rwa rd to the c o mpa ra tive c o mmunity prio rity e va lua tio n. E a c h a pplic a nta pplic a tio n pa rtic ipa ting in the c o mpa ra tive c o mmunity prio rity e va lua tio n b e g ins with a sc o re o f ze ro .

4.2.1 Eligibility for ComparativeCommunity Priority Evaluation

As de sc rib e d in sub se c tio n 1.2.23 o f Mo dule 1, a ll a pplic a nts a re re q uire d to ide ntify whe the r the ir a pplic a tio n type is:

Ope n; o r
Co mmunity-b a se d.; o r
Only c o mmunity-b a se d a pplic a nts ma y e le c t a

c o mpa ra tive e va lua tio n. I CANN po lic y sta te s tha t if the re is c o nte ntio n fo r string s, a c la im to suppo rt a c o mmunity b y o ne pa rty will b e a re a so n to a wa rd prio rity to tha t a pplic a tio n. I f o ne c o mmunity-b a se d a pplic a nt within a c o nte ntio n se t ma ke s this e le c tio n, a ll o the r c o mmunity-b a se d a pplic a nts in the sa me c o nte ntio n se t will b e pa rt o f the c o mpa ra tive e va lua tio n.Sta nda rd. Applic a nts de sig na ting the ir a pplic a tio ns a s c o mmunity- b a se d willa re a lso b e a ske d to re spo nd to a se t o f q ue stio ns in the a pplic a tio n fo rm tha t wo uldto pro vide re le va nt info rma tio n if a c o mpa ra tive c o mmunity prio rity e va lua tio n o c c urs. Be fo re the c o mpa ra tive Only c o mmunity-b a se d a pplic a nts a re e lig ib le to pa rtic ipa te in a c o mmunity prio rity e va lua tio n b e g ins. At the sta rt o f the c o nte ntio n re so lutio n sta g e , a ll c o mmunity-b a se d a pplic a nts in the within re ma ining c o nte ntio n se t ma yse ts will b e a ske d to pro vide a dditio na l info rma tio n re le va nt to no tifie d o f the c o mpa ra tive o ppo rtunity to o pt fo r a c o mmunity prio rity e va lua tio n. Additio na lly, the c o mmunity-b a se d a pplic a nts

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will b e re q uire d to pa y a Co mpa ra tive E va lua tio n F e e (re fe r to Se c tio n 1.5 o f Mo dule 1) to pa rtic ipa te in the c o mpa ra tive e va lua tio n.

4.2.2 Comparative Evaluation Procedure

Co mpa ra tive e va lua tio ns fo r e a c h c o nte ntio n se t will b e pe rfo rme d b y a c o mpa ra tive e va lua tio n pro vide r a ppo inte d b y I CANN to re vie w a ll via sub missio n o f a de po sit b y a spe c ifie d da te . Only tho se a pplic a tio ns fo r c o nte nding g T L D string s. T he pane l’ s c ha rte r is to de te rmine whe the r o ne o f the c o mmunity-b a se d a pplic a tio ns c le a rly a nd de mo nstra b ly wo uld a dd mo re va lue to whic h a de po sit ha s b e e n re c e ive d b y the de a dline will b e sc o re d in the c o mmunity prio rity e va lua tio n. F

llo wing the

e va lua tio n, the de po sit will b e re funde d to a pplic a nts tha t sc o re 14 o r hig he r. Be fo re the c o mmunity prio rity e va lua tio n b e g ins, the I nte rne t’ s Do ma in Na me Syste m. Ope na pplic a nts who ha ve e le c te d to pa rtic ipa te ma y b e a ske d to pro vide a dditio na l info rma tio n re le va nt to the c o mmunity prio rity e va lua tio n.

4.2.2 Community Priority Evaluation Procedure

Co mmunity prio rity e va lua tio ns fo r e a c h e lig ib le c o nte ntio n se t will b e pe rfo rme d b y a c o mmunity prio rity pa ne l a ppo inte d b y I CANN to re vie w the se a pplic a tio ns. T he pa ne l’ s ro le is to de te rmine whe the r a ny o f the c o mmunity- b a se d a pplic a tio ns fulfills the c o mmunity prio rity c rite ria . Sta nda rd a pplic a nts within the c o nte ntio n se t, if a ny, will no t pa rtic ipa te in the c o mpa ra tive c o mmunity prio rity e va lua tio n. I f no a sing le c o mmunity-b a se d a pplic a tio n is fo und to me e t the c o mmunity prio rity c rite ria (se e sub se c tio n 4.2.3 b e lo w), tha t a pplic a nt e me rg e s a s o ne tha t c le a rlywill b e de c la re d to pre va il in the c o mmunity prio rity e va lua tio n a nd de mo nstra b ly a ddsma y pro c e e d. I f mo re va lue to the na me spa c e tha n o ne c o mmunity-b a se d a pplic a tio n is fo und to me e t the c rite ria , the re ma ining c o nte ntio n b e twe e n the m will b e re so lve d a s fo llo ws:

n the c a se whe re the a pplic a tio ns a re in indire c t c o nte ntio n with o ne a no the r (se e sub se c tio n 4.1.1), the y will b o th b e a llo we d to pro c e e d to the ne xt sta g e . I n this c a se , a pplic a tio ns tha t a re in dire c t

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c o nte ntio n with a ny o f the se c o mmunity-b a se d a pplic a tio ns will b e e limina te d.

n the c a se whe re the a pplic a tio ns a re in dire c t c o nte ntio n with o ne a no the r, the se a pplic a nts will pro c e e d to a n a uc tio n. I f a ll the c o mpe ting pa rtie s a g re e a nd pre se nt a jo int re q ue st, I CANN ma y po stpo ne the a uc tio n fo r a thre e -mo nth pe rio d while the pa rtie s a tte mpt to re a c h a se ttle me nt b e fo re pro c e e ding to a uc tio n. T his is a o ne -time

ptio n; I

CANN will g ra nt no mo re tha n o ne suc h re q ue st fo r e a c h se t o f c o nte nding a pplic a tio ns. I f no ne o f the c o mmunity-b a se d a pplic a tio ns a re fo und to me e t the c rite ria , the n a ll o f the pa rtie s in the c o nte ntio n se t (b o th o pe nsta nda rd a nd c o mmunity-b a se d a pplic a nts) will pro c e e d to a n a lte rna te me c ha nism fo r e ffic ie nt c o nte ntio n re so lutio n.a uc tio n. Re sults o f e a c h c o mmunity prio rity e va lua tio n will b e po ste d whe n c o mple te d. Applic a nts who a re e limina te d a s a re sult o f a c o mmunity prio rity e va lua tio n a re e lig ib le fo r a pa rtia l re fund o f the g T L D e va lua tio n fe e (se e Mo dule 1).

4.2.3 ComparativeCommunity Priority Evaluation Criteria

A pa ne l a ppo inte d b y the c o mpa ra tive e va lua tio n pro vide rT he Co mmunity Prio rity Pa ne l will re vie w a nd sc o re the o ne o r mo re c o mmunity-b a se d a pplic a nts who a pplic a tio ns ha ving e le c te d c o mpa ra tive the c o mmunity prio rity e va lua tio n a g a inst the fo ur c rite ria a s liste d b e lo w. T he sc o ring pro c e ss is c o nc e ive d to ide ntify q ua lifie d c o mmunity-b a se d a pplic a tio ns, while pre ve nting b o th “fa lse po sitive s” (a wa rding undue prio rity to a n a pplic a tio n tha t re fe rs to a “c o mmunity” c o nstrue d me re ly to g e t a so ug ht-a fte r g e ne ric wo rd a s a g T L D string ) a nd “fa lse ne g a tive s” (no t a wa rding prio rity to a q ua lifie d c o mmunity a pplic a tio n). T his c a lls fo r a ho listic a ppro a c h, ta king multiple c rite ria into a c c o unt, a s re fle c te d in the fo llo wing ta b le pro c e ss. T he sc o ring will b e pe rfo rme d b y a pa ne l a nd b e b a se d o n info rma tio n pro vide d in the a pplic a tio n plus o the r re le va nt info rma tio n a va ila b le (suc h a s pub lic info rma tio n re g a rding the c o mmunity re pre se nte d). T he

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pa ne l ma y a lso pe rfo rm inde pe nde nt re se a rc h, if de e me d ne c e ssa ry to re a c h info rme d sc o ring de c isio ns. I t sho uld b e no te d tha t a q ua lifie d c o mmunity a pplic a tio n e limina te s a ll dire c tly c o nte nding sta nda rd a pplic a tio ns, re g a rdle ss o f ho w we ll q ua lifie d the la tte r ma y b e . T his is a funda me nta l re a so n fo r ve ry string e nt re q uire me nts fo r q ua lific a tio n o f a c o mmunity-b a se d a pplic a tio n, a s e mb o die d in the c rite ria b e lo w. T he se q ue nc e o f the c rite ria re fle c ts the o rde r in whic h the y will b e a sse sse d b y the pa ne l. T he utmo st c a re ha s b e e n ta ke n to a vo id a ny "do ub le -c o unting " - a ny ne g a tive a spe c t fo und in a sse ssing a n a pplic a tio n fo r o ne c rite rio n sho uld o nly b e c o unte d the re a nd sho uld no t a ffe c t the a sse ssme nt fo r o the r c rite ria . An a pplic a tio n must sc o re a t le a st 14 po ints to pre va il in a c o mmunity prio rity e va lua tio n. T he o utc o me will b e de te rmine d a c c o rding to the pro c e dure de sc rib e d in sub se c tio n 4.2.2.

Cr iter ion #1: Community E stablishment (0-4 points)

A ma ximum o f 4 po ints is po ssib le o n the Co mmunity E sta b lishme nt c rite rio n:

Criteria Score

4 3 2 1

Nexus between Proposed String and Community String is name or well- known abbreviation of community institution. String is relevant to applicant’s area of interest but also has other well-known associations. No connection. Dedicated Registration Policies Registration eligibility is strictly limited to members of the pre- established community identified in the

application. Registration

policies also include name selection and use requirements consistent with the articulated scope and community-based nature of the TLD. Proposed policies include specific enforcement measures including investigation practices, penalties, takedown Registration eligibility is predominantly available to members of the pre- established community identified in the application, and also permits people or groups informally associated with the community to register. Policies include some elements of the above but

ne or more elements are

missing. No dedicated registration policies.

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Criteria Score procedures and appeal mechanisms.

Community Establishment

Community Endorsement Endorsement by a recognized institution or by member organizations. Endorsement by some groups with apparent relevance, but also some

pposition by groups with

apparent relevance. Assorted endorsements from individuals or groups

f unknown relevance –
r – no endorsement by

any community.

I f no a pplic a nt sc o re s 11 o r mo re , the re is no c le a r winne r. I f

nly o ne a pplic a nt sc o re s 11 o r mo re , tha t a pplic a nt will b e

de c la re d the winne r. I f mo re tha n o ne a pplic a nt sc o re s 11 o r mo re , the e va lua to rs will c o nside r wha t po rtio n o f the c o mmunity is re pre se nte d b y the a pplic a tio n. I f one applic ant re pre se nts a muc h large r shar e of the re le vant c o mmunity than anothe r, that will be a basis fo r awar ding prio r ity. F

llo wing the c o mpa ra tive e va lua tio n, I

CANN will re vie w the re sults a nd re c o nfig ure the c o nte ntio n se t a s ne e de d. T he sa me pro c e dure will o c c ur fo r re ma ining c o nte ntio n se ts invo lving a ny c o mmunity-b a se d a pplic a tio n tha t ha s e le c te d c o mpa ra tive e va lua tio n. I f no c o mmunity-b a se d a pplic a nt tha t ha s e le c te d c o mpa ra tive e va lua tio n is le ft in the c o nte ntio n se t, a ny a pplic a tio ns re ma ining in c o nte ntio n will pro c e e d to a sub se q ue nt c o nte ntio n re so lutio n pro c e ss. Applic a tio ns no t in c o nte ntio n will pro c e e d to wa rd de le g a tio n.

4.3 Efficient Mechanism for Contention Resolution

A tie -b re a ke r me c ha nism will b e de ve lo pe d fo r re so lving string c o nte ntio n a mo ng the a pplic a nts within a c o nte ntio n se t, if the c o nte ntio n ha s no t b e e n re so lve d b y

the r me a ns. Unle ss the spe c ific c o nditio ns fo r

c o mpa ra tive e va lua tio n o utline d in Se c tio n 4.2 a pply, this me c ha nism will b e use d to re so lve the c o nte ntio n. T his me c ha nism ma y a lso b e use d if no c le a r winne r is ide ntifie d during the c o mpa ra tive e va lua tio n pro c e ss. T he GNSO po lic y re c o mme nda tio ns c a ll fo r a n e ffic ie nt me a ns o f re so lutio n. Co ntinue d inve stig a tio n re g a rding the

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a va ila b ility o f a lte rna tive me tho ds will g uide I CANN’ s de ve lo pme nt o f this me c ha nism. T he first e ffic ie nt me a ns o f re so lutio n tha t will b e e mplo ye d is a se ttle me nt a rrive d a t b y c o nte nding pa rtie s. Applic a nts fo r ide ntic a l o r simila r T L Ds c a n a rrive a t a n a c c o mmo da tio n whe re a ll in dire c t c o nte ntio n withdra w e xc e pt fo r o ne . As de sc rib e d e a rlie r, tho se withdra wing c a nno t a pply fo r a ne w string . No r c a n c o nte nding pa rtie s c o mb ine to fo rm a ne w a pplic a nt. I t is e xpe c te d tha t ma ny c a se s o f c o nte ntio n will b e re so lve d in this ma nne r a s it will b e the mo st e ffic ie nt a nd e c o no mic a l fo r the c o nte nding pa rtie s. F a iling to a rrive a t a c c o mmo da tio n o f the type de sc rib e d just a b o ve , a uc tio ns a re o ne me a ns o f la st re so rt tha t is b e ing e xplo re d to re so lve the c o nte ntio n. T he purpo se o f a n a uc tio n is to re so lve c o nte ntio n in a c le a r, o b je c tive ma nne r. Auc tion Pr

c e e ds – T

he purpo se o f a n a uc tio n is to re so lve c o nte ntio n in a c le a r, o b je c tive ma nne r. I t is no t to ra ise re ve nue . While the re ma y b e sig nific a nt pro c e e ds fro m a uc tio ns in the e ve nt the y o c c ur, it is impo rta nt to unde rsta nd tha t this in no wa y the purpo se o f the a uc tio n. T he a nnua l b udg e t pro c e ss se ts I CANN’ s funding a nd spe nding limits. I CANN ha s no a utho riza tio n to spe nd b e yo nd the b udg e t. I CANN a lre a dy ha s pre c e de nt o f re turning re ve nue to the c o mmunity whe n la st ye a r a nd in 2006 I CANN re duc e d re g istra tio n fe e s fro m 25¢ to 20¢ o ve r two ye a rs a s a re sult o f a n unfo re se e n g ro wth in re ve nue . Pro c e e ds fro m a uc tio ns will b e re se rve d until the use s o f the pro c e e ds a re de te rmine d thro ug h a c o mmunity c o nsulta tio n. T he pro c e e ds will no t g o into I CANN’ s g e ne ra l e xpe nse b udg e t b ut will b e se pa ra te ly e a rma rke d fo r pro je c ts o r use s ide ntifie d b y the c o mmunity. T his impo rta nt a spe c t o f the a uc tio n pro c e ss a nd its re sult will b e a n impo rta nt pa rt o f the c o mmunic a tio ns pla n fo r the ne w g T L D pro g ra m. T he ne w g T L D a pplic a tio n fe e is de sig ne d to b e c o st/ re ve nue ne utra l. I t fa c to rs in c o sts a lre a dy fo rg o ne , future pro c e ssing c o sts a nd le g a l e xpe nse s tha t a re sig nific a nt a nd wo uld b e a la rg e dra in o n the Co rpo ra tio n’ s e sta b lishe d b udg e t. Se e furthe r de ta ils o n the e xplo ra tio n o f a n a uc tio n mo de l in the c o nte ntio n life c yc le a t

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http:/ / www.ic a nn.o rg / e n/ to pic s/ string -c o nte ntio n- 22o c t08.pdf.

