Technical and Operational Requirements for an ENUM Tier 1B by HC120911014911

VIEWS: 2 PAGES: 71

									                                                                                      V-15.00001-2005
                                                                                      October 10, 2005




                                                                                      CC1 ENUM LLC
                                                                         Technical Advisory Committee




                                    CC1 ENUM Tier 1B Registry
                              Technical and Operational Requirements
                            for a Specific Country within Country Code 1




CC1 ENUM LLC TAC
Approved Month DD, YYYY


Abstract
This document contains technical and operational requirements for operating an ENUM Tier 1 for
Country Code 1. This includes interfaces to other entities providing services for ENUM as well as the
requirements for deploying and operating the ENUM Tier 1 infrastructure.
Tier 1B Technical and Operational Requirements                  CC1 ENUM LLC TAC-15.00001-2005



FOREWORD

At the time it approved this document, the CC1 ENUM LLC TAC which had the following members:

                                Jim Baskin       TAC Chairman, Verizon
                                  Tim Ruiz       GoDaddy.com
                            Steven D. Lind        AT&T
                                 Bernie Ku       SBC Labs
                           Mark McFadden         BT Americas
                             Jay Carpenter       1-800 AFTA
                          Phyllis Anderson       SBC Labs
                          Richard Shockey        NeuStar
                           Karen Mulberry        MCI
                            Robert Schafer       MCI
                            Ken Buchanan         BellSouth
                               Penn Pfautz       AT&T
                           Beth O'Donnell        COX
                                     Judith
                              Oppenheimer        ICB
                               Kaj Tiesink       Telcordia
                               Tim Denton        CIRA
                                 Jim Danda       Sprint
                             Alan Johnston       MCI
                         Kevin McCandless        Verisign
                               Bob Malone        Evolving Systems




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Table of Contents
Abstract ..................................................................................................................................................................... i
Foreword .................................................................................................................................................................. ii
Table of Figures .................................................................................................................................................... vvi
Table of Tables...................................................................................................................................................... vvi
Section 1.0                  Scope, Purpose, and Application ..............................................................................................1
   1.1          Scope .........................................................................................................................................................1
   1.2          Purpose .....................................................................................................................................................1
   1.3          Application................................................................................................................................................1
Section 2.0 References ............................................................................................................................................1
Section 3.0 Definitions, Acronyms, & Abbreviations ..........................................................................................3
   3.1          Definitions ................................................................................................................................................3
   3.2          Acronyms & Abbreviations ......................................................................................................................5
Section 4.0                  Introduction ................................................................................................................................6
Section 5.0                  Operational & Infrastructure Requirements ..........................................................................8
   5.1          Registry Database .....................................................................................................................................9
   5.2          Shared Registration System (SRS) ..........................................................................................................9
   5.3          Thick Registry Model ............................................................................. Error! Bookmark not defined.10
   5.4          Zone Data ...............................................................................................................................................10
   5.5          ContactInfo.............................................................................................................................................10
   554.1        Introduction ............................................................................................................................................11
   5.5.2        Need for ContactInfo Databases............................................................................................................11
   554.3        Background ............................................................................................ Error! Bookmark not defined.11
   5.5.4        General ContactInfo Requirements.......................................................................................................11
   5.4.6        Privacy Considerations ..........................................................................................................................15
   5.4.7        Recommendation ....................................................................................................................................15
   5.4.8        Escrow Requirement ..............................................................................................................................15
   5.5          Security (Section replaced with revised text) .........................................................................................16
   5.5.6        Backup Security ......................................... Error! Bookmark not defined.Error! Bookmark not defined.
   5.5.7        Security Audit and Reporting .................... Error! Bookmark not defined.Error! Bookmark not defined.
   5.6          Customer Service Personnel .................................................................. Error! Bookmark not defined.18
   5.7          Caching Requirements ...........................................................................................................................18
   5.8          System Turn-Up and Testing .................................................................................................................18
   5.10         Operations and Maintenance.................................................................................................................18
   5.11         System Outage Prevention and Recovery .............................................. Error! Bookmark not defined.19

