[gnso-irtp-pdp-jun08] Re: Policy on Transfer or Registrations

[Marika Konings <marika.konings@xxxxxxxxx>]

In order to facilitate the work of the group that is meeting tomorrow,  I have 
developed the attached graphs that outline the:


 *   Registrar of Record requirements
 *   Gaining Registrar requirements
 *   Registry requirements

in relation to a domain name transfer as outlined in the policy on transfer of 
registrations between registrars. The group might want to consider using these 
as a basis for developing a more refined depiction of the transfer process. The 
EPP based registry requirements for registrars are not specifically mentioned 
in these graphs, but it is worth noting that the auth-info codes are solely 
used to identify a registered name holder, not to authorise or confirm a 
transfer request.

With best regards,

Marika


On 9/9/08 5:09 PM, "Marika Konings" <marika.konings@xxxxxxxxx> wrote:

As discussed on the call, please find below to graphic examples that describe 
the transfer process. In addition, you will find at the bottom of the e-mail 
the official language from the policy on transfers of registrations between 
registrars that can serve as a guide for the group meeting coming Thursday to 
further outline the domain name transfer process in a graphic form.

With best regards,

Marika


------ Forwarded Message
From: Marika Konings <marika.konings@xxxxxxxxx>
Date: Tue, 09 Sep 2008 16:47:49 +0200
To: Mike O'Connor <mike@xxxxxxxxxx>
Cc: "Diaz, Paul" <pdiaz@xxxxxxxxxxxxxxxxxxxx>, Glen de Saint Géry 
<Glen@xxxxxxxxx>
Conversation: Policy on Transfer or Registrations
Subject: Re: Policy on Transfer or Registrations

Here's another good graph (maybe we don't need a call after all??):

From: http://www.arishost.com/support/faq/domain/TransferFlow.jpg

[cid:3303905233_1327154]


On 9/9/08 4:43 PM, "Marika Konings" <marika.konings@xxxxxxxxx> wrote:

And check this out, Network Solutions has some good stuff on its web site in 
this regard, including a nice graph ;-)

http://www.networksolutions.com/domain-transfer/transfer-guide.jsp

[cid:3303905233_1382947]


On 9/9/08 4:38 PM, "Marika Konings" <marika.konings@xxxxxxxxx> wrote:

Here is the language from the Transfer Policy that might help guide the 
development of the diagram discussed.

Best regards,

Marika

From: http://www.icann.org/en/transfers/policy-12jul04.htm

Policy on Transfer of Registrations between Registrars
12 July 2004
A. Holder-Authorized Transfers

1. Registrar Requirements

Registered Name Holders must be able to transfer their domain name 
registrations between Registrars provided that the Gaining Registrar's transfer 
process meets the minimum standards of this policy and that such transfer is 
not prohibited by ICANN or Registry policies. Inter-Registrar domain name 
transfer processes must be clear and concise in order to avoid confusion. 
Further, Registrars should make reasonable efforts to inform Registered Name 
Holders of, and provide access to, the published documentation of the specific 
transfer process employed by the Registrars.

1.1 Transfer Authorities

The Administrative Contact and the Registered Name Holder, as listed in the 
Losing Registrar's or applicable Registry's (where available) publicly 
accessible WHOIS service are the only parties that have the authority to 
approve or deny a transfer request to the Gaining Registrar. In the event of a 
dispute, the Registered Name Holder's authority supersedes that of the 
Administrative Contact.

Registrars may use Whois data from either the Registrar of Record or the 
relevant Registry for the purpose of verifying the authenticity of a transfer 
request; or from another data source as determined by a consensus policy.

2. Gaining Registrar Requirements

For each instance where a Registered Name Holder requests to transfer a domain 
name registration to a different Registrar, the Gaining Registrar shall:

2.1 Obtain express authorization from either the Registered Name Holder or the 
Administrative Contact (hereafter, "Transfer Contact"). Hence, a transfer may 
only proceed if confirmation of the transfer is received by the Gaining 
Registrar from the Transfer Contact.

2.1.1 The authorization must be made via a valid Standardized Form of 
Authorization (FOA). There are two different FOA's available at the ICANN 
website. The FOA labeled "Initial Authorization for Registrar Transfer" must be 
used by the Gaining Registrar to request an authorization for a registrar 
transfer from the Transfer Contact. The FOA labeled "Confirmation of Registrar 
Transfer Request" may be used by the Registrar of Record to request 
confirmation of the transfer from the Transfer Contact.

