This document is a draft
for public comment posted on 24 June 2003. Please be sure to check
the ICANN website for any later versions of this document before
you submit your application.
Please submit any comments on this draft to <firstname.lastname@example.org>.
INSTRUCTIONS: This document
describes the requirements for completing a Registry Operator's Proposal.
This Registry Operator's Proposal must be submitted by those applicants
for a sponsored TLD that are selecting Option B as detailed in the
Request for Proposal.
The Option B itself is selected in the Sponsored
Application Transmittal Form. Those applicants
selecting Option A are not required to submit this Registry Operator's
The Sponsoring Organization
(or, where the Sponsoring Organization has not yet been formed, the
organization(s) or person(s) proposing to form the Sponsoring Organization)
is/are the applicant(s). Any proposed Sponsoring Organization selecting
Option B should identify the proposed Registry Operator, have it prepare
the Registry Operator's Proposal, and submit it as part of the application.
The Registry Operator's Proposal
should be separately bound (if more than one volume, please sequentially
number them) and clearly labeled: "Registry Operator's Proposal." and
must cover all topics described below.
Where subcontractors are
to be employed by the Registry Operator for any significant portion
of the business or technical operations (other than acquisition of
standard hardware or software), the proposed subcontractors should
be clearly identified and an explanation of what is to be subcontracted
should be attached along with letters of commitment from the proposed
subcontractors. The Registry Operator is responsible for providing
the information required for the Registry Operator's Proposal (as described
in this document) even if part of the work is to be performed by a
I. GENERAL INFORMATION
first section of the Registry Operator's Proposal must list the following
about the proposing Registry Operator:
The full legal name, principal address, telephone and fax numbers,
and e-mail address
of the Registry Operator.
The Registry Operator's type of business entity (e.g., corporation,
partnership, etc.) and
law (e.g., Denmark) under which it is organized.
URL of the Registry Operator's principal world wide web site.
Dun & Bradstreet
D-U-N-S Number (if any) of registry operator.
Full names and positions of (i) all directors, (ii) all officers,
(iii) all relevant managers,
and (iv) any persons or entities owning five percent or more of
registry operator. Identify and explain any existing relationship(s)
the Sponsoring Organization, or common employees or directors.
Name, telephone and fax numbers, and e-mail address of a person to
contact for additional
information regarding this proposal. If there are multiple persons
who may serve as contacts, please list each person's name, telephone
and fax numbers, and e-mail address and describe the area as to
which each person should be contacted.
Brief history of Registry Operator including date of formation, services
and products offered,
any information that indicates size or stability of the organization,
such as number of employees, annual revenues etc.
II. BUSINESS CAPABILITIES
The second section of the
Registry Operator's Proposal (after the "General Information" section)
is a description of the Registry Operator's Business Capabilities
and Plan. The purpose of this section is to provide information that
substantiates the robustness of the organization in terms of its
ability to provide continuing registry operation services, and to
provide a plan for assuring continuity of service in the event of
business failure of the Sponsoring Organization. Initiating a new
TLD registry is a complex undertaking when all factors are taken
into account (such as all the business rules governing interactions
by the Registry Operator with ICANN-accredited registrars), particularly
in the contemplation of operating a large registry.
The amount of detail provided
in this section of the proposal should reflect the anticipated size
of the proposed new sTLD. Operators of smaller registries are
not expected to provide as much detail regarding business capabilities
and back-up planning as operators of larger registries. With that
understanding, however, this section is intended to provide a sufficiently
comprehensive business plan that provides detailed, verifiable business
and financial information about the Registry Operator. The topics
listed below are representative of the type of subjects that should
be covered in the Business Capabilities and Plan section of a sufficiently
detailed Registry Operator's Proposal.
Description of the Registry Operator's capabilities. This
should describe general capabilities and activities, planned or
actual. This description also offers the Registry Operator an opportunity
to demonstrate the extent of its business and managerial expertise
in activities relevant to the operation of the proposed registry,
again bearing in mind that the level of detail provided should
scale to the size of the proposed registry. The following items
should be addressed at some level of detail:
Current business operations. Core capabilities, services offered,
duration of provision of services and products in current
business. How does this relate to and support the ability to operate
Registry/database/Internet related experience and activities. Experience
with database operation,
provision of Internet services, software capabilities or
other relevant experiences.
Mission. The Registry Operator's mission and how it relates to
expansion into the registry
Management. Qualifications and experience of financial and business
officers and other relevant
senior employees. Please address/include past experience,
resumes, references and biographies for the proposed management
Please note that this information will be posted on the ICANN
website; home addresses and telephone numbers and other personally
identifying information should therefore be omitted.
Staff/employees. Current staff size, demonstrated ability to expand
and recruit employees with specialized skills as necessary.
Facilities. Location of facilities available to house staff and
to operate the registry.