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   5.11.1 System Recovery Procedures .................................................................................................................19
   5.11.2 Database Escrow and Backup ...............................................................................................................20
   5.12       Technical and Other Support ................................................................................................................20
   5.13       Other Responsibilities of the Tier 1B Registry ......................................................................................21
   5.14       Transition ...............................................................................................................................................21
   5.15       Accommodation of Future Internet Architectural Enhancements ......................................................21
Section 6.0               Service Level Requirements (SLR).........................................................................................21
   6.1        Performance Specifications ...................................................................................................................22
   6.2        Service Availability .................................................................................................................................22
   6.3        Service Availability - SRS ......................................................................................................................22
   6.4        Planned Outage ......................................................................................................................................23
   6.5        Extended Planned Outage .....................................................................................................................23
   6.6        Processing Time .....................................................................................................................................24
   6.7        Cross-Network Nameserver Performance Requirements .....................................................................25
   6.8        Responsibilities of the Parties ................................................................................................................26
   6.9        Connectivity (with Service Providers)....................................................................................................30
   6.10       Performance and Capacity.....................................................................................................................30
   6.11       ENUM Tier 1B Registry Performance Specifications ..........................................................................31
   6.12       ENUM Tier 1B Registry Management ..................................................................................................33
   6.12.1 Reports and Files....................................................................................................................................34
Section 7.0 Registry-registrar Interface Requirements ....................................................................................35
   7.1        Shared Registration System (SRS) ........................................................................................................35
   7.2        Interfaces between ENUM Tier 1A Registry and Tier 1B Registry......................................................36
   7.3        Interfaces between ENUM Tier 1B and ENUM Registrars ................. Error! Bookmark not defined.36
   7.4        Interfaces between ENUM Tier 1B and Tier 2 Registries ....................................................................36
Section 8.0           Provisioning (Section replaced with revised text).....................................................................36
   8.1        Assumptions............................................................................................................................................36
   8.2        Provisioning Requirements ....................................................................................................................37
   8.3        Provisioning Procedures ........................................................................................................................38
Section 9.0            Dispute Resolution...................................................................................................................6459
Appendix 1 Registry/Registrar Agreements - Suggested Terms and Conditions
Appendix 2 Further Considerations for RFP Development




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TABLE OF FIGURES
Figure 1 - ENUM Functional Architecture ......................................................................................... 6
Figure 2 – ENUM Registrant Selects Tier 2 Provider at Initial ENUM Registration .........................
Figure 3 – ENUM Registrant did not select Tier 2 Provider at Initial ENUM Registration ..............
Figure 4 – ENUM Registrant Transfers ENUM Registration to another Registrar ...........................
Figure 5 – ENUM Registrant Checks/Changes Information at ENUM Registrar ..............................
Figure 6 – ENUM Registrant Checks/Changes Information at Tier 2 Provider .................................
Figure 7 – ENUM Registrar Checks/Changes Information at Tier 1B Registry .................................
Figure 8 – ENUM Registrant Renews ENUM Registration .................................................................
Figure 9 – ENUM Registrant Terminates ENUM Registration ...........................................................
Figure 10 – ENUM Registrant No Longer a TN Assignee....................................................................




TABLE OF TABLES
Acronyms & Abbreviations ................................................................................................................. 4
Table 2 - Recommended Zone Contact Data Elements ........................................................................
Table 3 - Here are the recommended Registrar Contact Data Elements ............................................




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                                                                          CC1 ENUM LLC TAC-15.00001-2005



                                    CC1 ENUM Tier 1B Registry
                      Technical and Operational Requirements
                   for a Specific Country within Country Code 1

1    SECTION 1.0           SCOPE, PURPOSE, AND APPLICATION
2
3    1.1    Scope
4    This document describes the ENUM Tier 1B technical and operational requirements for a specific country
5    within the North American Numbering Plan (NANP) Country Code 1 serving area. In particular these
6    technical requirements are to be used to select the ENUM Tier 1B Registry for US telephone numbers
7    (TNs) under the ITU-T E.164 international numbering standard, and may be accepted or modified by other
8    NANP member nations when determining their approach.
 9   The Tier 1B Registry operator is the single entity responsible for providing ENUM Registry services for
10   US TNs, including management of pointers to Tier 2 Provider nameservers. The Tier 1B Registry does not
11   handle Naming Authority Pointer (NAPTR) records but points at Tier 2 Providers where NAPTR records
12   associated with E.164 numbers are stored. The ENUM Tier 1B Registry must establish an open standard
13   interface which is available for all ENUM Registrars to use.
14
15   1.2     Purpose
16   This document is intended to provide the specifications necessary to implement the ENUM Tier 1B
17   Registry components for Numbering Plan Area (NPA) resources within the U.S. It is intended to provide
18   sufficient information to allow a contracting entity to issue an RFP for an ENUM Tier 1B Registry
19   implementation. As such, it describes, among other things, the reference architecture for the ENUM Tier
20   1B Registry.. It also provides the critical security and privacy requirements for implementing this system
21   for the US numbering space.
22   This document will be distributed to all stakeholders with a view of seeking consensus amongst an
23   audience that is as large as possible, with a view of ensuring that the implementation of a country’s
24   ENUM Tier 1B Registry proceed as swiftly and as smoothly as possible.
25
26   1.3     Application
27   This document is intended to be used as the basis for an RFP that will identify and provide the technical
28   specifications necessary to select a vendor that will implement the ENUM Tier 1B Registry components
29   for NPA resources within the U.S. This may also be used by other countries within the NANP for their
30   ENUM Tier 1B registry vendor selection requirement.

