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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

  1. Module 1 Introduction to the gTLD Application Process 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, o 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. • T 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. 1-5 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  2. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 F o 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 o 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 o 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. 1-6 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  3. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 1-7 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  4. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 1-8 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  5. Module 1 Introduction to the gTLD Application Process 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 o 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 1-9 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  6. Module 1 Introduction to the gTLD Application Process 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 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, 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 o 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 . 1-10 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  7. Module 1 Introduction to the gTLD Application Process 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 o 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. 1-11 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  8. Module 1 Introduction to the gTLD Application Process 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 o 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- 1-12 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  9. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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: 1-13 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  10. Module 1 Introduction to the gTLD Application Process 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 Public portions of all applications that have passed the Administrative Completeness End of Administrative Check Check. Status updates for applications withdrawn or ineligible for further review. During Initial Evaluation Contention sets resulting from String Similarity review. Application status updates with all Initial End of Initial Evaluation Evaluation results. Application status updates with all Extended Evaluation results. End of Extended Evaluation Evaluation summary reports from the Initial and Extended Evaluation periods. Information on filed objections and status updates available via Dispute Resolution During Objection Service Provider websites. Filing/Dispute Resolution Notice of all objections posted by ICANN after close of Objection Filing period. 1-14 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  11. Module 1 Introduction to the gTLD Application Process During Contention Resolution Results of each Community Priority (Community Priority Evaluation posted as completed. Evaluation) During Contention Resolution Results from each auction posted as (Auction) completed. Registry Agreements posted when Transition to Delegation 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 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, 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. 1-15 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  12. Module 1 Introduction to the gTLD Application Process 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 o 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 . Approve dAp- proved Objection for Initial Extended Objec- String Subsequ Esti- Evaluatio Evaluatio tion(s) Contenti entDele- mated Scenario nEval- nEval- RaisedFil onConte gation Elapsed Number uation uation ed n-tion Steps Time 1 Pass N/A None No Yes 8 months 13 2 Fail Pass None No Yes months 10.5 – 14 3 Pass N/A None Yes Yes months Applicant 13 4 Pass N/A No Yes prevails months Objector 11 5 Pass N/A N/A No prevails months 6 Fail Quit n/aN/A N/A No 6 months 11 7 Fail Fail n/aN/A N/A No months Applicant 15.5 – 19 8 Fail Pass Yes Yes prevails months Applicant 13.5 – 17 9 Fail Pass Yes No prevails 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 1-16 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  13. Module 1 Introduction to the gTLD Application Process 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 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 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 o 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 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 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. ose Obje c tion – I n this Sc e nar io 5 – Pass Initial E valuation, L 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 1-17 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  14. Module 1 Introduction to the gTLD Application Process 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 o 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. aws – I n Sc e nar io 6 – F ail Initial E valuation, Applic ant Withdr 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 -- I 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 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. During the o b je c tio n filing pe rio d, o ne 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 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 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 , the a pplic a nt pre va ils o ve r o 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 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. During the o b je c tio n filing pe rio d, o ne 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 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 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 , 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. 1-18 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  15. Module 1 Introduction to the gTLD Application Process 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 institution E 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. 1-19 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  16. Module 1 Introduction to the gTLD Application Process 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 ; 1-20 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  17. Module 1 Introduction to the gTLD Application Process 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, o 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 o 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 1-21 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  18. Module 1 Introduction to the gTLD Application Process 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. ship -- I CANN-a c c re dite d re g istra rs Re gistr ar Cr oss-Owne r 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 o 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 o 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 o rig ina l la ng ua g e . E ng lish tra nsla tio ns a re no t re q uire d. D a s open o r All do c ume nts must b e va lid a t fo r a ne w g T L the time o f sub missio n. Re fe r to the E va lua tio n Crite ria , 1-22 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  19. Module 1 Introduction to the gTLD Application Process 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. 1.2.2 Gove r non-obje c tion – I f a n nme nt suppor t or 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. ty funding c ommitme nts – I 3. Doc ume ntation of thir f d-par 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 o r purpo se s o f this Applic a nt Guide b o o k, a community- F 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 1-23 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  20. Module 1 Introduction to the gTLD Application Process 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. P, a n open gTLD is o ne tha tHa ve 3. F o r purpo se s o f this RF 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 o 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. P, a community-based gTLD is a g T F o r purpo se s o f this RF 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. 1-24 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  21. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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. ing Conte ntion – Any a pplic a nt tha t ha s b e e n ide ntifie d Str 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 comparative A 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 1-25 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  22. Module 1 Introduction to the gTLD Application Process c o nte ntio n re so lutio n will re sult in o the r c a se sme a ns o 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 o 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 o 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. 