The FOA shall be communicated in English, and any dispute arising out of a 
transfer request shall be conducted in the English language. Registrars may 
choose to communicate with the Transfer Contact in additional languages. 
However, Registrars choosing to exercise such option are responsible for the 
accuracy and completeness of the translation into such additional non-English 
version of the FOA.

2.1.2 In the event that the Gaining Registrar relies on a physical process to 
obtain this authorization, a paper copy of the FOA will suffice insofar as it 
has been signed by the Transfer Contact and further that it is accompanied by a 
physical copy of the Registrar of Record's Whois output for the domain name in 
question.

2.1.2.1 If the Gaining Registrar relies on a physical authorization process, 
then the Gaining Registrar assumes the burden of obtaining reliable evidence of 
the identity of the Transfer Contact and maintaining appropriate records 
proving that such evidence was obtained. Further the Gaining Registrar also 
assumes the burden for ensuring that the entity making the request is indeed 
authorized to do so. The acceptable forms of physical identity are:

Notarized statement
Valid Drivers license
Passport
Article of Incorporation
Military ID
State/Government issued ID
Birth Certificate
2.1.3 In the event that the Gaining Registrar relies on an electronic process 
to obtain this authorization the acceptable forms of identity would include:

Electronic signature in conformance with national legislation, in the location 
of the Gaining Registrar (if such legislation exists).
Consent from an individual or entity that has an email address matching the 
Transfer Contact email address.
The Registrar of Record may not deny a transfer request solely because it 
believes that the Gaining Registrar has not received the confirmation set forth 
above.

A transfer must not be allowed to proceed if no confirmation is received by the 
Gaining Registrar. The presumption in all cases will be that the Gaining 
Registrar has received and authenticated the transfer request made by a 
Transfer Contact.

2.2 Request, by the transmission of a "transfer" command as specified in the 
Registrar Tool Kit, that the Registry Operator database be changed to reflect 
the new Registrar.

2.2.1 Transmission of a "transfer" command constitutes a representation on the 
part of the Gaining Registrar that the requisite authorization has been 
obtained from the Transfer Contact listed in the authoritative Whois database.

2.2.2 The Gaining Registrar is responsible for validating the Registered Name 
Holder requests to transfer domain names between Registrars. However, this does 
not preclude the Registrar of Record from exercising its option to 
independently confirm the Registered Name Holder's intent to transfer its 
domain name to the Gaining Registrar in accordance with Section 3 of this 
policy.

3. Obligations of the Registrar of Record

A Registrar of Record can choose independently to confirm the intent of the 
Registered Name Holder when a notice of a pending transfer is received from the 
Registry. The Registrar of Record must do so in a manner consistent with the 
standards set forth in this agreement pertaining to Gaining Registrars. In 
order to ensure that the form of the request employed by the Registrar of 
Record is substantially administrative and informative in nature and clearly 
provided to the Transfer Contact for the purpose of verifying the intent of the 
Transfer Contact, the Registrar of Record must use the FOA.

The FOA shall be communicated in English, and any dispute arising out of a 
transfer request, shall be conducted in the English language. Registrars may 
choose to communicate with the Transfer Contact in additional languages. 
However, the Registrar choosing to exercise such option is responsible for the 
accuracy and completeness of the translation into such additional non-English 
version of the FOA. Further, such non-English communications must follow the 
processes and procedures set forth in this policy. This includes but is not 
limited to the requirement that no Registrar shall add any additional 
information to the FOA used to obtain the consent of the Transfer Contact in 
the case of a transfer request.

This requirement does not preclude the Registrar of Record from marketing to 
its existing customers through separate communications.

The FOA should be sent by the Registrar of Record to the Transfer Contact as 
soon as operationally possible, but must be sent not later than twenty-four 
(24) hours after receiving the transfer request from the Registry Operator.

Failure by the Registrar of Record to respond within five (5) calendar days to 
a notification from the Registry regarding a transfer request will result in a 
default "approval" of the transfer.

In the event that a Transfer Contact listed in the Whois has not confirmed 
their request to transfer with the Registrar of Record and the Registrar of 
Record has not explicitly denied the transfer request, the default action will 
be that the Registrar of Record must allow the transfer to proceed.