High Low

As me a sure d b y:

A. De line a tio n (2)

2 1 Clearly delineated,

rganized, and

pre-existing community. Clearly delineated and pre-existing community, but not fulfilling the requirements for a score of 2. Insufficient delineation and pre-existence for a score of 1.

B. E

xte nsio n (2)

2 1 Community of considerable size and longevity. Community of either considerable size or longevity, but not fulfilling the requirements for a score of 2. Community of neither considerable size nor longevity.

T his se c tio n re la te s to the c o mmunity a s e xplic itly ide ntifie d a nd de fine d a c c o rding to sta te me nts in the a pplic a tio n. (T he implic it re a c h o f the a pplie d-fo r string is no t c o nside re d he re , b ut ta ke n into a c c o unt whe n sc o ring Crite rio n # 2, “Ne xus b e twe e n Pro po se d String a nd Co mmunity.”) Cr ite r ion 1 De finitions

“Co mmunity” - Usa g e o f the e xpre ssio n

“c o mmunity” ha s e vo lve d c o nside ra b ly fro m its L a tin o rig in – “c o mmunita s” me a ning “fe llo wship” – while still implying mo re o f c o he sio n tha n a me re c o mmo na lity o f inte re st. No ta b ly, a s “c o mmunity” is use d thro ug ho ut the a pplic a tio n, the re sho uld b e : (a ) a n a wa re ne ss a nd re c o g nitio n o f a c o mmunity a mo ng its me mb e rs; (b ) so me unde rsta nding o f the

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c o mmunity’ s e xiste nc e prio r to Se pte mb e r 2007 (whe n the ne w g T L D po lic y re c o mme nda tio ns we re c o mple te d); a nd (c ) e xte nde d te nure o r lo ng e vity—no n-tra nsie nc e —into the future .

"De line a tio n" re la te s to the me mb e rship o f a

c o mmunity, whe re a c le a r a nd stra ig ht-fo rwa rd me mb e rship de finitio n sc o re s hig h, while a n unc le a r, dispe rse d o r unb o und de finitio n sc o re s lo w.

"Pre -e xisting " me a ns tha t a c o mmunity ha s b e e n

a c tive a s suc h sinc e b e fo re the ne w g T L D po lic y re c o mme nda tio ns we re c o mple te d in Se pte mb e r 2007.

"Org a nize d" implie s tha t the re is a t le a st o ne e ntity

ma inly de dic a te d to the c o mmunity, with do c ume nte d e vide nc e o f c o mmunity a c tivitie s.

“E

xte nsio n” re la te s to the dime nsio ns o f the c o mmunity, re g a rding its numb e r o f me mb e rs, g e o g ra phic a l re a c h, a nd fo re se e a b le a c tivity life time , a s furthe r e xpla ine d in the fo llo wing .

"Size " re la te s b o th to the numb e r o f me mb e rs a nd

the g e o g ra phic a l re a c h o f the c o mmunity, a nd will b e sc o re d de pe nding o n the c o nte xt ra the r tha n

n a b so lute numb e rs - a g e o g ra phic lo c a tio n

c o mmunity ma y c o unt millio ns o f me mb e rs in a limite d lo c a tio n, a la ng ua g e c o mmunity ma y ha ve a millio n me mb e rs with so me spre a d o ve r the g lo b e , a c o mmunity o f se rvic e pro vide rs ma y ha ve "o nly" so me hundre d me mb e rs a ltho ug h we ll spre a d o ve r the g lo b e , just to me ntio n so me e xa mple s - a ll the se c a n b e re g a rde d a s o f "c o nside ra b le size ."

"L
ng e vity" me a ns tha t the pursuits o f a c o mmunity

a re o f a la sting , no n-tra nsie nt na ture . Cr ite r ion 1 Guide line s With re spe c t to “De line a tio n” a nd “E xte nsio n,” it sho uld b e no te d tha t a c o mmunity c a n c o nsist o f le g a l e ntitie s (fo r e xa mple , a n a sso c ia tio n o f supplie rs o f a pa rtic ula r se rvic e ), o f individua ls (fo r e xa mple , a la ng ua g e c o mmunity) o r o f a lo g ic a l a llia nc e o f c o mmunitie s (fo r e xa mple , a n inte rna tio na l fe de ra tio n o f na tio na l c o mmunitie s o f a simila r na ture ). All a re via b le a s suc h,

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pro vide d the re q uisite a wa re ne ss a nd re c o g nitio n o f the c o mmunity is a t ha nd a mo ng the me mb e rs. Othe rwise the a pplic a tio n wo uld b e se e n a s no t re la ting to a re a l c o mmunity a nd sc o re 0 o n b o th “De line a tio n” a nd “E xte nsio n.” With re spe c t to “De line a tio n,” if a n a pplic a tio n sa tisfa c to rily de mo nstra te s a ll thre e re le va nt pa ra me te rs (de line a tio n, pre -e xisting a nd o rg a nize d), the n it sc o re s a 2. With re spe c t to “E xte nsio n,” if a n a pplic a tio n sa tisfa c to rily de mo nstra te s b o th c o mmunity size a nd lo ng e vity, it sc o re s a 2.

Cr iter ion #2: Nexus between Pr

posed Str

ing and Community (0-4 points)

A ma ximum o f 4 po ints is po ssib le o n the Ne xus c rite rio n:

4 3 2 1 Nexus between String & Community High Low

As me a sure d b y:

A. Ne xus (3)

3 2 The string matches the name of the community or is a well known short-form or abbreviation of the community name. String identifies the community, but does not qualify for a score of 3. String nexus does not fulfill the requirements for a score of 2.

B. Uniq ue ne ss (1)

1 String has no

ther

significant meaning beyond identifying the String does not fulfill the requirement for a score of 1.

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1 community described in the application.

T his se c tio n e va lua te s the re le va nc e o f the string to the spe c ific c o mmunity tha t it c la ims to re pre se nt. Cr ite r ion 2 De finitions

"Na me " o f the c o mmunity me a ns the e sta b lishe d

na me b y whic h the c o mmunity is c o mmo nly kno wn b y o the rs. I t ma y b e , b ut do e s no t ne e d to b e , the na me o f a n o rg a niza tio n de dic a te d to the c o mmunity.

“I

de ntify” me a ns tha t the a pplie d fo r string c lo se ly de sc rib e s the c o mmunity o r the c o mmunity me mb e rs, witho ut o ve r-re a c hing sub sta ntia lly b e yo nd the c o mmunity. Cr ite r ion 2 Guide line s With re spe c t to “Ne xus,” fo r a sc o re o f 3, the e sse ntia l a spe c t is tha t the a pplie d-fo r string is c o mmo nly kno wn b y

the rs a s the ide ntific a tio n / na me o f the c o mmunity.

With re spe c t to “Ne xus,” fo r a sc o re o f 2, the a pplie d-fo r string sho uld c lo se ly de sc rib e the c o mmunity o r the c o mmunity me mb e rs, witho ut o ve r-re a c hing sub sta ntia lly b e yo nd the c o mmunity. As a n e xa mple , a string c o uld q ua lify fo r a sc o re o f 2 if it is a no un tha t the typic a l c o mmunity me mb e r wo uld na tura lly b e c a lle d in the c o nte xt. I f the string a ppe a rs e xc e ssive ly b ro a d (suc h a s, fo r e xa mple , a g lo b a lly we ll-kno wn b ut lo c a l te nnis c lub a pplying fo r “.T E NNI S”) the n it wo uld no t q ua lify fo r a 2. With re spe c t to “Uniq ue ne ss,” "sig nific a nt me a ning " re la te s to the pub lic in g e ne ra l, with c o nside ra tio n o f the c o mmunity la ng ua g e c o nte xt a dde d. "Uniq ue ne ss" will b e sc o re d b o th with re g a rd to the c o mmunity c o nte xt a nd fro m a g e ne ra l po int o f vie w. F

e xa mple , a string fo r a pa rtic ula r g e o g ra phic lo c a tio n c o mmunity ma y se e m uniq ue fro m a g e ne ra l pe rspe c tive , b ut wo uld no t sc o re a 1 fo r uniq ue ne ss if it c a rrie s a no the r sig nific a nt me a ning in the c o mmo n la ng ua g e use d in the re le va nt c o mmunity lo c a tio n. T he phra sing "...b e yo nd ide ntifying the c o mmunity" in the sc o re o f 1 fo r "uniq ue ne ss"

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implie s a re q uire me nt tha t the string do e s ide ntify the c o mmunity, i.e . sc o re s 2 o r 3 fo r "Ne xus", in o rde r to b e e lig ib le fo r a sc o re o f 1 fo r "Uniq ue ne ss." I t sho uld b e no te d tha t "Uniq ue ne ss" is o nly a b o ut the me aning o f the string - sinc e the e va lua tio n ta ke s pla c e to re so lve c o nte ntio n the re will o b vio usly b e o the r a pplic a tio ns, c o mmunity-b a se d a nd/ o r sta nda rd, with ide ntic a l o r c o nfusing ly simila r string s in the c o nte ntio n se t to re so lve , so the string will c le a rly no t b e "uniq ue " in the se nse o f "a lo ne ."

Cr iter ion #3: R egistr ation Polic ies (0-4 points)

A ma ximum o f 4 po ints is po ssib le o n the Re g istra tio n Po lic ie s c rite rio n:

4 3 2 1 Registration Policies High Low

As me a sure d b y:

A. E

lig ib ility (1)

1 Eligibility restricted to community members. Largely unrestricted approach to eligibility.

B. Na me se le c tio n (1)

1 Policies include name selection rules consistent with the articulated community- based purpose

f the applied-

for gTLD. Policies do not fulfill the requirements for a score of 1.

C. Co nte nt a nd use (1)

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1 Policies include rules for content and use consistent with the articulated community- based purpose

f the applied-

for gTLD. Policies do not fulfill the requirements for a score of 1.

D. E

nfo rc e me nt (1)

Policies include specific enforcement measures (e.g. investigation practices, penalties, takedown procedures) constituting a coherent set with appropriate appeal mechanisms. Policies do not fulfill the requirements for a score of 1.

T his se c tio n e va lua te s the a pplic a nt’ s re g istra tio n po lic ie s a s indic a te d in the a pplic a tio n. Re g istra tio n po lic ie s a re the c o nditio ns tha t the future re g istry will se t fo r pro spe c tive re g istra nts, i.e . tho se de siring to re g iste r se c o nd-le ve l do ma in na me s unde r the re g istry. Cr ite r ion 3 De finitions

lig ib ility" me a ns the q ua lific a tio ns tha t e ntitie s o r individua ls must ha ve in o rde r to b e a llo we d a s re g istra nts b y the re g istry.

"Na me se le c tio n" me a ns the c o nditio ns tha t must

b e fulfille d fo r a ny se c o nd-le ve l do ma in na me to b e de e me d a c c e pta b le b y the re g istry.

"Co nte nt a nd use " me a ns the re stric tio ns stipula te d

b y the re g istry a s to the c o nte nt pro vide d in a nd

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the use o f a ny se c o nd-le ve l do ma in na me in the re g istry.

nfo rc e me nt" me a ns the to o ls a nd pro visio ns se t

ut b y the re g istry to pre ve nt a nd re me dy a ny

b re a c he s o f the c o nditio ns b y re g istra nts. Cr ite r ion 3 Guide line s With re spe c t to “E lig ib ility,” the limita tio n to c o mmunity "me mb e rs" c a n invo ke a fo rma l me mb e rship b ut c a n a lso b e sa tisfie d in o the r wa ys, de pe nding o n the struc ture a nd

rie nta tio n o f the c o mmunity a t ha nd. F
r e xa mple , fo r a

g e o g ra phic lo c a tio n c o mmunity T L D, a limita tio n to me mb e rs o f the c o mmunity c a n b e a c hie ve d b y re q uiring tha t the re g istra nt's physic a l a ddre ss is within the b o unda rie s o f the lo c a tio n. With re spe c t to “Na me se le c tio n,” “Co nte nt a nd use ,” a nd “E nfo rc e me nt,” sc o ring o f a pplic a tio ns a g a inst the se sub - c rite ria will b e do ne fro m a ho listic pe rspe c tive , with due re g a rd fo r the pa rtic ula ritie s o f the c o mmunity e xplic itly a ddre sse d. F

r e xa mple , a n a pplic a tio n pro po sing a T

L D fo r a la ng ua g e c o mmunity ma y fe a ture stric t rule s impo sing this la ng ua g e fo r na me se le c tio n a s we ll a s fo r c o nte nt a nd use , sc o ring 1 o n b o th B a nd C a b o ve . I t c o uld ne ve rthe le ss inc lude fo rb e a ra nc e in the e nfo rc e me nt me a sure s fo r tuto ria l site s a ssisting tho se wishing to le a rn the la ng ua g e a nd still sc o re 1 o n D. Mo re re stric tio ns do no t a uto ma tic a lly re sult in a hig he r sc o re . T he re stric tio ns a nd c o rre spo nding e nfo rc e me nt me c ha nisms pro po se d b y the a pplic a nt sho uld sho w a n a lig nme nt with the c o mmunity-b a se d purpo se o f the T L D a nd de mo nstra te c o ntinuing a c c o unta b ility to the c o mmunity na me d in the a pplic a tio n.

Cr iter ion #4: Community E ndor sement (0-4 points)

4 3 2 1

Community Endorsement High Low

As me a sure d b y:

A. Suppo rt (2)

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2 1 Applicant is, or has documented support from, the recognized community institution(s)/ member

rganization(s)
r has
therwise

documented authority to represent the community. Documented support from at least one group with relevance, but insufficient support for a score of 2. Insufficient proof

f support for a

score of 1.

B. Oppo sitio n (2)

2 1 No opposition

f relevance.

Relevant

pposition from
ne group of

non-negligible size. Relevant

pposition from

two or more groups of non- negligible size.