1-26 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  23. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 o 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 o 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 1-27 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  24. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 o 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. 1-28 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  25. Module 1 Introduction to the gTLD Application Process 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 o 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 o p L 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. 1-29 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  26. Module 1 Introduction to the gTLD Application Process 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, D a pplic a nts, will b e e lig ib le to inc luding suc c e ssful ne w g T L 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 o 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. 1-30 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  27. Module 1 Introduction to the gTLD Application Process 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 o 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 o rm, no rma lly UT F -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 o 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: 1-31 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  28. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 o 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 o 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 1-32 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  29. Module 1 Introduction to the gTLD Application Process 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 s 4 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. • E 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 1-33 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  30. Module 1 Introduction to the gTLD Application Process • 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 o 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 o 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 o 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 1-34 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  31. Module 1 Introduction to the gTLD Application Process 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 . 1-35 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  32. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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 o 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 o 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. 1-36 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  33. Module 1 Introduction to the gTLD Application Process 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 o 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 o 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: (SSL ) – T o e nsure tha t c o nfide ntia l Se c ur e Soc ke t L aye r 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. e ve ls – T AS is L imite d T AS Author ize d Use r s and Pe r mission L 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 o 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 o 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 1-37 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  34. Module 1 Introduction to the gTLD Application Process 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 o 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 Primary Contact: Name, Title, Address, Phone, Fax, 6 Email Secondary Contact: Name, Title, Address, Phone, 7 Fax, Email 8 Proof of legal establishment 9 Trading, subsidiary, or joint venture information Business ID, Tax ID, VAT registration number, or 10 equivalent of Applicant Applicant background: previous convictions, 11 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 1-38 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  35. Module 1 Introduction to the gTLD Application Process 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 o 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 Payment confirmation for remaining evaluation fee 12(b) amount 13 Applied-for gTLD string 14 IDN string information, if applicable 15 IDN tables, if applicable Mitigation of IDN operational or rendering problems, 16 if applicable 1-39 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  36. Module 1 Introduction to the gTLD Application Process Representation of string in International Phonetic 17 Alphabet (Optional) 18 Mission/purpose of the TLD 19 Is the application for a community-based TLD? If community based, describe elements of community 20 and proposed policies Is the application for a geographical name? If 21 geographical, documents of support required Measures for protection of geographical names at 22 second level Registry Services: name and full description of all 23 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 1-40 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  37. Module 1 Introduction to the gTLD Application Process 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 o 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 1-41 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  38. Module 1 Introduction to the gTLD Application Process 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: • T 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. ]. • T 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 . 1-42 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  39. Module 1 Introduction to the gTLD Application Process 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 Percentage of Amount of Refund Applicant Evaluation Fee Afte r po sting o f 70% USD 130,000 a pplic a tio ns until po sting o f I nitia l E va lua tio n re sults Afte r po sting I nitia l 35% USD 65,000 E va lua tio n re sults Afte r the a pplic a nt 20% USD 37,000 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) Afte r the a pplic a nt No ne ha s e nte re d into a re g istry a g re e me nt with I CANN 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. ound applic ants -- Note on 2000 pr oof-of-c onc e pt r 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 1-43 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  40. Module 1 Introduction to the gTLD Application Process 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 o 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 : 1-44 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  41. Module 1 Introduction to the gTLD Application Process • 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. • e e – T his a mo unt must Dispute Re solution F iling F 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 o 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. • e e – T his fe e is Dispute Re solution Adjudic ation F pa ya b le Advanc e Payme nt of Costs – I n the e ve nt o 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. • T 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 1-45 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  42. Module 1 Introduction to the gTLD Application Process 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 CANN ma ysho uld b e sub mitte d b y wire Pa yme nts to I transfer , ACH, mo ne y o rde r, o r c he c k. 1-46 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  43. Module 1 Introduction to the gTLD Application Process 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 nstruc tio ns fo r ma king ACH payments will b e a va ila b le in I T AS. 1.5.2.3 Credit Card Payment o ma ke a credit card payment , no te : T 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 . • F ill o ut a nd sig n the Cre dit Ca rd Pa yme nt F o 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 o ma ke a payment by check or money order (USD o nly), T 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 of funds. This enables ICANN to receive the fee and begin processing applications as quickly as possible. 1-47 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  44. Module 1 Introduction to the gTLD Application Process 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 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. 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 o 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 o 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 1-48 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  45. Module 1 Introduction to the gTLD Application Process 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 . 1-49 D12_M1_Introduction_23Oct08 Applicant Guidebook – Proposed Final Version