Upon denying a transfer request for any of the following reasons, the Registrar 
of Record must provide the Registered Name Holder and the potential Gaining 
Registrar with the reason for denial. The Registrar of Record may deny a 
transfer request only in the following specific instances:

Evidence of fraud
UDRP action
Court order by a court of competent jurisdiction
Reasonable dispute over the identity of the Registered Name Holder or 
Administrative Contact
No payment for previous registration period (including credit card 
charge-backs) if the domain name is past its expiration date or for previous or 
current registration periods if the domain name has not yet expired. In all 
such cases, however, the domain name must be put into "Registrar Hold" status 
by the Registrar of Record prior to the denial of transfer.
Express written objection to the transfer from the Transfer Contact. (e.g. - 
email, fax, paper document or other processes by which the Transfer Contact has 
expressly and voluntarily objected through opt-in means)
A domain name was already in "lock status" provided that the Registrar provides 
a readily accessible and reasonable means for the Registered Name Holder to 
remove the lock status.
A domain name is in the first 60 days of an initial registration period.
A domain name is within 60 days (or a lesser period to be determined) after 
being transferred (apart from being transferred back to the original Registrar 
in cases where both Registrars so agree and/or where a decision in the dispute 
resolution process so directs).
Instances when the requested change of Registrar may not be denied include, but 
are not limited to:

Nonpayment for a pending or future registration period
No response from the Registered Name Holder or Administrative Contact.
Domain name in Registrar Lock Status, unless the Registered Name Holder is 
provided with the reasonable opportunity and ability to unlock the domain name 
prior to the Transfer Request.
Domain name registration period time constraints, other than during the first 
60 days of initial registration or during the first 60 days after a registrar 
transfer.
General payment defaults between Registrar and business partners / affiliates 
in cases where the Registered Name Holder for the domain in question has paid 
for the registration.
The Registrar of Record has other mechanisms available to collect payment from 
the Registered Name Holder that are independent from the Transfer process. 
Hence, in the event of a dispute over payment, the Registrar of Record must not 
employ transfer processes as a mechanism to secure payment for services from a 
Registered Name Holder. Exceptions to this requirement are as follows:

(i) In the case of non-payment for previous registration period(s) if the 
transfer is requested after the expiration date, or

(ii) In the case of non-payment of the current registration period, if transfer 
is requested before the expiration date.

4. Registrar Coordination

Each Registrar is responsible for keeping copies of documentation, including 
the FOA and the Transfer Contacts response thereto, that may be required for 
filing and supporting a dispute under the dispute resolution policy. Gaining 
Registrars must maintain copies of the FOA as received from the Transfer 
Contact as per the standard document retention policies of the contracts. 
Copies of the reliable evidence of identity must be kept with the FOA.

Both the Gaining Registrar and the Registrar of Record must provide the 
evidence relied on for the transfer during and after the applicable 
inter-registrar domain name transaction(s). Such information must be provided 
when requested by, and only by, the other Registrar that is party to the 
transfer transaction. Additionally, ICANN, the Registry Operator, a court or 
authority with jurisdiction over the matter or a third party dispute resolution 
panel may also require such information within five (5) days of the request.

The Gaining Registrar must retain, and produce pursuant to a request by a 
Losing Registrar, a written or electronic copy of the FOA. In instances where 
the Registrar of Record has requested copies of the FOA, the Gaining Registrar 
must fulfill the Registrar of Records request (including providing the 
attendant supporting documentation) within five (5) calendar days. Failure to 
provide this documentation within the time period specified is grounds for 
reversal by the Registry Operator or the Dispute Resolution Panel in the event 
that a transfer complaint is filed in accordance with the requirements of this 
policy.

If either a Registrar of Record or a Gaining Registrar does not believe that a 
transfer request was handled in accordance with the provisions of this policy, 
then the Registrar may initiate a dispute resolution procedure as set forth in 
Section C of this policy.

For purposes of facilitating transfer requests, Registrars should provide and 
maintain a unique and private email address for use only by other Registrars 
and the Registry:

i. This email address is for issue related to transfer requests and the 
procedures set forth in this policy only.

ii. The email address should be managed to ensure messages are received by 
someone who can respond to the transfer issue.

iii. Messages received at such email address must be responded to within a 
commercial reasonable timeframe not to exceed seven (7) calendar days.

5. EPP - based Registry Requirements for Registrars

In EPP-based gTLD Registries, Registrars must follow the requirements set forth 
below.