T his se c tio n e va lua te s c o mmunity suppo rt a nd/ o r

ppo sitio n to the a pplic a tio n. Suppo rt a nd o ppo sitio n will

b e sc o re d in re la tio n to the c o mmunitie s e xplic itly a ddre sse d a s sta te d in the a pplic a tio n, with due re g a rd fo r the c o mmunitie s implic itly a ddre sse d b y the string . Cr ite r ion 4 De finitions

"Re c o g nize d" me a ns the

institutio n(s)/ o rg a niza tio n(s) tha t, thro ug h me mb e rship o r o the rwise , a re c le a rly re c o g nize d b y the c o mmunity me mb e rs a s re pre se nta tive o f the c o mmunity.

"Re le va nc e " a nd "re le va nt" re fe r to the c o mmunitie s

e xplic itly a nd implic itly a ddre sse d. T his me a ns tha t

ppo sitio n fro m c o mmunitie s no t ide ntifie d in the

a pplic a tio n b ut with a n a sso c ia tio n to the a pplie d- fo r string wo uld b e c o nside re d re le va nt. Cr ite r ion 4 Guide line s

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With re spe c t to “Suppo rt,” it fo llo ws tha t do c ume nte d suppo rt fro m, fo r e xa mple , the o nly na tio na l a sso c ia tio n re le va nt to a pa rtic ula r c o mmunity o n a na tio na l le ve l wo uld sc o re a 2 if the string is c le a rly o rie nte d to tha t na tio na l le ve l, b ut o nly a 1 if the string implic itly a ddre sse s simila r c o mmunitie s in o the r na tio ns. Also with re spe c t to “Suppo rt,” the plura ls in b ra c ke ts fo r a sc o re o f 2, re la te to c a se s o f multiple institutio ns/ o rg a niza tio ns. I n suc h c a se s the re must b e do c ume nte d suppo rt fro m institutio ns/ o rg a niza tio ns re pre se nting a ma jo rity o f the o ve ra ll c o mmunity a ddre sse d in o rde r to sc o re 2. T he a pplic a nt will sc o re a 1 fo r “Suppo rt” if it do e s no t ha ve suppo rt fro m the ma jo rity o f the re c o g nize d c o mmunity institutio ns/ me mb e r o rg a niza tio ns, o r do e s no t pro vide full do c ume nta tio n tha t it ha s a utho rity to re pre se nt the c o mmunity with its a pplic a tio n. A 0 will b e sc o re d o n “Suppo rt” if the a pplic a nt fa ils to pro vide do c ume nta tio n sho wing suppo rt fro m re c o g nize d c o mmunity institutio ns/ c o mmunity me mb e r o rg a niza tio ns, o r do e s no t pro vide do c ume nta tio n sho wing tha t it ha s the a utho rity to re pre se nt the c o mmunity. I t sho uld b e no te d, ho we ve r, tha t do c ume nte d suppo rt fro m g ro ups o r c o mmunitie s tha t ma y b e se e n a s implic itly a ddre sse d b ut ha ve c o mple te ly diffe re nt o rie nta tio ns c o mpa re d to the a pplic a nt c o mmunity will no t b e re q uire d fo r a sc o re o f 2 re g a rding suppo rt. Whe n sc o ring “Oppo sitio n,” pre vio us o b je c tio ns to the a pplic a tio n a s we ll a s pub lic c o mme nts during the sa me a pplic a tio n ro und will b e ta ke n into a c c o unt a nd a sse sse d in this c o nte xt. T he re will b e no pre sumptio n tha t suc h

b je c tio ns o r c o mme nts wo uld pre ve nt a sc o re o f 2 o r le a d

to a ny pa rtic ula r sc o re fo r “Oppo sitio n.” T

b e ta ke n into

a c c o unt a s re le va nt o ppo sitio n, suc h o b je c tio ns o r c o mme nts must b e o f a re a so ne d na ture . So urc e s o f

ppo sitio n tha t a re c le a rly spurio us, unsub sta ntia te d, o r

file d fo r the purpo se o f o b struc tio n will no t b e c o nside re d re le va nt.

4.3 Auction: Mechanism of Last Resort

I t is e xpe c te d tha t mo st c a se s o f c o nte ntio n will b e re so lve d b y the c o mmunity prio rity e va lua tio n, o r thro ug h vo lunta ry a g re e me nt a mo ng the invo lve d a pplic a nts. Auc tio n is a tie -b re a ke r me tho d fo r re so lving string

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c o nte ntio n a mo ng the a pplic a tio ns within a c o nte ntio n se t, if the c o nte ntio n ha s no t b e e n re so lve d b y o the r me a ns. An a uc tio n will no t ta ke pla c e to re so lve c o nte ntio n in the c a se whe re the c o nte nding a pplic a tio ns a re fo r g e o g ra phic na me s (a s de fine d in Mo dule 2). I n this c a se , the a pplic a tio ns will b e suspe nde d pe nding re so lutio n b y the a pplic a nts. An a uc tio n will ta ke pla c e , whe re c o nte ntio n ha s no t a lre a dy b e e n re so lve d, in the c a se whe re a n a pplic a tio n fo r a g e o g ra phic na me is in a c o nte ntio n se t with a pplic a tio ns fo r simila r string s tha t ha ve no t b e e n ide ntifie d a s g e o g ra phic na me s. I n pra c tic e , I CANN e xpe c ts tha t mo st c o nte ntio n c a se s will b e re so lve d thro ug h o the r me a ns b e fo re re a c hing this sta g e .the a uc tio n sta g e . T he re is a po ssib ility tha t sig nific a nt funding will a c c rue to I CANN a s a re sult o f o ne o r mo re a uc tio ns. 1

4.3.1 Auction Procedures

An a uc tio n o f two o r mo re a pplic a tio ns within a c o nte ntio n se t is c o nduc te d a s fo llo ws. T he a uc tio ne e r suc c e ssive ly inc re a se s the pric e s a sso c ia te d with a pplic a tio ns within the c o nte ntio n se t, a nd the re spe c tive a pplic a nts indic a te the ir willing ne ss to pa y the se pric e s. As the pric e s rise , a pplic a nts will suc c e ssive ly c ho o se to e xit fro m the a uc tio n. Whe n a suffic ie nt numb e r o f a pplic a tio ns ha ve b e e n e limina te d so tha t no dire c t c o nte ntio ns re ma in (i.e ., the re ma ining a pplic a tio ns a re no lo ng e r in c o nte ntio n with o ne a no the r

1 The purpose of an auction is to resolve contention in a clear, objective manner. Proceeds from auctions will be reserved and

earmarked until the uses of the proceeds are determined. It is planned that costs of the new gTLD program will offset by fees, so any funds coming from a last resort contention resolution mechanism such as auctions would result (after paying for the auction process) in additional funding. Therefore, consideration of a last resort contention mechanism should include the uses of funds. Funds must be earmarked separately and used in a manner that supports directly ICANN’s Mission and Core Values and also maintains its not for profit status. Possible uses include formation of a foundation with a clear mission and a transparent way to allocate funds to projects that are of interest to the greater Internet community, such as grants to support new gTLD applications or registry operators from communities in subsequent gTLD rounds, the creation of an ICANN-administered/community-based fund for specific projects for the benefit of the Internet community, the creation of a registry continuity fund for the protection of registrants (ensuring that funds would be in place to support the operation of a gTLD registry until a successor could be found), or establishment of a security fund to expand use of secure protocols, conduct research, and support standards development organizations in accordance with ICANN's security and stability mission. Further detail on the potential uses of funds will be provided with updated Applicant Guidebook materials.

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a nd a ll the re le va nt string s c a n b e de le g a te d a s T L Ds), the a uc tio n will b e de e me d to c o nc lude . At the a uc tio n’ s c o nc lusio n, the a pplic a nts with re ma ining a pplic a tio ns will pa y the re sulting pric e s a nd pro c e e d to wa rd de le g a tio n. T his pro c e dure is re fe rre d to a s a n “a sc e nding -c lo c k a uc tio n.” T his se c tio n pro vide s a pplic a nts a n info rma l intro duc tio n to the pra c tic a litie s o f pa rtic ipa tio n in a n a sc e nding -c lo c k a uc tio n. I t is inte nde d o nly a s a g e ne ra l intro duc tio n a nd is

nly pre limina ry. T

he de ta ile d se t o f Auc tio n Rule s will b e a va ila b le prio r to the c o mme nc e me nt o f a ny a uc tio n pro c e e ding s. I f a ny c o nflic t a rise s b e twe e n this mo dule a nd the a uc tio n rule s, the a uc tio n rule s will pre va il. F

r simplic ity, this se c tio n will de sc rib e the situa tio n whe re a

c o nte ntio n se t c o nsists o f two o r mo re a pplic a tio ns fo r ide ntic a l string s. All a uc tio ns will b e c o nduc te d o ve r the I nte rne t, with pa rtic ipa nts pla c ing the ir b ids re mo te ly using a we b -b a se d so ftwa re syste m de sig ne d e spe c ia lly fo r a uc tio n. T he a uc tio n so ftwa re syste m will b e c o mpa tib le with c urre nt ve rsio ns o f mo st pre va le nt b ro wse rs, a nd will no t re q uire the lo c a l insta lla tio n o f a ny a dditio na l so ftwa re . Auc tio n pa rtic ipa nts (“b idde rs”) will re c e ive instruc tio ns fo r a c c e ss to the o nline a uc tio n site . Ac c e ss to the site will b e pa sswo rd-pro te c te d a nd b ids will b e e nc rypte d thro ug h SSL . I f a b idde r te mpo ra rily lo se s c o nne c tio n to the I nte rne t, tha t b idde r ma y b e pe rmitte d to sub mit its b ids in a g ive n a uc tio n ro und b y fa x, a c c o rding to pro c e dure s de sc rib e d in the a uc tio n rule s. T he a uc tio ns will g e ne ra lly b e c o nduc te d to c o nc lude q uic kly, ide a lly in a sing le da y. T he a uc tio n will b e c a rrie d o ut in a se rie s o f a uc tio n ro unds, a s illustra te d in F ig ure 4-3. T he se q ue nc e o f e ve nts is a s fo llo ws:

1. F
r e a c h a uc tio n ro und, the a uc tio ne e r will a nno unc e

in a dva nc e : (1) the sta rt-o f-ro und pric e , (2) the e nd-o f- ro und pric e , a nd (3) the sta rting a nd e nding time s o f the a uc tio n ro und. I n the first a uc tio n ro und, the sta rt-

f-ro und pric e fo r a ll b idde rs in the a uc tio n will b e USD
0. I

n la te r a uc tio n ro unds, the sta rt-o f-ro und pric e will b e its e nd-o f-ro und pric e fro m the pre vio us a uc tio n ro und.

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Figure 4-3 – Sequence of events during an ascending-clock auction.

2. During e a c h a uc tio n ro und, b idde rs will b e re q uire d to

sub mit a b id o r b ids re pre se nting the ir willing ne ss to pa y within the ra ng e o f inte rme dia te pric e s b e twe e n the sta rt-o f-ro und a nd e nd-o f-ro und pric e s. I n this wa y a b idde r indic a te s its willing ne ss to sta y in the a uc tio n a t a ll pric e s thro ug h a nd inc luding the e nd-o f-a uc tio n ro und pric e , o r its wish to e xit the a uc tio n a t a pric e le ss tha n the e nd-o f-a uc tio n ro und pric e , c a lle d the e xit b id.

3. E

xit is irre vo c a b le . I f a b idde r e xite d the a uc tio n in a pre vio us a uc tio n ro und, the b idde r is no t pe rmitte d to re -e nte r in the c urre nt a uc tio n ro und.

4. Bidde rs ma y sub mit the ir b id o r b ids a t a ny time during

the a uc tio n ro und.

5. Only b ids tha t c o mply with a ll a spe c ts o f the a uc tio n

rule s will b e c o nside re d va lid. I f mo re tha n o ne va lid b id is sub mitte d b y a g ive n b idde r within the time limit o f the a uc tio n ro und, the a uc tio ne e r will tre a t the la st va lid sub mitte d b id a s the a c tua l b id.

6. At the e nd o f e a c h a uc tio n ro und, b ids b e c o me the

b idde rs’ le g a lly-b inding o ffe rs to se c ure the re le va nt g T L D string s a t pric e s up to the re spe c tive b id a mo unts, sub je c t to c lo sure o f the a uc tio n in a c c o rda nc e with

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the a uc tio n rule s. I n la te r a uc tio n ro unds, b ids ma y b e use d to e xit fro m the a uc tio n a t sub se q ue nt hig he r pric e s.

7. Afte r e a c h a uc tio n ro und, the a uc tio ne e r will disc lo se

the a g g re g a te numb e r o f b idde rs re ma ining in the a uc tio n a t the e nd-o f-ro und pric e s fo r the a uc tio n ro und, a nd will a nno unc e the pric e s a nd time s fo r the ne xt a uc tio n ro und.

a c h b id sho uld c o nsist o f a sing le pric e a sso c ia te d with the a pplic a tio n, a nd suc h pric e must b e g re a te r tha n o r e q ua l to the sta rt-o f-ro und pric e .

f the b id a mo unt is stric tly le ss tha n the e nd-o f- ro und pric e , the n the b id is tre a te d a s a n e xit b id a t the spe c ifie d a mo unt, a nd it sig nifie s the b idde r’ s b inding c o mmitme nt to pa y up to the b id a mo unt if its a pplic a tio n is a ppro ve d.

f the b id a mo unt is g re a te r tha n o r e q ua l to the e nd-o f-ro und pric e , the n the b id sig nifie s tha t the b idde r wishe s to re ma in in the a uc tio n a t a ll pric e s in the c urre nt a uc tio n ro und, a nd it sig nifie s the b idde r’ s b inding c o mmitme nt to pa y up to the e nd-

f-ro und pric e if its a pplic a tio n is a ppro ve d.

llo wing suc h b id, the a pplic a tio n c a nno t b e

e limina te d within the c urre nt a uc tio n ro und.

T
the e xte nt tha t the b id a mo unt e xc e e ds the

e nd-o f-ro und pric e , the n the b id is a lso tre a te d a s a pro xy b id to b e c a rrie d fo rwa rd to the ne xt a uc tio n ro und. T he b idde r will b e pe rmitte d to c ha ng e the pro xy b id a mo unt in the ne xt a uc tio n ro und, a nd the a mo unt o f the pro xy b id will no t c o nstra in the b idde r’ s a b ility to sub mit a ny va lid b id a mo unt in the ne xt a uc tio n ro und.

No b idde r is pe rmitte d to sub mit a b id fo r a ny

a pplic a tio n fo r whic h a n e xit b id wa s re c e ive d in a prio r a uc tio n ro und. T ha t is, o nc e a n a pplic a tio n ha s e xite d the a uc tio n, it ma y no t re turn.

f no va lid b id is sub mitte d within a g ive n a uc tio n ro und fo r a n a pplic a tio n tha t re ma ins in the a uc tio n, the n the b id a mo unt is ta ke n to b e the a mo unt o f the pro xy b id, if a ny, c a rrie d fo rwa rd fro m the pre vio us a uc tio n ro und o r, if no ne , the b id

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is ta ke n to b e a n e xit b id a t the sta rt-o f-ro und pric e fo r the c urre nt a uc tio n ro und.