  46. 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. Applicant Guidebook – Proposed Final Version 2-1

  47. Module 2 Evaluation Procedures valuation ma y b e a pplic a b le in c a se s in whic h E xte nde d E 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 o 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, o 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 2-2 Draft – For Discussion Only Applicant G

  48. Module 2 Evaluation Procedures 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 o 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 o 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 o 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 o n the a pplic a nt to te st: 2-3 Draft – For Discussion Only Applicant G

  49. Module 2 Evaluation Procedures • Whe the r the a pplic a nt ha s the re q uisite te c hnic a l, o 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 o 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 : 2-4 Draft – For Discussion Only Applicant G

  50. Module 2 Evaluation Procedures • 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: o E ve ry o the r sing le c ha ra c te r. o 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 o r 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 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. 2-5 Draft – For Discussion Only Applicant G

  51. Module 2 Evaluation Procedures 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 o 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 o 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 2-6 Draft – For Discussion Only Applicant G

  52. Module 2 Evaluation Procedures 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 o 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 o 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 o 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 o 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 o 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 o 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 o 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. 2-7 Draft – For Discussion Only Applicant G

  53. Module 2 Evaluation Procedures 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: ing Confusion – String c o nfusio n e xists whe re Standar d for Str 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 o 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. he sta nda rd will b e a pplie d in two se ts 2.2.1.1.3 T 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). xisting the String Similarity E 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 o 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 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). 2-8 Draft – For Discussion Only Applicant G

  54. Module 2 Evaluation Procedures 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 ings – All a pplie d-fo r g T L D string s will b e re vie we d a g a inst Str o 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 o 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 . Ds -- Applie d-fo r Similar ity to T L D str ings applie d for as c c T L 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 o 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. 2-9 Draft – For Discussion Only Applicant G

  55. Module 2 Evaluation Procedures 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 o 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 o 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 2-10 Draft – For Discussion Only Applicant G

  56. Module 2 Evaluation Procedures 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 o 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 oc 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 o 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 2-11 Draft – For Discussion Only Applicant G

  57. Module 2 Evaluation Procedures 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 Requirements 4 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. • 1.1 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 . 2-12 Draft – For Discussion Only Applicant G

  58. Module 2 Evaluation Procedures 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. • 1.2 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 � T he la b e l must no t sta rt o r e nd with a hyphe n. • T 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 o 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). 2-13 Draft – For Discussion Only Applicant G

  59. Module 2 Evaluation Procedures • T 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. • 2.1 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 s de 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 o , L m, Mn). � 2.1.4 Must b e fully c o mplia nt with No rma liza tio n F o 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 o 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. 2-14 Draft – For Discussion Only Applicant G

  60. Module 2 Evaluation Procedures � 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. • 2.2 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 o 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 op-L 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 o f thre e o r mo re visua lly distinc t letters or c 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 2-15 Draft – For Discussion Only Applicant G

  61. Module 2 Evaluation Procedures 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 o 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 o 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 Names 6 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. 2-16 Draft – For Discussion Only Applicant G

  62. Module 2 Evaluation Procedures 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 2-17 Draft – For Discussion Only Applicant G

  63. Module 2 Evaluation Procedures 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 o 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. • 3. An a pplic a tio n fo r a ny string tha t is a n e xa c t ma tc h o 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 on 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. 2-18 Draft – For Discussion Only Applicant G

  64. Module 2 Evaluation Procedures • An a pplic a tio n fo r a string whic h re pre se ntsliste d a s SCO re g io n 8 o r a ppe a ring o n a c o ntine nt o r UNUNE 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 o 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 o 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 o 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. 2-19 Draft – For Discussion Only Applicant G

  65. Module 2 Evaluation Procedures • 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- o 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 o 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 o 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 2-20 Draft – For Discussion Only Applicant G

  66. Module 2 Evaluation Procedures 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 o 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 o 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 o 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 o 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 o 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. 2-21 Draft – For Discussion Only Applicant G

  67. Module 2 Evaluation Procedures 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: • 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 • T 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 . 2-22 Draft – For Discussion Only Applicant G

  68. Module 2 Evaluation Procedures 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 name na me s, the string c o nte ntio n will b e se ttle d using the string c o nte ntio n methodology pro 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. 2-23 Draft – For Discussion Only Applicant G

  69. Module 2 Evaluation Procedures 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 o 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 o 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. 2-24 Draft – For Discussion Only Applicant G

  70. Module 2 Evaluation Procedures ation of 2.2.2.2 Financial Capability – T he se De monstr 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 o rm) 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 o 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 o rm. 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 o 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 o 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 2-25 Draft – For Discussion Only Applicant G

  71. Module 2 Evaluation Procedures 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 o 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 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. 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 o 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 o 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 2-26 Draft – For Discussion Only Applicant G

  72. Module 2 Evaluation Procedures 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. e – I CANN’ s first re vie w willc a n b e a pre limina ry Pr oc e dur 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 o 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 2-27 Draft – For Discussion Only Applicant G