Commercial general liability insurance. Address/include amount
of insurance policy,
and, in general terms, the coverage of the policy, the provider
of policy, and any plans for obtaining additional insurance.
of the business plan. This section should present a general business
plan for the proposed Registry
The level of detail provided should reflect the anticipated size
complexity of the proposed sTLD. More detail will be expected
for an sTLD containing a projected 500,000 names than one expected
to contain a projected 1,000 names. However, whatever the size
of the proposed sTLD, the less information provided as to a
thought-out business plan and provision for contingencies,
the greater will be the expectation of a thorough plan to provide
the continued support of the sTLD in the eventuality of business
failure of the Registry Operator (see subsection
In addition to providing
basic information concerning the viability of the proposed operation,
this section offers the Registry Operator an opportunity to demonstrate
that it has carefully analyzed the financial and operational aspects
of the proposal. The overall objective is to provide sufficient
evidence that the Registry Operator has adequately considered the
financial and other business aspects of operating a registry commensurate
with the size and complexity of the proposed sTLD.
should be provided and attached to this proposal to substantiate
the information provided in this business plan.
B10. Factors that should
be addressed (to a greater or lesser extent depending on the size
and complexity of the proposed registry) among others are:
B10.1 Services to be
provided. A full description of the registry services to be provided.
B10.2 Revenue model.
A full description of the revenue model, including proposed rates
to be charged for various registry services. Revenues should
be forecast at low, medium, and high projected levels of demand.
B10.3 Resources required
to meet demand. Provide an estimate of all resources (financial,
technical, staff, physical plant, customer service, etc.) required
to meet demands, at low, medium, and high anticipated demand
B10.4 Plans for acquiring
necessary systems and facilities. Describe plans for acquiring
all necessary systems and facilities for providing the proposed
services at each estimated demand level. Provide details as to
the scope, cost, and vendor for any significant planned outsourcing,
as well as brief detail on such vendor's capabilities.
B10.5 Staff size/expansion
capability. Plans for obtaining the necessary staff resources,
capacity for expansion, hiring policy, employee training, space
for additional staff, staffing levels needed for provision of
expanded technical, support, escrow, and registry services.
of additional management personnel. Review the expected initial
management team and the skills of each member, and plans for
obtaining additional management personnel as necessary.
B10.7 Capital requirements.
Quantify capital requirements in amount and timing and describe
how the capital will be obtained. Specify in detail all expected
sources of capital and the cost of that capital (interest, etc.).
B10.8 Business risks
and opportunities. Describe upside and downside contingencies
you have considered and discuss your plans for addressing them.
B10.9 Pro-forma financial
projections. Please provide pro-forma financial projections for
the next two projected fiscal years, consistent with your business
plan, for the demand scenarios that you estimate under item B10.2.
The pro-formas should show revenue and expense estimates broken
down by detailed categories and should be broken down into periods
no longer than quarterly. Please provide detail on and the basis
for any assumptions made in preparing the pro formas.
B10.10 Proof of insurance.
Please provide proof of the insurance described in item B9.7.
for Registry Failure.
key purpose of providing a great level of detail in sections
B9 and B10 above is to reassure the
community that there is
a low risk of business
failure of the Registry Operator – with consequent impact on
registrants. In lieu of providing as great a level of detail,
applicants may choose to emphasize alternatives directed instead
to assuring continuity of operations in the event of business
or operational failure of the Registry Operator, that is, provision
for contingencies and a failsafe back-up plan.
for providing ICANN with escrowed data does not of itself suffice.
Unless appropriate restoration arrangements are made, there could
be a considerable lag between business failure and the ability
to make arrangements with another Registry Operator to make use
of the escrowed data. Applicants who wish to emphasize this alternative,
instead of providing as much detailed financial and other information
in response to B10.2 above, are encouraged to propose creative
approaches that emphasize reliable plans for assuring continuity
in the face of Registry Operator business failure. For example,
an applicant might wish to propose a "buddy system" involving
regular testing by another registry with whom ICANN already has
an agreement (that is, effectively reverting to the Option A approach
to the Registry Operator Proposal) which would commit
to assume responsibility for at least a year should the Registry
Operator prove unable to continue to deliver service. If this approach
is proposed, a letter of commitment from the substitute "stand-by" Registry
Operator should be attached.
The possibility of business
failure of the Sponsoring Organization and contingency planning
must be addressed in the Sponsoring Organization's Proposal as
well. The Registry Operator must agree in the event of business
failure of the Sponsoring Organization, to assign the rights of
the Sponsoring Organization under the agreement(s) between the
Registry Operator and the Sponsoring Organization to ICANN (or
a designee of ICANN) for at least one year.