8. T

his pro c e ss c o ntinue s, with the a uc tio ne e r inc re a sing the pric e ra ng e fo r e a c h g ive n T L D string in e a c h a uc tio n ro und, until the re is o ne re ma ining b idde r a t the e nd-o f-ro und pric e . Afte r a n a uc tio n ro und in whic h this c o nditio n is sa tisfie d, the a uc tio n c o nc lude s a nd the a uc tio ne e r de te rmine s the c le a ring pric e . T he la st re ma ining a pplic a tio n is de e me d the suc c e ssful a pplic a tio n, a nd the a sso c ia te d b idde r is o b lig a te d to pa y the c le a ring pric e . F ig ure 4-4 illustra te s ho w a n a uc tio n fo r five c o nte nding a pplic a tio ns mig ht pro g re ss. Figure 4-4 – Example of an auction for five mutually-contending applications.

Be fo re the first a uc tio n ro und, the a uc tio ne e r

a nno unc e s the e nd-o f-ro und pric e P1.

During Auc tio n ro und 1, a b id is sub mitte d fo r e a c h

a pplic a tio n. I n F ig ure 4-4, a ll five b idde rs sub mit b ids

f a t le a st P1. Sinc e the a g g re g a te de ma nd

e xc e e ds o ne , the a uc tio n pro c e e ds to Auc tio n ro und 2. T he a uc tio ne e r disc lo se s tha t five

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c o nte nding a pplic a tio ns re ma ine d a t P1 a nd a nno unc e s the e nd-o f-ro und pric e P2.

During Auc tio n ro und 2, a b id is sub mitte d fo r e a c h

a pplic a tio n. I n F ig ure 4-4, a ll five b idde rs sub mit b ids

f a t le a st P2. T

he a uc tio ne e r disc lo se s tha t five c o nte nding a pplic a tio ns re ma ine d a t P2 a nd a nno unc e s the e nd-o f-ro und pric e P3.

During Auc tio n ro und 3, o ne o f the b idde rs sub mits

a n e xit b id a t slig htly b e lo w P3, while the o the r fo ur b idde rs sub mit b ids o f a t le a st P3. T he a uc tio ne e r disc lo se s tha t fo ur c o nte nding a pplic a tio ns re ma ine d a t P3 a nd a nno unc e s the e nd-o f-ro und pric e P4.

During Auc tio n ro und 4, o ne o f the b idde rs sub mits

a n e xit b id midwa y b e twe e n P3 a nd P4, while the

the r thre e re ma ining b idde rs sub mit b ids o f a t le a st
P4. T

he a uc tio ne e r disc lo se s tha t thre e c o nte nding a pplic a tio ns re ma ine d a t P4 a nd a nno unc e s the e nd-o f-a uc tio n ro und pric e P5.

During Auc tio n ro und 5, o ne o f the b idde rs sub mits

a n e xit b id a t slig htly a b o ve P4, a nd o ne o f the b idde rs sub mits a n e xit b id a t Pc midwa y b e twe e n P4 a nd P5. T he fina l b idde r sub mits a b id g re a te r tha n Pc . Sinc e the a g g re g a te de ma nd a t P5 do e s no t e xc e e d o ne , the a uc tio n c o nc lude s in Auc tio n ro und 5. T he a pplic a tio n a sso c ia te d with the hig he st b id in Auc tio n ro und 5 is de e me d the suc c e ssful a pplic a tio n. T he c le a ring pric e is Pc , a s this is the lo we st pric e a t whic h a g g re g a te de ma nd c a n b e me t. T

the e xte nt po ssib le , a uc tio ns to re so lve multiple string

c o nte ntio n situa tio ns will b e c o nduc te d simulta ne o usly.

4.3.1.1 Currency

r b ids to b e c o mpa ra b le , a ll b ids in the a uc tio n will b e

sub mitte d in a ny inte g e r (who le ) numb e r o f US do lla rs.

4.3.1.2 Fees

A b idding de po sit will b e re q uire d o f a pplic a nts pa rtic ipa ting in the a uc tio n, in a n a mo unt to b e de te rmine d. T he b idding de po sit must b e tra nsmitte d b y wire tra nsfe r to a spe c ifie d b a nk a c c o unt spe c ifie d b y I CANN o r its a uc tio n pro vide r a t a ma jo r inte rna tio na l b a nk,

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to b e re c e ive d in a dva nc e o f the a uc tio n da te . T he a mo unt o f the de po sit will de te rmine a b idding limit fo r e a c h b idde r: the b idding de po sit will e q ua l 10% o f the b idding limit; a nd the b idde r will no t b e pe rmitte d to sub mit a ny b id in e xc e ss o f its b idding limit. I n o rde r to a vo id the ne e d fo r b idde rs to pre -c o mmit to a pa rtic ula r b idding limit, b idde rs ma y b e g ive n the o ptio n o f ma king a spe c ifie d de po sit tha t will pro vide the m with unlimite d b idding a utho rity fo r a g ive n a pplic a tio n. T he a mo unt o f the de po sit re q uire d fo r unlimite d b idding a utho rity will de pe nd o n the pa rtic ula r c o nte ntio n se t a nd will b e b a se d o n a n a sse ssme nt o f the po ssib le fina l pric e s within the a uc tio n. All de po sits fro m no nde fa ulting lo sing b idde rs will b e re turne d fo llo wing the c lo se o f the a uc tio n.

4.3.2 Winning Bid Payments

Any a pplic a nt tha t pa rtic ipa te s in a n a uc tio n will b e re q uire d to sig n a b idde r a g re e me nt tha t a c kno wle dg e s its rig hts a nd re spo nsib ilitie s in the a uc tio n, inc luding tha t its b ids a re le g a lly b inding c o mmitme nts to pa y the a mo unt b id if it wins (i.e ., if its a pplic a tio n is a ppro ve d), a nd to e nte r into the pre sc rib e d re g istry a g re e me nt with I CANN— to g e the r with a spe c ifie d pe na lty fo r de fa ulting o n pa yme nt o f its winning b id o r fa iling to e nte r into the re q uire d re g istry a g re e me nt. T he winning b idde r in a ny a uc tio n will b e re q uire d to pa y the full a mo unt o f the fina l pric e within 20 b usine ss da ys o f the e nd o f the a uc tio n. Pa yme nt is to b e ma de b y wire tra nsfe r to the sa me inte rna tio na l b a nk a c c o unt a s the b idding de po sit, a nd the a pplic a nt’ s b idding de po sit will b e c re dite d to wa rd the fina l pric e . I n the e ve nt tha t a b idde r a ntic ipa te s tha t it wo uld re q uire a lo ng e r pa yme nt pe rio d tha n 20 b usine ss da ys due to ve rifia b le g o ve rnme nt-impo se d c urre nc y re stric tio ns, the b idde r ma y a dvise I CANN we ll in a dva nc e o f the a uc tio n a nd I CANN will c o nside r a pplying a lo ng e r pa yme nt pe rio d to a ll b idde rs within the sa me c o nte ntio n se t. Any winning b idde r fo r who m the full a mo unt o f the fina l pric e is no t re c e ive d within 20 b usine ss da ys o f the e nd o f a n a uc tio n is sub je c t to b e ing de c la re d in de fa ult. At the ir so le disc re tio n, I CANN a nd its a uc tio n pro vide r ma y de la y

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the de c la ra tio n o f de fa ult fo r a b rie f pe rio d, b ut o nly if the y a re c o nvinc e d tha t re c e ipt o f full pa yme nt is immine nt. Any winning b idde r fo r who m the full a mo unt o f the fina l pric e is re c e ive d within 20 b usine ss da ys o f the e nd o f a n a uc tio n re ta ins the o b lig a tio n to e xe c ute the re q uire d re g istry a g re e me nt within 90 da ys o f the e nd o f a uc tio n. Suc h winning b idde r who do e s no t e xe c ute the a g re e me nt within 90 da ys o f the e nd o f the a uc tio n is sub je c t to b e ing de c la re d in de fa ult. At the ir so le disc re tio n, I CANN a nd its a uc tio n pro vide r ma y de la y the de c la ra tio n o f de fa ult fo r a b rie f pe rio d, b ut o nly if the y a re c o nvinc e d tha t e xe c utio n o f the re g istry a g re e me nt is immine nt.

4.3.3 Post-Default Procedures

Onc e de c la re d in de fa ult, a ny winning b idde r is sub je c t to imme dia te fo rfe iture o f its po sitio n in the a uc tio n a nd a sse ssme nt o f de fa ult pe na ltie s. Afte r a winning b idde r is de c la re d in de fa ult, the re ma ining b idde rs will re c e ive a n

ffe r to ha ve the ir a pplic a tio ns a c c e pte d, o ne a t a time , in

de sc e nding o rde r o f the ir e xit b ids. I n this wa y, the ne xt b idde r wo uld b e de c la re d the winne r sub je c t to pa yme nt

f its la st b id pric e . T

he sa me de fa ult pro c e dure s a nd pe na ltie s a re in pla c e fo r a ny runne r-up b idde r re c e iving suc h a n o ffe r. E a c h b idde r tha t is o ffe re d the re le va nt g T L D will b e g ive n a spe c ifie d pe rio d—typic a lly, fo ur b usine ss da ys—to re spo nd a s to whe the r it wa nts the g T L

D. A b idde r who

re spo nds in the a ffirma tive will ha ve 20 b usine ss da ys to sub mit its full pa yme nt. A b idde r who de c line s suc h a n o ffe r c a nno t re ve rt o n tha t sta te me nt, ha s no furthe r o b lig a tio ns in this c o nte xt a nd will no t b e c o nside re d in de fa ult. T he pe na lty fo r de fa ulting o n a winning b id will e q ua l 10%

f the de fa ulting b id.2 De fa ult pe na ltie s will b e c ha rg e d

a g a inst a ny de fa ulting a pplic a nt’ s b idding de po sit b e fo re the a sso c ia te d b idding de po sit is re turne d.

4.4 Contention Resolution and Contract Execution

2 If bidders were given the option of making a specified deposit that provided them with unlimited bidding authority for a given

application and if the winning bidder utilized this option, then the penalty for defaulting on a winning bid will be the lesser of the following: (1) 10% of the defaulting bid, or (2) the specified deposit amount that provided the bidder with unlimited bidding authority.

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An a pplic a nt tha t ha s b e e n de c la re d the winne r o f a c o nte ntio n re so lutio n pro c e ss will pro c e e d b y e nte ring into the c o ntra c t e xe c utio n pha se ste p. (Re fe r to se c tio n 5.1 o f Mo dule 5.) I f the a winne r o f the c o nte ntio n re so lutio n pro c e dure ha s no t e xe c ute d a c o ntra c t within 90 da ys o f the de c isio n, I CANN ha s the rig ht to de ny tha t a pplic a tio n a nd e xte nd a n o ffe r to the runne r-up a pplic a nt, if a ny, to pro c e e d with its a pplic a tio n. F

r e xa mple , in a c o mpa ra tive e va lua tio n,

the a pplic a nt with the se c o nd-hig he st sc o re (if e q ua l to o r g re a te r tha n e le ve n, mig ht b e se le c te d to g o o n to the ne xt ste p, de le g a tio n. (Re fe r to Mo dule 5.) Simila rly, in a n e ffic ie nt me c ha nism fo r c o nte ntio n re so lutio na uc tio n, a no the r a pplic a nt who wo uld b e c o nside re d the runne r-up a pplic a nt mig ht pro c e e d to the to wa rd de le g a tio n ste p. T his o ffe r is a t I CANN’ s o ptio n o nly. T he runne r-up a pplic a nt in a c o nte ntio n re so lutio n pro c e ss ha s no a uto ma tic rig ht to a n a pplie d-fo r g T L D string if the first pla c e winne r do e s no t e xe c ute a c o ntra c t within a spe c ifie d time .

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Module 5

Transition to Delegation

T his mo dule de sc rib e s the fina l ste ps re q uire d o f a n a pplic a nt fo r c o mple tio n o f the pro c e ss, inc luding e xe c utio n o f a re g istry a g re e me nt with I CANN a nd pre pa ring fo r de le g a tio n o f the ne w g T L D string into the ro o t zo ne .

5.1 Registry Agreement

All a pplic a nts tha t ha ve suc c e ssfully c o mple te d the e va lua tio n pro c e ss—inc luding , if ne c e ssa ry, the dispute re so lutio n a nd string c o nte ntio n pro c e sse s—a re re q uire d to e nte r into a re g istry a g re e me nt with I CANN in o rde r to pro c e e db e fo re pro c e e ding to de le g a tio n. I t is impo rta nt to no te tha t Afte r the a g re e me nt re fe rre d to b e lo w do e s no t c o nstitute a fo rma l po sitio n b yc lo se o f e a c h sta g e in the pro c e ss, I CANN a nd ha s no t b e e n a ppro ve d b y the I CANN Bo a rd o f Dire c to rs. T he a g re e me nt is se t o ut he re will se nd a no tific a tio n to tho se suc c e ssful a pplic a nts tha t a re e lig ib le fo r re vie w a nd c o mmunity disc ussio n e xe c utio n o f a re g istry a g re e me nt a t tha t time . T

pro c e e d, a pplic a nts will b e a ske d to pro vide spe c ifie d

info rma tio n fo r purpo se s a nd a s a me a ns to impro ve o f e xe c uting the e ffe c tive ne ssre g istry a g re e me nt:

1. Do c ume nta tio n o f the a pplic a nt’ s fina nc ia l

instrume nt (se e Spe c ific a tio n 8 to the a g re e me nt in pro viding fo r inc re a se d).

2. Co nfirma tio n o f c o nta c t info rma tio n a nd sig na to ry

to the a g re e me nt.

3. No tic e o f a ny ma te ria l c ha ng e s re q ue ste d to the

te rms o f the a g re e me nt.