  73. Module 2 Evaluation Procedures 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 o 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 o 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 2-28 Draft – For Discussion Only Applicant G

  74. Module 2 Evaluation Procedures 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). 2-29 Draft – For Discussion Only Applicant G

  75. Module 2 Evaluation Procedures 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. 2-30 Draft – For Discussion Only Applicant G

  76. Module 2 Evaluation Procedures 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 o 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. 2-31 Draft – For Discussion Only Applicant G

  77. Module 2 Evaluation Procedures 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 o 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. 2-32 Draft – For Discussion Only Applicant G

  78. Module 2 Evaluation Procedures 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 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 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 valuation . During this e ntire e xpe rts a nd g ro ups E xte nde d E 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 o 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. 2-33 Draft – For Discussion Only Applicant G

  79. Module 2 Evaluation Procedures 2.4.1 Panels and Roles T he Str ity Pane l will a sse ss whe the r a pro po se d ing Similar 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 o 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 valuation Pane l will re vie w e a c h a pplic a tio n inanc ial E 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 P) will e gistr y Se r vic e s T e c hnic al E valuation Pane l (RST E 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 o c c urs, if a p plic a b le , during the E xte nde d E va lua tio n pe rio d. 2-34 Draft – For Discussion Only Applicant G

  80. Module 2 Evaluation Procedures 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: • T 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. • T 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. • T 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 o r no n-ASCI I g T L Ds. • T 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 o 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 . 2-35 Draft – For Discussion Only Applicant G

  81. Module 2 Evaluation Procedures 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 2-36 Draft – For Discussion Only Applicant G

  82. Module 2 Evaluation Procedures 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 o 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 o 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 o 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. • I 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. iod -- All E va lua tio n Pa ne lists must c o mply Complianc e Pe r with the Co nflic t o f I nte re st g uide line s b e g inning with the 2-37 Draft – For Discussion Only Applicant G

  83. Module 2 Evaluation Procedures o 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 o 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 o r a g a inst the Applic a nt. • Must no t b e a : o 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; o Pro mo te r, unde rwrite r, o r vo ting truste e o f the Applic a nt; o r o T ruste e fo r a ny pe nsio n o r pro fit- sha ring trust o f the Applic a nt. 2-38 Draft – For Discussion Only Applicant G

  84. Module 2 Evaluation Procedures 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, o 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 o 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 2-39 Draft – For Discussion Only Applicant G

  85. Module 2 Evaluation Procedures 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. 2-40 Draft – For Discussion Only Applicant G

  86. 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 o 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: ing Co nfusio n Obje c tio n – T he a pplie d-fo r g T L D string is Str 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. e gal Rights Obje c tio n – T he a pplie d-fo r g T L D string L infring e s the e xisting le g al rig hts o f the o b je c to r. 3-1 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  87. Module 3 Objection and Dispute Resolution Procedures e st Obje c tio n] 1 – T he Mo r ality and[L imite d Public Or de r Inte r 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 o 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 o 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 o 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 To be determinedNo limitations on who may file – however, public interest] 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 o 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 o 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 objection 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. 3-2 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  88. Module 3 Objection and Dispute Resolution Procedures • 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 o 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 o 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 o 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/. 3-3 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  89. Module 3 Objection and Dispute Resolution Procedures 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 o 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, o 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 o 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 o 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 o b je c tio ns], b ut o the r fa c ts ma y c le a rly sho w tha t the o b je c tio n is a b usive . F o 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 3-4 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  90. Module 3 Objection and Dispute Resolution Procedures 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 o 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 o q ua lify fo r sta nding fo r a c o mmunity o b je c tio n, the o 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 : • L e ve l o f g lo b a l re c o g nitio n o f the institutio n; • L 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 : • T 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). 3-5 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  91. Module 3 Objection and Dispute Resolution Procedures • I 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 • T 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 o 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 T o 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 o 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. • T 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. • T 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 3-6 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  92. Module 3 Objection and Dispute Resolution Procedures 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 st 4 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 o 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 o 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 . 3-7 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  93. Module 3 Objection and Dispute Resolution Procedures sho uld b e file d, he o r she will initia te a nd pro se c ute the o 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 o 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 o 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 o 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 o 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 o 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 o 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 3-8 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  94. Module 3 Objection and Dispute Resolution Procedures 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 o 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 o 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. F o 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 o 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 o 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 o 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 3-9 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  95. Module 3 Objection and Dispute Resolution Procedures • F o 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. • E 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. 3-10 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

  96. Module 3 Objection and Dispute Resolution Procedures E a c h o bje c tio n file d b y a n o b je c to r must inc lude : • T 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. • T 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 o 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 o 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, 3-11 Draft – For Discussion Only Applicant Guidebook – Proposed Final Version

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