III. TECHNICAL CAPABILITIES
The third section of the
Registry Operator's Proposal is a description of the Registry Operator's
Technical Capabilities and Plan. This section must include a comprehensive,
professional-quality technical plan that provides a detailed description
of the Registry Operator's current and planned technical capabilities
as well as a full description of the operator's proposed technical
solution for establishing and operating all aspects of the registry,
including interactions with planned registrars. The technical plan
will require detailed, specific information regarding the technical
capabilities of the proposed registry. The topics listed below are
representative of the type of subjects that will be covered in the
Technical Capabilities and Plan section of the Registry Operator's
The level of detail provided
should again be commensurate with the scale and complexity of the proposed
sTLD. However, even the smallest sTLD must operate in such a way that
services are rendered reliably and effectively, and in a manner that
meets Internet technical standards and does not interfere with the
stable operation of the Domain Name System (DNS). Sufficient information
must be provided to provide reasonable assurance that these goals will
The Technical Capabilities
and Plan section should address the following:
B12. Detailed description
of the Registry Operator's technical capabilities. This
should provide a detailed description of the Registry Operator's
technical capabilities, including information about key technical
personnel (qualifications and experience), size of technical workforce,
and access to systems development tools. It should also describe
the Registry Operator's significant past technical achievements.
This description offers the Registry Operator an opportunity to demonstrate
the extent of its technical expertise in activities relevant to the
operation of the proposed registry.
B13. Technical plan for
the proposed registry operations. This
should present a comprehensive technical plan for the proposed registry
operations. In addition to providing basic information concerning
the Registry Operator's proposed technical solution (with appropriate
diagrams), this section offers the Registry Operator an opportunity
to demonstrate that it has carefully analyzed the technical requirements
of registry operation. Factors that should be addressed in the technical
General description of proposed facilities and systems. Address
all locations of systems.
Address the specific types of systems being used, their capacity,
and interoperability, general availability, and level of
security. Describe in appropriate detail buildings, hardware, software
systems, environmental equipment, Internet connectivity, etc. Provide
diagrams of all of the systems operating at each location where
this helps to explain the material presented.
model and protocol. Please describe in detail corresponding to
the registrar model proposed by the sponsoring organization.
B13.3 Database capabilities.
Database software, size, throughput, scalability, procedures for
object creation, editing, and deletion, change notifications, registrar
transfer procedures, grace period implementation, reporting capabilities,
B13.4 Zone file generation.
Procedures for changes, editing by registrars, updates. Address
frequency, security, process, interface, user authentication, logging,
B13.5 Zone file distribution
and publication. Locations of nameservers, procedures for and means
of distributing zone files to them.
B13.6 Billing and collection
systems. Technical characteristics, system security, accessibility.
B13.7 Data escrow and
backup. Frequency and procedures for backup of data. Describe hardware
and systems used, data format, identity of suggested escrow agent(s),
procedures for retrieval of data/rebuild of database, etc.
B13.8 Publicly accessible
look up/Whois service. Address software and hardware, connection
speed, search capabilities, coordination with other Whois systems,
B13.9 System security
and physical security. Technical and physical capabilities and
procedures to prevent system hacks, break-ins, data tampering,
and other disruptions to operations.
B13.10 Peak capacities.
Technical capability for handling a larger-than-projected demand
for registration or load. Effects on load on servers, databases,
back-up systems, support systems, escrow systems, maintenance,
B13.11 System reliability.
Define, analyze, and quantify quality of service.
B13.12 System outage
prevention. Procedures for problem detection, redundancy of all
systems, back up power supply, facility security, technical security,
availability of back-up software, operating system, and hardware,
system monitoring, technical maintenance staff, server locations.
B13.13 System recovery
procedures. Procedures for restoring the system to operation in
the event of a system outage, both expected and unexpected. Identify
redundant/diverse systems for providing service in the event of
an outage and describe the process for recovery from various types
of failures, the training of technical staff who will perform these
tasks, the availability and backup of software and operating systems
needed to restore the system to operation, the availability of
the hardware needed to restore and run the system, backup electrical
power systems, the projected time for restoring the system, the
procedures for testing the process of restoring the system to operation
in the event of an outage, the documentation kept on system outages
and on potential system problems that could result in outages.
Technical and other support. Support for registrars and for Internet
registrants. Describe technical help systems, personnel accessibility,
web-based, telephone and other support, support services to be
offered, time availability of support, and language-availability
B14. Signature Page. Every
Registry Operator's Proposal must end with a signature page containing
the following affirmation:
By signing this Registry
Operator's Proposal, the undersigned certifies (a) that he or she
has authority to do so on behalf of the Registry Operator and, on
his or her own behalf and on behalf of the Registry Operator, (b)
that all information contained in this proposal, and all documents
attached to this proposal, is true and accurate to the best of his/her/its
knowledge and information. The undersigned and the Registry Operator
understand that any material misstatement or misrepresentation (or
omission of material information) will reflect negatively on any
application of which this proposal is a part and may cause cancellation
of any delegation of a top-level domain based on such an application.
Name (please print)
Name of Applicant Entity
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©2003 The Internet Corporation
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