4. T

he a pplic a nt must re po rt: (i) a ny o wne rship inte re st it ho lds in a ny re g istra r o r re se lle r o f re g iste re d na me s, (ii) if kno wn, a ny o wne rship inte re st tha t a re g istra r o r re se lle r o f re g iste re d na me s ho lds in the a pplic a nt, a nd (iii) if the a pplic a nt c o ntro ls, is c o ntro lle d b y, o r is unde r c o mmo n c o ntro l with a ny re g istra r o r re se lle r o f

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re g iste re d na me s. I CANN re ta ins the rig ht to re fe r a n a pplic a tio n to a c o mpe titio n a utho rity prio r to e ntry into the re g istry a g re e me nt if it is de te rmine d tha t the re g istry-re g istra r c ro ss-o wne rship a rra ng e me nts mig ht ra ise c o mpe titio n issue s. F

this purpo se "c o ntro l" (inc luding the te rms “c o ntro lle d b y” a nd “unde r c o mmo n c o ntro l with”) me a ns the po sse ssio n, dire c tly o r indire c tly, o f the po we r to dire c t o r c a use the dire c tio n o f the ma na g e me nt o r po lic ie s o f a pe rso n o r e ntity, whe the r thro ug h the o wne rship o f se c uritie s, a s truste e o r e xe c uto r, b y se rving a s a me mb e r o f a b o a rd o f dire c to rs o r e q uiva le nt g o ve rning b o dy, b y c o ntra c t, b y c re dit a rra ng e me nt o r o the rwise . T

e nsure tha t a n a pplic a nt c o ntinue s to b e a g o ing

c o nc e rn in g o o d le g a l sta nding , I CANN re se rve s the rig ht to a sk the a pplic a nt to sub mit a dditio na l upda te d do c ume nta tio n a nd c ho ic e info rma tio n b e fo re e nte ring into the re g istry a g re e me nt. I CANN will b e g in pro c e ssing re g istry a g re e me nts o ne mo nth a fte r the da te o f the no tific a tio n to suc c e ssful a pplic a nts. Re q ue sts will b e ha ndle d in the o rde r the c o mple te info rma tio n is re c e ive d. Ge ne ra lly, the pro c e ss will inc lude fo rma l a ppro va l o f the a g re e me nt witho ut re q uiring a dditio na l Bo a rd re vie w, so lo ng a s: the a pplic a tio n pa sse d a ll e va lua tio n c rite ria ; the re a re no ma te ria l c ha ng e s in c irc umsta nc e s; a nd the re a re no ma te ria l c ha ng e s to the b a se a g re e me nt. T he re ma y b e o the r c a se s whe re the Bo a rd re q ue sts re vie w o f a n a pplic a tio n. E lig ib le a pplic a nts a re e xpe c te d to ha ve e xe c ute d the re g istry a g re e me nt within nine (9) mo nths o f the no tific a tio n da te . F a ilure to do so ma y re sult in lo ss o f e lig ib ility, a t I CANN’ s disc re tio n. An a pplic a nt ma y re q ue st a n e xte nsio n o f this time pe rio d fo r c o nsume rs in a sta b le , se c ure DNS.up to a n a dditio na l nine (9) mo nths if it c a n de mo nstra te , to I CANN’ s re a so na b le sa tisfa c tio n, tha t it is wo rking dilig e ntly a nd in g o o d fa ith to wa rd suc c e ssfully c o mple ting the ste ps ne c e ssa ry fo r e ntry into the re g istry a g re e me nt. T he c o ntra c t te rms re g istry a g re e me nt c a n b e re vie we d a t http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld-dra ft- a g re e me nt-24o c t08-e n.pdf. in the a tta c hme nt to this mo dule . Ce rta in pro visio ns in the a g re e me nt a re la b e le d

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a s a pplic a b le to g o ve rnme nta l a nd inte rg o ve rnme nta l e ntitie s o nly. Priva te e ntitie s, e ve n if suppo rte d b y a g o ve rnme nt o r I GO, wo uld no t o rdina rily b e e lig ib le fo r the se spe c ia l pro visio ns. All suc c e ssful a pplic a nts a re e xpe c te d to e nte r into the a g re e me nt sub sta ntia lly a s writte n. T he te rms o f the c o ntra c t a nd, in pa rtic ula r, diffe re nc e s with e xisting re g istry a g re e me nts a re e xpla ine d in a c o mpa nio n pa pe r to the a g re e me nt, S ummary o f Change s to Base Agre e me nt fo r Ne w gT L Ds, http:/ / www.ic a nn.o rg / e n/ to pic s/ ne w-g tld- dra ft-summa ry-c ha ng e s-24o c t08-e n.pdf.Applic a nts ma y re q ue st a nd ne g o tia te te rms b y e xc e ptio n; ho we ve r, this e xte nds the time invo lve d in e xe c uting the a g re e me nt. I n the e ve nt tha t ma te ria l c ha ng e s to the a g re e me nt a re re q ue ste d, the se must first b e a ppro ve d b y the I CANN Bo a rd o f Dire c to rs b e fo re e xe c utio n o f the a g re e me nt. Afte r a n a pplic a nt ha s suc c e ssfully c o mple te d the a pplic a tio n pro c e ss, I CANN ma y c o nduc t a pre -c o ntra c t re vie w. T

e nsure tha t a n a pplic a nt c o ntinue s to b e a

g o ing c o nc e rn in g o o d le g a l sta nding , I CANN re se rve s the rig ht to a sk the a pplic a nt to sub mit upda te d do c ume nta tio n a nd info rma tio n b e fo re e nte ring into the re g istry a g re e me nt. I f a t a ny time during the e va lua tio n pro c e ss info rma tio n pre vio usly sub mitte d b y a n a pplic a nt b e c o me s untrue o r ina c c ura te , the a pplic a nt must pro mptly no tify I CANN a nd sub mit upda te d info rma tio n. T his inc lude s a pplic a ntspe c ific info rma tio n suc h a s c ha ng e s in fina nc ia l po sitio n a nd c ha ng e s in o wne rship o r c o ntro l o f the a pplic a nt. I CANN’ s Bo a rd o f Dire c to rs ha s ultima te re spo nsib ility fo r the Ne w g T L D Pro g ra m. T he Bo a rd re se rve s the rig ht unde r e xc e ptio na l c irc umsta nc e s to individua lly c o nside r a n a pplic a tio n fo r a ne w g T L D to de te rmine whe the r a ppro va l wo uld b e in the b e st inte re st o f the I nte rne t c o mmunity, fo r e xa mple , a s a re sult o f the use o f a n I CANN a c c o unta b ility me c ha nism.

5.2 Pre-Delegation Testing

llo wing c o mple tio n o f the Bo a rd re vie w, e a c hE

a c h a pplic a nt will b e re q uire d to c o mple te pre -de le g a tio n ste pste c hnic a l te sting a s a pre re q uisite to e nte ring the I ANA pro c e ss fo r de le g a tio n into the ro o t zo ne . T he T his pre - de le g a tio n c he c kte st must b e c o mple te d within the time pe rio d spe c ifie d in the re g istry a g re e me nt.

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5.2.1 Technical Testing

T he purpo se o f the pre -de le g a tio n te c hnic a l te st is to ve rify tha t the a pplic a nt ha s me t its c o mmitme nt to e sta b lish re g istry o pe ra tio ns in a c c o rda nc e with the te c hnic a l a nd

pe ra tio na l c rite ria de sc rib e d, along with the applicant
questions. (Refer to in Mo dule 2.) .

T he c he c ks a re te st is a lso inte nde d to e nsure indic a te tha t the a pplic a nt c a n o pe ra te the g T L D in a sta b le a nd se c ure ma nne r. All a pplic a nts will b e te ste d o n a pa ss/ fa il b a sis a c c o rding to the q ue stio ns a nd c rite ria re q uire me nts tha t fo llo w.

Question Criteria 1 IDN (Variant) Tables If applicant will be supporting IDNs, was the IDN table attached to the application when

riginally submitted and does it fulfill IDN

and IANA guidelines and requirements? IDN tables must be developed and provided by the IDN string applicant at the time the application was submitted. The table must fulfill the requirements from the IDN Guidelines as well as the IANA repository requirements in order to be considered valid (see http://iana.org/procedures/idn-repository.html). 2 DNSSEC Keys, Materials If DNSSEC is offered as part of registry services at time of application, can applicant comply with requirements? Trust anchor for the registry will be published in the IANA Interim Trust Anchor

Repository. Validity will be determined by verifying that DNS resolvers that

support DNSSEC can successfully retrieve and DNSSEC validate information from that zone when configured with the published trust anchor for the zone. 3 Architecture Load Requirements Has the applicant implemented a network architecture necessary to support load characteristics, as outlined in its application? Applicant will self-certify adherence to this requirement and provide materials to ICANN that demonstrate adherence. Examples of self-certification documents include but are not limited to a network/system diagram of the as- built network system (demonstrating correspondence to documentation in initial application), results of load testing performed by the applicant, and actual performance of the configuration in use for other registries. At ICANN’s discretion, aspects of this self-certification documentation can be audited on- site at the services delivery point of the registry. 4 IPv6 for Registrants Does registry support provisioning of IPv6 services for its registrants? Registry must support provisioning of IPv6 services on behalf of its

registrants. This means that registrar systems will allow entry of IPv6

addresses in all relevant address fields, that the SRS system is set up to support the communication of IPv6 addresses, and that registry name servers can be provisioned with IPv6 addresses. Applicant will demonstrate successful provisioning of a test account with IPv6 name server entries. 5 IPv6 Reachability Note: This requirement is under consideration and the community is urged to provide feedback on this requirement. Does registry support access to DNS servers over an IPv6 network? IANA currently has a minimum set of technical requirements for IPv4 name

service. These include two nameservers separated by geography and by

network topology, which each serve a consistent set of data, and are reachable from multiple locations across the globe. The registry will meet this same criterion for IPv6, requiring IPv6 transport to their network. Applicant will identify IPv6-reachable name servers that meet these requirements, and

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Question Criteria reachability will be verified by ICANN. 6 Escrow Deposit Sample Has the applicant demonstrated the ability to conform to registry escrow requirements? See http://www.icann.org/en/topics/new-gtld- draft-escrow-spec-24oct-08-en.pdf. The applicant will provide a conforming sample of a dummy data deposit showing correct type and formatting of content. The applicant will also provide evidence of an agreement with an escrow provider complying with Part B of the Data Escrow Requirements. 7 System Monitoring Has the applicant implemented the system monitoring described by the applicant in the initial application? Applicant will self-certify adherence to this requirement and provide materials to ICANN that demonstrate adherence. Examples of self-certification documents include but are not limited to: diagrams of monitoring systems (demonstrating correspondence to documentation provided in the application),

utput of periodic monitoring runs performed by the applicant demonstrating

capability claimed in the application, and actual performance of this monitoring set up in use for other registries. At ICANN’s discretion, aspects of this self-certification documentation can be audited on-site at the services delivery point of the registry. 8 Registry Continuity Planning Has applicant demonstrated capability to comply with ICANN’s Registry Continuity Plan? See http://www.icann.org/registries/failover/icann

registry-failover-plan-15jul08.pdf.

Applicant will self-certify adherence to this requirement and provide materials to ICANN that demonstrate adherence. Examples include identification of appropriate contact points and evidence of the registry’s own continuity plan, and identification of a registry services continuity provider. 9 System Performance Requirements Has applicant demonstrated capability to comply with the performance specifications? See http://www.icann.org/en/topics/new-gtld- draft-performance-spec-24oct08-en.pdf. Applicant will self-certify adherence to this requirement and provide materials to ICANN that demonstrate adherence. Examples of self-certification documents include but are not limited to performance and availability results that demonstrate DNS availability at stated levels for at least one month, and Whois service availability for at least one month. At ICANN’s discretion, aspects of this self-certification documentation can be audited on-site at the services delivery point of the registry.

5.2.2 Additional Requirements

At the pre -de le g a tio n sta g e , a n a pplic a nt must a lso pro vide do c ume nta ry e vide nc e o f its a b ility to fund

ng o ing b a sic re g istry o pe ra tio ns fo r the n-e xisting

re g istra nts fo r a pe rio d o f thre e to five ye a rs in the e ve nt o f re g istry fa ilure , de fa ult o r until a suc c e sso r o pe ra to r c a n b e de sig na te d. T his o b lig a tio n c a n b e me t b y se c uring a fina nc ia l instrume nt suc h a s a b o nd o r le tte r o f c re dit (i.e ., e vide nc e o f a b ility to pro vide fina nc ia l se c urity g ua ra nte e d b y a c re ditwo rthy fina nc ia l institutio n); c o ntra c ting with a nd funding a se rvic e s pro vide r to e xte nd se rvic e s; se g re g a ting funding ; o r o the r me a ns. T he te st e le me nts c o ve r b o th the DNS se rve r o pe ra tio na l infra struc ture a nd re g istry syste m o pe ra tio ns. I n ma ny c a se s

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the a pplic a nt will pe rfo rm the te st e le me nts a s instruc te d a nd pro vide do c ume nta tio n o f the re sults to I CANN to de mo nstra te sa tisfa c to ry pe rfo rma nc e . At I CANN’ s disc re tio n, a spe c ts o f the a pplic a nt’ s se lf-c e rtific a tio n do c ume nta tio n c a n b e a udite d e ithe r o n-site a t the se rvic e s de live ry po int o f the re g istry o r e lse whe re a s de te rmine d b y I CANN.

5.2.1 Testing Procedures

T he a pplic a nt ma y initia te the pre -de le g a tio n te st b y sub mitting to I CANN the Pre -De le g a tio n fo rm a nd a c c o mpa nying do c ume nts c o nta ining a ll o f the fo llo wing info rma tio n:

All na me se rve r na me s a nd I

Pv4/ I Pv6 a ddre sse s to b e use d in se rving the ne w T L D da ta ;

f using a nyc a st, the list o f na me s a nd I Pv4/ I Pv6 unic a st a ddre sse s a llo wing the ide ntific a tio n o f e a c h individua l se rve r in the a nyc a st se ts;

f I DN is suppo rte d, the c o mple te I DN ta b le s use d in the re g istry syste m;

A te st zo ne fo r the ne w T

L D must b e sig ne d a t te st time a nd the va lid ke y-se t to b e use d a t the time o f te sting must b e pro vide d to I CANN in the do c ume nta tio n, a s we ll a s the T L D DNSSE C Po lic y Sta te me nt (DPS);

he e xe c ute d a g re e me nt b e twe e n the se le c te d e sc ro w a g e nt a nd the a pplic a nt; a nd

Se lf-c e rtific a tio n do c ume nta tio n a s de sc rib e d

b e lo w fo r e a c h te st ite m. I CANN will re vie w the ma te ria l sub mitte d a nd in so me c a se s pe rfo rm te sts in a dditio n to tho se c o nduc te d b y the a pplic a nt. Afte r te sting , I CANN will a sse mb le a re po rt with the o utc o me o f the te sts a nd pro vide tha t re po rt to the a pplic a nt. Any c la rific a tio n re q ue st, a dditio na l info rma tio n re q ue st, o r

the r re q ue st g e ne ra te d in the pro c e ss will b e hig hlig hte d

a nd liste d in the re po rt se nt to the a pplic a nt.

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I CANN ma y re q ue st the a pplic a nt to c o mple te lo a d te sts c o nside ring a n a g g re g a te d lo a d whe re a sing le e ntity is pe rfo rming re g istry se rvic e s fo r multiple T L Ds. Onc e a n a pplic a nt ha s me t a ll o f the pre -de le g a tio n te sting re q uire me nts in 5.2.1 a nd 5.2.2 a b o ve , it is e lig ib le to pro c e e d to re q ue st de le g a tio n o f its a pplie d-fo r g T L D string b y I ANA.. I f a n a pplic a nt do e s no t c o mple te the pre -de le g a tio n ste ps within the time pe rio d spe c ifie d in the re g istry a g re e me nt, I CANN re se rve s the rig ht to te rmina te the re g istry a g re e me nt.