Registrars must provide the Registered Name Holder with the unique "AuthInfo" 
code within five (5) calendar days of the Registered Name Holder's initial 
request if the Registrar does not provide facilities for the Registered Name 
Holder to generate and manage their own unique "AuthInfo" code.

Registrars may not employ any mechanism for complying with a Registered Name 
Holder's request to obtain the applicable "AuthInfo Code" that is more 
restrictive than the mechanisms used for changing any aspect of the Registered 
Name Holder's contact or name server information.

The Registrar of Record must not refuse to release an "AuthInfo Code" to the 
Registered Name Holder solely because there is a dispute between the Registered 
Name Holder and the Registrar over payment.

Registrar-generated "AuthInfo" codes must be unique on a per-domain basis.

The "Auth-Info" codes must be used solely to identify a Registered Name Holder, 
whereas the FOA's still need to be used for authorization or confirmation of a 
transfer request, as described in Section 2 and Section 4 of this policy.

6. Registry Requirements

Upon receipt of the "transfer" command from the Gaining Registrar, Registry 
Operator will transmit an electronic notification to both Registrars. In the 
case of those Registries that use electronic mail notifications, the response 
notification may be sent to the unique email address established by each 
Registrar for the purpose of facilitating transfers.

The Registry Operator shall complete the requested transfer unless, within five 
(5) calendar days, Registry Operator receives a NACK protocol command from the 
Registrar of Record.

When the Registry's database has been updated to reflect the change to the 
Gaining Registrar, Registry Operator will transmit an electronic notification 
to both Registrars. The notification may be sent to the unique email address 
established by each Registrar for the purpose of facilitating transfers or such 
other email address agreed to by the parties.

The Registry Operator shall undo a transfer if, after a transfer has occurred, 
the Registry Operator receives one of the notices as set forth below. In such 
case, the transfer will be reversed and the domain name reset to its original 
state. The Registry Operator must undo the transfer within five (5) calendar 
days of receipt of the notice except in the case of a Registry dispute 
decision, in which case the Registry Operator must undo the transfer within 
fourteen calendar days unless a court action is filed. The notice required 
shall be one of the following:

i. Agreement of the Registrar of Record and the Gaining Registrar sent by 
email, letter or fax that the transfer was made by mistake or was otherwise not 
in accordance with the procedures set forth in this policy;

ii. The final determination of a dispute resolution body having jurisdiction 
over the transfer; or

iii. Order of a court having jurisdiction over the transfer.

7. Records of Registration

Each Registrar shall require its customer, the Registered Name Holder, to 
maintain its own records appropriate to document and prove the initial domain 
name registration date.

8. Effect on Term of Registration

The completion by Registry Operator of a holder-authorized transfer under this 
Part A shall result in a one-year extension of the existing registration, 
provided that in no event shall the total unexpired term of a registration 
exceed ten (10) years.

B. ICANN-Approved Transfers

Transfer of the sponsorship of all the registrations sponsored by one Registrar 
as the result of (i) acquisition of that Registrar or its assets by another 
Registrar, or (ii) lack of accreditation of that Registrar or lack of its 
authorization with the Registry Operator, may be made according to the 
following procedure:

(a) The gaining Registrar must be accredited by ICANN for the Registry TLD and 
must have in effect a Registry-Registrar Agreement with Registry Operator for 
the Registry TLD.

(b) ICANN must certify in writing to Registry Operator that the transfer would 
promote the community interest, such as the interest in stability that may be 
threatened by the actual or imminent business failure of a Registrar.

Upon satisfaction of these two conditions, Registry Operator will make the 
necessary one-time changes in the Registry database for no charge, for 
transfers involving 50,000 name registrations or fewer. If the transfer 
involves registrations of more than 50,000 names, Registry Operator will charge 
the gaining Registrar a one-time flat fee of US$ 50,000.

C. Transfer Dispute Resolution Policy

Procedures for handling disputes concerning inter-registrar transfers are set 
forth in the Transfer Dispute Resolution Policy. Procedures in this policy must 
be followed by the applicable Registry Operators and ICANN accredited 
Registrars.

------ End of Forwarded Message

Attachment: Transfer - Gaining Registrar Requirements.doc
Description: Transfer - Gaining Registrar Requirements.doc

Attachment: Transfer - Registry Requirements.doc
Description: Transfer - Registry Requirements.doc

Attachment: Transfer - Registrar of Record Requirements.doc
Description: Transfer - Registrar of Record Requirements.doc