5.2.2 Test Elements: DNS Infrastructure

T he first se t o f te st e le me nts c o nc e rns the DNS infra struc ture

f the ne w g T

D. I

n a ll te sts o f the DNS infra struc ture , a ll re q uire me nts a re inde pe nde nt o f whe the r I Pv4 o r I Pv6 is use d. All te sts sha ll b e do ne b o th o ve r I Pv4 a nd I Pv6, with re po rts pro viding re sults a c c o rding to b o th pro to c o ls.

UDP Suppor t -- T

he DNS infra struc ture to whic h the se te sts a pply c o mprise s the c o mple te se t o f se rve rs a nd ne two rk infra struc ture to b e use d b y the c ho se n pro vide rs to de live r DNS se rvic e fo r the ne w g T L D to the I nte rne t. T he do c ume nta tio n pro vide d b y the a pplic a nt must inc lude the re sults fro m a syste m pe rfo rma nc e te st indic a ting a va ila b le ne two rk a nd se rve r c a pa c ity a nd a n e stima te o f e xpe c te d c a pa c ity during no rma l o pe ra tio n to e nsure sta b le se rvic e a s we ll a s to a de q ua te ly a ddre ss Distrib ute d De nia l o f Se rvic e (DDo S) a tta c ks. Se lf-c e rtific a tio n do c ume nta tio n sha ll inc lude da ta o n lo a d c a pa c ity, la te nc y a nd ne two rk re a c ha b ility. L

a d c a pa c ity sha ll b e re po rte d using a ta b le , a nd a

c o rre spo nding g ra ph, sho wing pe rc e nta g e o f q ue rie s re spo nde d a g a inst a n inc re a sing numb e r o f q ue rie s pe r se c o nd g e ne ra te d fro m lo c a l (to the se rve rs) tra ffic g e ne ra to rs. T he ta b le sha ll inc lude a t le a st 20 da ta po ints a nd lo a ds o f UDP-b a se d q ue rie s tha t will c a use up to 10% q ue ry lo ss a g a inst a ra ndo mly se le c te d sub se t o f se rve rs within the a pplic a nt’ s DNS infra struc ture . Re spo nse s must e ithe r c o nta in zo ne da ta o r b e NXDOMAI N o r NODAT A re spo nse s to b e c o nside re d va lid. Que ry la te nc y sha ll b e re po rte d in millise c o nds a s me a sure d b y DNS pro b e s lo c a te d just o utside the b o rde r

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ro ute rs o f the physic a l ne two rk ho sting the na me se rve rs, fro m a ne two rk to po lo g y po int o f vie w. Re a c ha b ility will b e do c ume nte d b y pro viding info rma tio n

n the tra nsit a nd pe e ring a rra ng e me nts fo r the DNS se rve r

lo c a tio ns, listing the AS numb e rs o f the tra nsit pro vide rs o r pe e rs a t e a c h po int o f pre se nc e a nd a va ila b le b a ndwidth a t tho se po ints o f pre se nc e .

T CP suppor t -- T

CP tra nspo rt se rvic e fo r DNS q ue rie s a nd re spo nse s must b e e na b le d a nd pro visio ne d fo r e xpe c te d lo a d. I CANN will re vie w the c a pa c ity se lf-c e rtific a tio n do c ume nta tio n pro vide d b y the a pplic a nt a nd will pe rfo rm T CP re a c ha b ility a nd tra nsa c tio n c a pa b ility te sts a c ro ss a ra ndo mly se le c te d sub se t o f the na me se rve rs within the a pplic a nt’ s DNS infra struc ture . I n c a se o f use o f a nyc a st, e a c h individua l se rve r in e a c h a nyc a st se t will b e te ste d. Se lf-c e rtific a tio n do c ume nta tio n sha ll inc lude da ta o n lo a d c a pa c ity, la te nc y a nd e xte rna l ne two rk re a c ha b ility. L

a d c a pa c ity sha ll b e re po rte d using a ta b le , a nd a

c o rre spo nding g ra ph, sho wing pe rc e nta g e o f q ue rie s tha t g e ne ra te d a va lid (zo ne da ta , NODAT A, o r NXDOMAI N) re spo nse a g a inst a n inc re a sing numb e r o f q ue rie s pe r se c o nd g e ne ra te d fro m lo c a l (to the na me se rve rs) tra ffic g e ne ra to rs. T he ta b le sha ll inc lude a t le a st 20 da ta po ints a nd lo a ds tha t will c a use up to 10% q ue ry lo ss (e ithe r due to c o nne c tio n time o ut o r c o nne c tio n re se t) a g a inst a ra ndo mly se le c te d sub se t o f se rve rs within the a pplic a nt’ s DNS infra struc ture . Que ry la te nc y will b e re po rte d in millise c o nds a s me a sure d b y DNS pro b e s lo c a te d just o utside the b o rde r ro ute rs o f the physic a l ne two rk ho sting the na me se rve rs, fro m a ne two rk to po lo g y po int o f vie w. Re a c ha b ility will b e do c ume nte d b y pro viding re c o rds o f T CP-b a se d DNS q ue rie s fro m no de s e xte rna l to the ne two rk ho sting the se rve rs. T he se lo c a tio ns ma y b e the sa me a s tho se use d fo r me a suring la te nc y a b o ve .

DNSSE C suppor t -- Applic a nt must de mo nstra te suppo rt fo r

E DNS(0) in its se rve r infra struc ture , the a b ility to re turn c o rre c t DNSSE C-re la te d re so urc e re c o rds suc h a s DNSK E Y, RRSI G, a nd NSE C/ NSE C3 fo r the sig ne d zo ne , a nd the a b ility to a c c e pt a nd pub lish DS re so urc e re c o rds fro m se c o nd-le ve l do ma in a dministra to rs. I n pa rtic ula r, the

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a pplic a nt must de mo nstra te its a b ility to suppo rt the full life c yc le o f K SK a nd ZSK ke ys. I CANN will re vie w the se lf- c e rtific a tio n ma te ria ls a s we ll a s te st the re a c ha b ility, re spo nse size s, a nd DNS tra nsa c tio n c a pa c ity fo r DNS q ue rie s using the E DNS(0) pro to c o l e xte nsio n with the “DNSSE C OK ” b it se t fo r a ra ndo mly se le c te d sub se t o f a ll na me se rve rs within the a pplic a nt’ s DNS infra struc ture . I n c a se o f use o f a nyc a st, e a c h individua l se rve r in e a c h a nyc a st se t will b e te ste d. L

a d c a pa c ity, q ue ry la te nc y, a nd re a c ha b ility sha ll b e

do c ume nte d a s fo r UDP a nd T CP a b o ve .

5.2.3 Test Elements: Registry Systems

As do c ume nte d in the re g istry a g re e me nt, re g istrie s must pro vide suppo rt fo r E PP within the ir Sha re d Re g istra tio n Syste m, a nd pro vide Who is se rvic e b o th via po rt 43 a nd a we b inte rfa c e , in a dditio n to suppo rt fo r the DNS. T his se c tio n de ta ils the re q uire me nts fo r te sting the se re g istry syste ms.

Syste m pe r for manc e -- T

he re g istry syste m must sc a le to me e t the pe rfo rma nc e re q uire me nts de sc rib e d in Spe c ific a tio n 6 o f the re g istry a g re e me nt a nd I CANN will re q uire se lf-c e rtific a tio n o f c o mplia nc e . I CANN will re vie w the se lf-c e rtific a tio n do c ume nta tio n pro vide d b y the a pplic a nt to ve rify a dhe re nc e to the se minimum re q uire me nts.

Whois suppor t -- Applic a nt must pro visio n Who is se rvic e s fo r

the a ntic ipa te d lo a d. I CANN will ve rify tha t Who is da ta is a c c e ssib le o ve r I Pv4 a nd I Pv6 via b o th T CP po rt 43 a nd via a we b inte rfa c e a nd re vie w se lf-c e rtific a tio n do c ume nta tio n re g a rding Who is tra nsa c tio n c a pa c ity. Re spo nse fo rma t a c c o rding to Spe c ific a tio n 4 o f the re g istry a g re e me nt a nd a c c e ss to Who is (b o th po rt 43 a nd via we b ) will b e te ste d b y I CANN re mo te ly fro m va rio us po ints o n the I nte rne t o ve r b o th I Pv4 a nd I Pv6. Se lf-c e rtific a tio n do c ume nts sha ll de sc rib e the ma ximum numb e r o f q ue rie s pe r se c o nd suc c e ssfully ha ndle d b y b o th the po rt 43 se rve rs a s we ll a s the we b inte rfa c e , to g e the r with a n a pplic a nt-pro vide d lo a d e xpe c ta tio n.

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Additio na lly, a de sc riptio n o f de plo ye d c o ntro l func tio ns to de te c t a nd mitig a te da ta mining o f the Who is da ta b a se sha ll b e do c ume nte d.

E PP Suppor t -- As pa rt o f a sha re d re g istra tio n se rvic e ,

a pplic a nt must pro visio n E PP se rvic e s fo r the a ntic ipa te d lo a d. I CANN will ve rify c o nfo rma nc e to a ppro pria te RF Cs (inc luding E PP e xte nsio ns fo r DNSSE C). I CANN will a lso re vie w se lf-c e rtific a tio n do c ume nta tio n re g a rding E PP tra nsa c tio n c a pa c ity. Do c ume nta tio n sha ll pro vide a ma ximum T ra nsa c tio n pe r Se c o nd ra te fo r the E PP inte rfa c e with 10 da ta po ints c o rre spo nding to re g istry da ta b a se size s fro m 0 (e mpty) to the e xpe c te d size a fte r o ne ye a r o f o pe ra tio n, a s de te rmine d b y a pplic a nt. Do c ume nta tio n sha ll a lso de sc rib e me a sure s ta ke n to ha ndle lo a d during initia l re g istry o pe ra tio ns, suc h a s a la nd-rush pe rio d.

IPv6 suppor t -- T

he a b ility o f the re g istry to suppo rt re g istra rs a dding , c ha ng ing , a nd re mo ving I Pv6 DNS re c o rds supplie d b y re g istra nts will b e te ste d b y I

CANN. I

f the re g istry suppo rts E PP a c c e ss via I Pv6, this will b e te ste d b y I CANN re mo te ly fro m va rio us po ints o n the I nte rne t.

DNSSE C suppor t -- I

CANN will re vie w the a b ility o f the re g istry to suppo rt re g istra rs a dding , c ha ng ing , a nd re mo ving DNSSE C-re la te d re so urc e re c o rds a s we ll a s the re g istry’ s o ve ra ll ke y ma na g e me nt pro c e dure s. I n pa rtic ula r, the a pplic a nt must de mo nstra te its a b ility to suppo rt the full life c yc le o f ke y c ha ng e s fo r c hild do ma ins. I nte r-o pe ra tio n o f the a pplic a nt’ s se c ure c o mmunic a tio n c ha nne ls with the I ANA fo r trust a nc ho r ma te ria l e xc ha ng e will b e ve rifie d. T he pra c tic e a nd po lic y do c ume nt (a lso kno wn a s the DNSSE C Po lic y Sta te me nt o r DPS), de sc rib ing ke y ma te ria l sto ra g e , a c c e ss a nd usa g e fo r its o wn ke ys a nd the re g istra nts’ trust a nc ho r ma te ria l, is a lso re vie we d a s pa rt o f this ste p.

IDN suppor t -- I

CANN will ve rify the c o mple te I DN ta b le (s) use d in the re g istry syste m. T he ta b le (s) must c o mply with the g uide line s in http:/ / ia na .o rg / pro c e dure s/ idn- re po sito ry.html.

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Re q uire me nts re la te d to I DN fo r Who is a re b e ing de ve lo pe d. Afte r the se re q uire me nts a re de ve lo pe d, pro spe c tive re g istrie s will b e e xpe c te d to c o mply with pub lishe d I DN-re la te d Who is re q uire me nts a s pa rt o f pre - de le g a tio n te sting .

E sc r

w de posit -- T

he a pplic a nt-pro vide d sa mple s o f da ta de po sit tha t inc lude b o th a full a nd a n inc re me nta l de po sit sho wing c o rre c t type a nd fo rma tting o f c o nte nt will b e re vie we d. Spe c ia l a tte ntio n will b e g ive n to the a g re e me nt with the e sc ro w pro vide r to e nsure tha t e sc ro we d da ta c a n b e re le a se d within 24 ho urs sho uld it b e ne c e ssa ry. I CANN ma y, a t its o ptio n, a sk a n inde pe nde nt third pa rty to de mo nstra te the re c o nstituta b ility o f the re g istry fro m e sc ro we d da ta . I CANN ma y e le c t to te st the da ta re le a se pro c e ss with the e sc ro w a g e nt.

5.3 Delegation Process

Upo n no tic e o f suc c e ssful c o mple tio n o f the I CANN pre - de le g a tio n te sting , a pplic a nts ma y initia te the pro c e ss fo r de le g a tio n o f the ne w g T L D into the ro o t zo ne da ta b a se . T his will inc lude pro visio n o f a dditio na l info rma tio n a nd c o mple tio n o f a dditio na l te c hnic a l ste ps re q uire d fo r de le g a tio n. I nfo rma tio n a b o ut the de le g a tio n pro c e ss is a va ila b le a t http:/ / ia na .o rg / do ma ins/ ro o t/ .

5.4 Ongoing Operations

An a pplic a nt tha t is suc c e ssfully de le g a te d a g T L D will b e c o me a “Re g istry Ope ra to r.” I n b e ing de le g a te d the ro le o f o pe ra ting pa rt o f the I nte rne t’ s do ma in na me syste m, the a pplic a nt will b e a ssuming a numb e r o f sig nific a nt re spo nsib ilitie s. I CANN will ho ld a ll ne w g T L D

pe ra to rs a c c o unta b le fo r the pe rfo rma nc e o f the ir
b lig a tio ns unde r the re g istry a g re e me nt, a nd it is

impo rta nt tha t a ll a pplic a nts unde rsta nd the se re spo nsib ilitie s.

5.4.1 What is Expected of a Registry Operator

T he re g istry a g re e me nt de fine s the o b lig a tio ns o f g T L D re g istry o pe ra to rs. A b re a c h o f the re g istry o pe ra to r’ s

b lig a tio ns ma y re sult in I

CANN c o mplia nc e a c tio ns up to a nd inc luding te rmina tio n o f the re g istry a g re e me nt. Pro spe c tive a pplic a nts a re e nc o ura g e d to re vie w the fo llo wing b rie f de sc riptio n o f so me o f the se re spo nsib ilitie s.

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No te tha t this is a no n-e xha ustive list pro vide d to po te ntia l a pplic a nts a s a n intro duc tio n to the re spo nsib ilitie s o f a re g istry o pe ra to r. F

r the c o mple te a nd a utho rita tive te xt,

ple a se re fe r to the re g istry a g re e me nt. A re g istry o pe ra to r is o b lig a te d to :

Ope r ate the T L D in a stable and se c ur e manne r

. T he re g istry

pe ra to r is re spo nsib le fo r the e ntire te c hnic a l o pe ra tio n o f

the T L

D. As no te d in RF

C 15911: “T he de sig na te d ma na g e r must do a sa tisfa c to ry jo b o f

pe ra ting the DNS se rvic e fo r the do ma in. T

ha t is, the a c tua l ma na g e me nt o f the a ssig ning o f do ma in na me s, de le g a ting sub do ma ins a nd o pe ra ting na me se rve rs must b e do ne with te c hnic a l c o mpe te nc e . T his inc lude s ke e ping the c e ntra l I R2 (in the c a se o f to p-le ve l do ma ins) o r o the r hig he r-le ve l do ma in ma na g e r a dvise d o f the sta tus o f the do ma in, re spo nding to re q ue sts in a time ly ma nne r, a nd

pe ra ting the da ta b a se with a c c ura c y, ro b ustne ss, a nd

re silie nc e .” T he re g istry o pe ra to r is re q uire d to c o mply with re le va nt te c hnic a l sta nda rds in the fo rm o f RF Cs a nd o the r g uide line s. Additio na lly, the re g istry o pe ra to r must me e t pe rfo rma nc e spe c ific a tio ns in a re a s suc h a s syste m do wntime a nd syste m re spo nse time s (se e Spe c ific a tio n 6

f the re g istry a g re e me nt).

Comply with c onse nsus polic ie s and te mpor ar y polic ie s.

g T L D re g istry o pe ra to rs a re re q uire d to c o mply with c o nse nsus po lic ie s. Co nse nsus po lic ie s ma y re la te to a ra ng e o f to pic s suc h a s issue s a ffe c ting inte ro pe ra b ility o f the DNS, re g istry func tio na l a nd pe rfo rma nc e spe c ific a tio ns, da ta b a se se c urity a nd sta b ility, o r re so lutio n

f dispute s o ve r re g istra tio n o f do ma in na me s.

b e a do pte d a s a c o nse nsus po lic y, a po lic y must b e

de ve lo pe d b y the Ge ne ric Na me s Suppo rting Org a niza tio n (GNSO)3 fo llo wing the pro c e ss in Anne x A o f the I CANN Byla ws.4 T he po lic y de ve lo pme nt pro c e ss invo lve s de lib e ra tio n a nd c o lla b o ra tio n b y the va rio us sta ke ho lde r g ro ups pa rtic ipa ting in the pro c e ss, with multiple

1 See http://www.rfc-editor.org/rfc/rfc1591.txt 2 IR is a historical reference to “Internet Registry,” a function now performed by ICANN. 3 http://gnso.icann.org 4 http://www.icann.org/en/general/bylaws.htm#AnnexA

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ppo rtunitie s fo r input a nd c o mme nt b y the pub lic , a nd

c a n ta ke sig nific a nt time . E xa mple s o f e xisting c o nse nsus po lic ie s a re the I nte r- Re g istra r T ra nsfe r Po lic y (g o ve rning tra nsfe rs o f do ma in na me s b e twe e n re g istra rs), a nd the Re g istry Se rvic e s E va lua tio n Po lic y (e sta b lishing a re vie w o f pro po se d ne w re g istry se rvic e s fo r se c urity a nd sta b ility o r c o mpe titio n c o nc e rns), a ltho ug h the re a re se ve ra l mo re , a s fo und a t http:/ / www.ic a nn.o rg / e n/ g e ne ra l/ c o nse nsus-po lic ie s.htm. g T L D re g istry o pe ra to rs a re o b lig a te d to c o mply with b o th e xisting c o nse nsus po lic ie s a nd tho se tha t a re de ve lo pe d in the future . Onc e a c o nse nsus po lic y ha s b e e n fo rma lly a do pte d, I CANN will pro vide g T L D re g istry o pe ra to rs with no tic e o f the re q uire me nt to imple me nt the ne w po lic y a nd the e ffe c tive da te . I n a dditio n, the I CANN Bo a rd ma y, whe n re q uire d b y c irc umsta nc e s, e sta b lish a te mpo ra ry po lic y ne c e ssa ry to ma inta in the sta b ility o r se c urity o f re g istry se rvic e s o r the

DNS. I

n suc h a c a se , a ll g T L D re g istry o pe ra to rs will b e re q uire d to c o mply with the te mpo ra ry po lic y fo r the de sig na te d pe rio d o f time . F

r mo re info rma tio n, se e Spe c ific a tio n 1 o f the re g istry

a g re e me nt.

Imple me nt star t-up r ights pr

te c tion me asur

e s. T

he re g istry

pe ra to r must imple me nt, a t a minimum, e ithe r a Sunrise

pe rio d o r a T ra de ma rk Cla ims se rvic e during the sta rt-up pha se s fo r re g istra tio n in the T L

D. T

he se me c ha nisms will b e suppo rte d b y the e sta b lishe d T ra de ma rk Cle a ring ho use a s indic a te d b y I CANN. T he Sunrise pe rio d a llo ws e lig ib le rig htsho lde rs a n e a rly

ppo rtunity to re g iste r na me s in the T

L D. T he T ra de ma rk Cla ims se rvic e pro vide s no tic e to po te ntia l re g istra nts o f e xisting tra de ma rk rig hts, a s we ll a s no tic e to rig htsho lde rs o f re le va nt na me s re g iste re d. Re g istry

pe ra to rs ma y c o ntinue o ffe ring the T

ra de ma rk Cla ims se rvic e a fte r the re le va nt sta rt-up pha se s ha ve c o nc lude d. F

r mo re info rma tio n, se e Spe c ific a tio n 7 o f the re g istry

a g re e me nt a nd the T ra de ma rk Cle a ring ho use mo de l a c c o mpa nying this mo dule .

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Imple me nt post-launc h r ights pr

te c tion me asur

e s. T

he re g istry o pe ra to r is re q uire d to imple me nt de c isio ns ma de unde r the Unifo rm Ra pid Suspe nsio n (URS) pro c e dure , inc luding suspe nsio n o f spe c ific do ma in na me s within the re g istry. T he re g istry o pe ra to r is a lso re q uire d to c o mply with a nd imple me nt de c isio ns ma de a c c o rding to the T ra de ma rk Po st-De le g a tio n Dispute Re so lutio n Po lic y (PDDRP). T he re q uire d me a sure s a re de sc rib e d fully in the URS a nd PDDRP pro c e dure s a c c o mpa nying this mo dule . Re g istry

pe ra to rs ma y intro duc e a dditio na l rig hts pro te c tio n

me a sure s re le va nt to the pa rtic ula r g T L D.

Imple me nt me asur e s for pr

te c tion of c ountr

y and te r r itor y name s in the ne w gT L

D. All ne w g T

L D re g istry o pe ra to rs a re re q uire d to pro vide c e rta in minimum pro te c tio ns fo r c o untry a nd te rrito ry na me s, inc luding a n initia l re se rva tio n re q uire me nt a nd e sta b lishme nt o f a pplic a b le rule s a nd pro c e dure s fo r re le a se o f the se na me s. Re g istry o pe ra to rs a re e nc o ura g e d to imple me nt me a sure s fo r pro te c tio n o f g e o g ra phic a l na me s in a dditio n to tho se re q uire d b y the a g re e me nt, a c c o rding to the ne e ds a nd inte re sts o f e a c h g T L D’ s pa rtic ula r c irc umsta nc e s. (Se e Spe c ific a tio n 5 o f the re g istry a g re e me nt).

Pay r e c ur r ing fe e s to ICANN. I

n a dditio n to suppo rting e xpe nditure s ma de to a c c o mplish the o b je c tive s se t o ut in I CANN’ s missio n sta te me nt, the se funds e na b le the suppo rt re q uire d fo r ne w g T L Ds, inc luding : c o ntra c tua l c o mplia nc e , re g istry lia iso n, inc re a se d re g istra r a c c re dita tio ns, a nd o the r re g istry suppo rt a c tivitie s. T he fe e s inc lude b o th a fixe d c o mpo ne nt (USD 25,000 a nnua lly) a nd, o nc e the T L D ha s pa sse d a thre sho ld size , a va ria b le fe e b a se d o n tra nsa c tio n vo lume . Se e Artic le 6 o f the re g istry a g re e me nt.

Re gular ly de posit data into e sc r

w. T

his se rve s a n impo rta nt ro le in re g istra nt pro te c tio n a nd c o ntinuity fo r c e rta in insta nc e s whe re the re g istry o r o ne a spe c t o f the re g istry

pe ra tio ns e xpe rie nc e s a syste m fa ilure o r lo ss o f da ta .

(Se e Spe c ific a tio n 2 o f the re g istry a g re e me nt.)

De live r monthly r e por ts in a time ly manne r. A re g istry

pe ra to r must sub mit a re po rt to I

CANN o n a mo nthly b a sis. T he re po rt inc lude s re g istra r tra nsa c tio ns fo r the mo nth a nd is use d b y I CANN fo r c a lc ula tio n o f re g istra r fe e s. (Se e Spe c ific a tio n 3 o f the re g istry a g re e me nt.)

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vide Whois se r

vic e . A re g istry o pe ra to r must pro vide a

pub lic ly a va ila b le Who is se rvic e fo r re g iste re d do ma in na me s in the T L

D. (Se e Spe c ific a tio n 4 o f the re g istry

a g re e me nt.)

Maintain par tne r ships with ICANN-ac c r e dite d r e gistr ar

s. A

re g istry o pe ra to r c re a te s a Re g istry-Re g istra r Ag re e me nt (RRA) to de fine re q uire me nts fo r its re g istra rs. T his must inc lude c e rta in te rms tha t a re spe c ifie d in the Re g istry Ag re e me nt, a nd ma y inc lude a dditio na l te rms spe c ific to the T L

D. A re g istry o pe ra to r must pro vide no n-disc rimina to ry

a c c e ss to its re g istry se rvic e s to a ll I CANN-a c c re dite d re g istra rs with who m it ha s e nte re d into a n RRA, a nd who a re in c o mplia nc e with the re q uire me nts. T his inc lude s pro viding a dva nc e no tic e o f pric ing c ha ng e s to a ll re g istra rs, in c o mplia nc e with the time fra me s spe c ifie d in the a g re e me nt. (Se e Artic le 2 o f the re g istry a g re e me nt.)

Maintain an abuse point of c ontac t. A re g istry o pe ra to r

must ma inta in a nd pub lish o n its we b site a sing le po int o f c o nta c t re spo nsib le fo r a ddre ssing ma tte rs re q uiring e xpe dite d a tte ntio n a nd pro viding a time ly re spo nse to a b use c o mpla ints c o nc e rning a ll na me s re g iste re d in the T L D thro ug h a ll re g istra rs o f re c o rd, inc luding tho se invo lving a re se lle r. (Se e Spe c ific a tio n 6 o f the re g istry a g re e me nt.)

Coope r ate with c ontr ac tual c omplianc e audits. T

ma inta in a le ve l pla ying fie ld a nd a c o nsiste nt o pe ra ting

e nviro nme nt, I CANN sta ff pe rfo rms pe rio dic a udits to a sse ss c o ntra c tua l c o mplia nc e a nd a ddre ss a ny re sulting pro b le ms. A re g istry o pe ra to r must pro vide do c ume nts a nd info rma tio n re q ue ste d b y I CANN tha t a re ne c e ssa ry to pe rfo rm suc h a udits. (Se e Artic le 2 o f the re g istry a g re e me nt.)

Maintain a Continue d Ope r ations Instr ume nt. A re g istry

pe ra to r must, a t the time o f the a g re e me nt, ha ve in

pla c e a c o ntinue d o pe ra tio ns instrume nt suffic ie nt to fund b a sic re g istry o pe ra tio ns fo r a pe rio d o f thre e (3) ye a rs. T his re q uire me nt re ma ins in pla c e fo r five (5) ye a rs a fte r de le g a tio n o f the T L D, a fte r whic h time the re g istry

pe ra to r is no lo ng e r re q uire d to ma inta in the c o ntinue d
pe ra tio ns instrume nt. (Se e Sp e c ific a tio n 8 to the re g istry

a g re e me nt.)

Maintain c ommunity-base d polic ie s and pr

c e dur

e s. I

f the re g istry o pe ra to r de sig na te d its a pplic a tio n a s c o mmunity- b a se d a t the time o f the a pplic a tio n, the re g istry o pe ra to r ha s re q uire me nts in its re g istry a g re e me nt to ma inta in the

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c o mmunity-b a se d po lic ie s a nd pro c e dure s it spe c ifie d in its a pplic a tio n. T he re g istry o pe ra to r is b o und b y the Re g istry Re stric tio ns Dispute Re so lutio n Pro c e dure with re spe c t to dispute s re g a rding e xe c utio n o f its c o mmunity-b a se d po lic ie s a nd pro c e dure s. (Se e Artic le 2 to the re g istry a g re e me nt.)

Have c ontinuity and tr ansition plans in plac e . T

his inc lude s pe rfo rming fa ilo ve r te sting o n a re g ula r b a sis. I n the e ve nt tha t a tra nsitio n to a ne w re g istry o pe ra to r b e c o me s ne c e ssa ry, the re g istry o pe ra to r is e xpe c te d to c o o pe ra te b y c o nsulting with I CANN o n the a ppro pria te suc c e sso r, pro viding the da ta re q uire d to e na b le a smo o th tra nsitio n, a nd c o mplying with the a pplic a b le re g istry tra nsitio n pro c e dure s. (Se e Artic le s 2 a nd 4 o f the re g istry a g re e me nt.)

Make T L D zone file s available via a standar dize d pr

c e ss.

T his inc lude s pro visio n o f a c c e ss to the re g istry’ s zo ne file to c re de ntia le d use rs, a c c o rding to e sta b lishe d a c c e ss, file , a nd fo rma t sta nda rds. T he re g istry o pe ra to r will e nte r into a sta nda rdize d fo rm o f a g re e me nt with zo ne file use rs a nd will a c c e pt c re de ntia l info rma tio n fo r use rs via a c le a ring ho use . (Se e Spe c ific a tio n 4 o f the re g istry a g re e me nt.)

Imple me nt DNSSE

C. T

he re g istry o pe ra to r is re q uire d to sig n the T L D zo ne file s imple me nting Do ma in Na me Syste m Se c urity E xte nsio ns (DNSSE C) in a c c o rda nc e with the re le va nt te c hnic a l sta nda rds. T he re g istry must a c c e pt pub lic ke y ma te ria l fro m re g istra rs fo r do ma in na me s re g iste re d in the T L D, a nd pub lish a DNSSE C Po lic y Sta te me nt de sc rib ing ke y ma te ria l sto ra g e , a c c e ss, a nd usa g e fo r the re g istry’ s ke ys a nd the re g istra nts’ trust a nc ho r ma te ria l. (Se e Spe c ific a tio n 6 o f the re g istry a g re e me nt.)

5.4.2 What is Expected of ICANN

I CANN will c o ntinue to pro vide suppo rt fo r g T L D re g istry

pe ra to rs a s the y la unc h a nd ma inta in re g istry o pe ra tio ns.

I CANN’ s g T L D re g istry lia iso n func tio n pro vide s a po int o f c o nta c t fo r g T L D re g istry o pe ra to rs fo r a ssista nc e o n a c o ntinuing b a sis. T he re g istry a g re e me nt c o nta ins a pro visio n fo r I CANN to I CANN’ s c o ntra c tua l c o mplia nc e func tio n will pe rfo rm a udits o n a re g ula r b a sis to e nsure tha t the g T L D re g istry

pe ra to rs re ma in in c o mplia nc e with a g re e me nt

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b lig a tio ns., a s we ll a s inve stig a te a ny c o mpla ints fro m the

c o mmunity re g a rding the re g istry o pe ra to r’ s a dhe re nc e to its c o ntra c tua l o b lig a tio ns. Se e http:/ / www.ic a nn.o rg / e n/ c o mplia nc e / fo r mo re info rma tio n o n c urre nt c o ntra c tua l c o mplia nc e a c tivitie s. I CANN’ s Byla ws re q uire I CANN to a c t in a n o pe n a nd tra nspa re nt ma nne r, a nd to pro vide e q uita b le tre a tme nt a mo ng re g istry o pe ra to rs. I CANN is re spo nsib le fo r ma inta ining the se c urity a nd sta b ility o f the g lo b a l I nte rne t, a nd lo o ks fo rwa rd to a c o nstruc tive a nd c o o pe ra tive re la tio nship with future g T L D re g istry o pe ra to rs in furthe ra nc e o f this g o a l.

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Module 6

Top-Level Domain Application – Terms and Conditions

By sub mitting this a pplic a tio n thro ug h I CANN’ s o nline inte rfa c e fo r a g e ne ric T

e ve l Do ma in (g T L D) (this a pplic a tio n), a pplic a nt (inc luding a ll pa re nt c o mpa nie s, sub sidia rie s, a ffilia te s, a g e nts, c o ntra c to rs, e mplo ye e s a nd a ny a nd a ll o the rs a c ting o n its b e ha lf) a g re e s to the fo llo wing te rms a nd c o nditio ns (the se te rms a nd c o nditio ns) witho ut mo dific a tio n. Ap plic a nt unde rsta nds a nd a g re e s tha t the se te rms a nd c o nditio ns a re b inding o n a pplic a nt a nd a re a ma te ria l pa rt o f this a pplic a tio n.

Applic a nt wa rra nts tha t the sta te me nts a nd re pre se nta tio ns c o nta ine d in the a pplic a tio n (inc luding a ny do c ume nts sub mitte d a nd o ra l sta te me nts ma de a nd c o nfirme d in writing in c o nne c tio n with the a pplic a tio n) a re true a nd a c c ura te a nd c o mple te in a ll ma te ria l re spe c ts, a nd tha t I CANN ma y re ly o n tho se sta te me nts a nd re pre se nta tio ns fully in e va lua ting this a pplic a tio n. Applic a nt a c kno wle dg e s tha t a ny ma te ria l missta te me nt o r misre pre se nta tio n (o r o missio n o f ma te ria l info rma tio n) will reflect negatively on this

application and ma y c a use I

CANN a nd the e va lua to rs to re je c t the a pplic a tio n. witho ut a re fund o f a ny fe e s pa id b y Applic a nt. Applic a nt a g re e s to no tify I CANN in writing o f a ny c ha ng e in c irc umsta nc e s tha t wo uld re nde r a ny info rma tio n pro vide d in the a pplic a tio n fa lse o r misle a ding .

Applic a nt wa rra nts tha t it ha s the re q uisite

rg a niza tio na l po we r a nd a utho rity to ma ke this

a pplic a tio n o n b e ha lf o f a pplic a nt, a nd is a b le to ma ke a ll a g re e me nts, re pre se nta tio ns, wa ive rs, a nd unde rsta nding s sta te d in the se te rms a nd c o nditio ns a nd to e nte r into the fo rm o f re g istry a g re e me nt a s po ste d with the se te rms a nd c o nditio ns.

Applic a nt a c kno wle dg e s a nd a g re e s tha t I CANN ha s the rig ht to rejectde te rmine no t to pro c e e d with a ny a nd a ll a pplic a tio ns fo r ne w g T L Ds, a nd tha t the re is no a ssura nc e tha t a ny a dditio na l g T L Ds will

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b e c re a te d. T he de c isio n to proceed with re vie w a nd consideration ofc o nsid e r a n a pplic a tio n to e sta b lish o ne o r mo re g T L Ds is e ntire ly a t I CANN’ s disc re tio n. I CANN re se rve s the rig ht to re je c t a ny a pplic a tio n tha t I CANN is pro hib ite d fro m c o nside ring for a gTLD unde r a pplic a b le la w o r po lic y, in whic h c a se a ny fe e s sub mitte d in c o nne c tio n with suc h a pplic a tio n will b e re turne d to the a pplic a nt.

Applic a nt a g re e s to pa y a ll fe e s tha t a re a sso c ia te d with this a pplic a tio n. T he se fe e s inc lude the e va lua tio n fe e (whic h is to b e pa id in c o njunc tio n with the sub missio n o f this a pplic a tio n), a nd a ny fe e s a sso c ia te d with the pro g re ss o f the a pplic a tio n to the e xte nde d e va lua tio n sta g e s o f the re vie w a nd c o nside ra tio n pro c e ss with re spe c t to the a pplic a tio n, inc lud ing a ny a nd a ll fe e s a s ma y b e re q uire d in c o njunc tio n with the dispute re so lutio n pro c e ss a s se t fo rth in the a pplic a tio n. Applic a nt a c kno wle dg e s tha t the initia l fe e due upo n sub missio n o f the a pplic a tio n is o nly to o b ta in c o nside ra tio n o f a n a pplic a tio n. I CANN ma ke s no a ssura nc e s tha t a n a pplic a tio n will b e a ppro ve d o r will re sult in the de le g a tio n o f a g T L D pro po se d in a n a pplic a tio n. Applic a nt a c kno wle dg e s tha t if it fa ils to pa y fe e s within the de sig na te d time pe rio d a t a ny sta g e o f the a pplic a tio n re vie w a nd c o nside ra tio n pro c e ss, a pplic a nt will fo rfe it a ny fe e s pa id up to tha t po int a nd the a pplic a tio n will b e c a nc e lle d. E xc e pt a s e xpre ssly pro vide d in this Applic a tio n Guide b o o k, I CANN is no t o b lig a te d to re imb urse a n a pplic a nt fo r o r to re turn a ny fe e s pa id to I CANN in c o nne c tio n with the a pplic a tio n pro c e ss.

Applic a nt sha ll inde mnify, de fe nd , a nd ho ld ha rmle ss I CANN (inc luding its a ffilia te s, sub sidia rie s, dire c to rs, o ffic e rs, e mplo ye e s, c o nsulta nts, e va lua to rs, a nd a g e nts, c o lle c tive ly the I CANN Affilia te d Pa rtie s) fro m a nd a g a inst a ny a nd a ll third- pa rty c la ims, da ma g e s, lia b ilitie s, c o sts, a nd e xpe nse s, inc luding le g a l fe e s a nd e xpe nse s, a rising

ut o f o r re la ting to : (a ) I

CANN’ s c o nside ra tio n o f the a pplic a tio n, a nd a ny a ppro va l o r re je c tio n o f the a pplic a tio n; a nd/ o r (b ) I CANN’ s re lia nc e o n

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info rma tio n pro vide d b y a pplic a nt in the a pplic a tio n.

Applic a nt he re b y re le a se s I CANN a nd the I CANN Affilia te d Pa rtie s fro m a ny a nd a ll c la ims b y a pplic a nt tha t a rise o ut o f, a re b a se d upo n, o r a re in a ny wa y re la te d to , a ny a c tio n, o r fa ilure to a c t, b y I CANN o r a ny I CANN Affilia te d Pa rty in c o nne c tio n with I CANN’ s re vie w o f this a pplic a tio n, inve stig a tio n o r ve rific a tio n, a ny c ha ra c te riza tio n o r de sc riptio n o f a pplic a nt o r the info rma tio n in this a pplic a tio n, o r the de c isio n b y I CANN to re c o mme nd, o r no t to re c o mme nd, the a ppro va l o f a pplic a nt’ s g T L D a pplic a tio n. APPL I CANT AGRE E S NOT T O CHAL L E NGE , I N COURT OR I N ANY OT HE R JUDI CI AL F ORA, ANY F I NAL DE CI SI ON MADE BY I CANN WI T H RE SPE CT T O T HE APPL I CAT I ON, AND I RREVOCABL Y WAI VE S ANY RI GHT T O SUE OR PROCE E D I N COURT OR ANY OT HE R JUDI CI AL F OR A ON T HE BASI S OF ANY OT HE R L E GAL CL AI M AGAI NST I CANN AND I CANN AF F I L I AT E D PART I E S WI T H RE SPE CT T O T HE APPL I CAT I

ON. APPL

I CANT ACK NO WL EDGE S AND ACCE PT S T HAT APPL I CANT ’ S NONE NT I T L E ME NT T O PURSUE ANY RI GHT S, RE ME DI E S, OR L E GAL CL AI MS AGAI NST I CANN OR T HE I CANN AF F I L I AT E D PART I E S I N COURT OR ANY OT HE R JUDI CI AL F ORA WI T H RE SPE CT T O T HE APPL I CAT I ON SHAL L ME AN T HAT APPL I CANT WI L L FORE GO ANY RE COVE RY OF ANY APPL I CAT I ON F E E S, MONI E S I NVE ST E D I N BUSI NE SS I NF RAST RUCT URE OR OT HE R

START-UPST

ART UP COST S AND ANY AND AL L PROF I T S T HAT APPL I CANT MAY E XPE CT T O RE AL I ZE F ROM T HE OPE RAT I ON OF A RE GI ST RY F OR T HE T L D.

Applic a nt he re b y a utho rize s I CANN to pub lish o n I CANN’ s we b site , a nd to disc lo se o r pub lic ize in a ny

the r ma nne r, a ny ma te ria ls sub mitte d to , o r
b ta ine d o r g e ne ra te d b y, I

CANN a nd the I CANN Affilia te d Pa rtie s in c o nne c tio n with the a pplic a tio n, inc luding e va lua tio ns, a na lyse s a nd a ny o the r ma te ria ls pre pa re d in c o nne c tio n with the e va lua tio n o f the a pplic a tio n; pro vide d , ho we ve r, tha t info rma tio n will no t b e d isc lo se d o r pub lishe d to the e xte nt tha t the application specifically

identifies this Applic a nt Guide b o o k e xpre ssly sta te s

tha t suc h info rma tio n aswill b e ke pt c o nfide ntia l. A

general statement as the confidentiality of the

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application will not be sufficient for these purposes.,

e xc e pt a s re q uire d b y la w o r jud ic ia l pro c e ss. E xc e pt fo r info rma tio n that ICANN determines to

treat asa ffo rde d c o nfide ntia l tre a tme nt, a pplic a nt

unde rsta nds a nd a c kno wle dg e s tha t I CANN do e s no t a nd will no t ke e p the re ma ining po rtio n o f the a pplic a tio n o r ma te ria ls sub mitte d with the a pplic a tio n c o nfide ntia l.

Applic a nt c e rtifie s tha t it ha s o b ta ine d pe rmissio n fo r the po sting o f a ny pe rso na lly ide ntifying info rma tio n inc lude d in this a pplic a tio n o r ma te ria ls sub mitte d with this a pplic a tio n. Applic a nt a c kno wle d g e s tha t the info rma tio n tha t I CANN po sts ma y re ma in in the pub lic do ma in in pe rpe tuity, a t I CANN’ s d isc re tio n.

Applic a nt g ive s I CANN pe rmissio n to use a pplic a nt’ s na me and/or logo in I CANN’ s pub lic a nno unc e me nts (inc luding info rma tio na l we b pa g e s) re la ting to top-level domain space

expansionApplic a nt's a pplic a tio n a nd a ny a c tio n

ta ke n b y I CANN re la te d the re to .

10.

Applic a nt unde rsta nds a nd a g re e s tha t it will a c q uire rig hts in c o nne c tio n with a g T L D o nly in the e ve nt tha t it e nte rs into a re g istry a g re e me nt with I CANN, a nd tha t a pplic a nt’ s rig hts in c o nne c tio n with suc h g T L D will b e limite d to tho se e xpre ssly sta te d in the re g istry a g re e me nt. I n the e ve nt I CANN a g re e s to re c o mme nd the a ppro va l o f the a pplic a tio n fo r a pplic a nt’ s pro po se d g T L D, a pplic a nt a g re e s to e nte r into the re g istry a g re e me nt with I CANN in the fo rm pub lishe d in c o nne c tio n with the a pplic a tio n ma te ria ls. (No te : I CANN re se rve s the rig ht to ma ke re a so na b le upda te s a nd c ha ng e s to this pro po se d dra ft a g re e me nt during the c o urse o f the a pplic a tio n pro c e ss, inc luding a s the po ssib le re sult o f ne w po lic ie s tha t mig ht b e a do pte d during the c o urse o f the a pplic a tio n pro c e ss). Applic a nt ma y no t re se ll, a ssig n, o r tra nsfe r a ny o f a pplic a nt’ s rig hts o r

b lig a tio ns in c o nne c tio n with the a pplic a tio n.

11.

Applic a nt a utho rize s I CANN to :

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Co nta c t a ny pe rso n, g ro up, o r e ntity to re q ue st, o b ta in, a nd disc uss a ny do c ume nta tio n o r o the r info rma tio n tha t, in I CANN’ s so le judg me nt, ma y b e pe rtine nt to the a pplic a tio n;

Co nsult with pe rso ns o f I CANN’ s c ho o sing re g a rding the info rma tio n in the a pplic a tio n o r o the rwise c o ming into I CANN’ s po sse ssio n, pro vide d , ho we ve r, tha t I CANN will use re a so na b le e ffo rts to e nsure tha t suc h pe rso ns ma inta in the c o nfide ntia lity o f info rma tio n in the a pplic a tio n tha t this Applic a nt Guide b o o k e xpre ssly sta te s will b e ke pt c o nfide ntia l.

12.

r the c o nve nie nc e o f a pplic a nts a ro und the

wo rld, the a pplic a tio n ma te ria ls pub lishe d b y I CANN in the E ng lish la ng ua g e ha ve b e e n tra nsla te d into c e rta in o the r la ng ua g e s fre q ue ntly use d a ro und the wo rld. applicantApplic a nt re c o g nize s tha t the E ng lish la ng ua g e ve rsio n o f the a pplic a tio n ma te ria ls (o f whic h the se te rms a nd c o nditio ns is a pa rt) is the ve rsio n tha t b inds the pa rtie s, tha t suc h tra nsla tio ns a re no n-o ffic ia l inte rpre ta tio ns a nd ma y no t b e re lie d upo n a s a c c ura te in a ll re spe c ts, a nd tha t in the e ve nt o f a ny c o nflic t b e twe e n the tra nsla te d ve rsio ns o f the a pplic a tio n ma te ria ls a nd the E ng lish la ng ua g e ve rsio n, the E ng lish la ng ua g e ve rsio n c o ntro ls.