31   SECTION 2.0 REFERENCES
32   The following references contain provisions which, through reference in this text, constitute provisions of
33   this technical requirement. At the time of publication, the editions indicated were valid. All documents are

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34   subject to revision, and parties to agreements based on this specification are encouraged to investigate the
35   possibility of applying the most recent editions of the references indicated below.
36   [1] Crocker, D., "Standard for the format of ARPA Internet text messages", STD 11, RFC 822, August
37   1982.
38   [2] Harrenstien, K., Stahl, M. and E. Feinler, "NICNAME/WHOIS", RFC 954, October 1985.
39   [3] Mockapetris, P., "Domain names - concepts and facilities", STD 13, RFC 1034, November 1987.
40   [4] Mockapetris, P., "Domain names - implementation and specification", STD 13, RFC 1035, November
41   1987.
42   [5] Mockapetris, P., "DNS encoding of network names and other types", RFC 1101, April 1989.
43   [6] Rivest, R., "The MD5 Message-Digest Algorithm", RFC 1321, April 1992.
44   [7] Ohta, M., “Incremental Zone Transfer in DNS (IXFR).” RFC 1995, August 1996
45   [8] Vixie, A P., “Mechanism for Prompt Notification of Zone Changes (DNS NOTIFY).” RFC 1996,
46   August 1996
47   [9] Bradner, S., "The Internet Standards Process -- Revision 3", BCP 9, RFC 2026, October 1996.
48   [10] Vixie, A P., Ed., S. Thomson, Y. Rekhter, and J. Bound “Dynamic Updates in the Domain Name
49   System (DNS UPDATE)” RFC 2136, April 1997
50   [11] Elz, R. and R. Bush, "Clarifications to the DNS Specification", RFC 2181, July 1997.
51   [12] Elz, R., Bush, R., Bradner, S. and M. Patton, "Selection and Operation of Secondary DNS Servers",
52   BCP 16, RFC 2182, July 1997.
53   [13] M. Horowitz & S. Lunt, “FTP Security Extensions” RFC 2228, October 1997.
54   [14] Eidnes, H., de Groot, G. and P. Vixie, "Classless IN-ADDR.ARPA delegation", BCP 20,
55   RFC 2317, March 1998.
56   [15] Eastlake, D., "Domain Name System Security Extensions", RFC 2535, March 1999.
57   [16] M. Allman & S. Ostermann, “FTP Security Considerations,” RFC 2577, May 1999.
58   [17] Vixie, P., “Extension Mechanisms for DNS (EDNS0).” RFC 2671, August 1999
59   [18] R. Bush, D. Karrenberg, M. Kosters, & R. Plzak, “Root Name Server Operational Requirements,”
60   RFC2870, June 2000.
61   [19] Crawford, M. and C. Huitema, “DNS Extensions to Support IPv6 Address Aggregation and
62   Renumbering.” RFC 2874, July 2000
63   [20] Eastlake, D., “DNS Request and Transaction Signatures (TSIG(0)s).” RFC 2931, September 2000
64   [21] Mealling, M., “Dynamic Delegation Discovery System (DDDS) Part Five: URI.ARPA Assignment
65   Procedures”, RFC 3405, October, 2002
66   [22] Crispin, M., “Internet Message Access Protocol, Version 4rev1”, RFC 3501, March 2003.
67   [23] ENUM Forum Final Specifications Document "ENUM Forum Specifications for US Implementation
68   of ENUM Document" 6000_1_0, March 14, 2003
69   [24] Hollenbeck, S., "Extensible Provisioning Protocol", RFC 3730, March 2004        .
70   [25] Hollenbeck, S., "Extensible Provisioning Protocol Domain Name Mapping", RFC 3731, March 2004.
71   [26] Hollenbeck, S., "Extensible Provisioning Protocol Host Mapping", RFC 3732, March 2004.
72   [27] Hollenbeck, S., "Extensible Provisioning Protocol Contact Mapping", RFC 3733, March 2004.
73   [28] Hollenbeck, S., "Extensible Provisioning Protocol Transport Over TCP", RFC 3734, March 2004.
74   [29] Falstrom, P., Mealling, M., “The E.164 to Uniform Resource Identifiers (URI)
75    Dynamic Delegation Discovery System (DDDS) Application (ENUM)”, RFC 3761, April 2004.
76   [30] RFC 2845
77




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78   SECTION 3.0 DEFINITIONS, ACRONYMS, & ABBREVIATIONS
79
80   3.1    Definitions
             Authentication     The process of verifying that a party, e.g., the Applicant, is who
                                they claim to be.
             Authorization      The process of verifying that an (authenticated) party is entitled
                                to perform some action, i.e., that an Applicant is the assignee of
                                a number and thus entitled to register it in ENUM, or that an
                                ENUM Registrar is entitled to access the Tier 1B Registry to
                                add/modify registrations.

             CNNP Test:         The measurements will be conducted by sending strings of DNS
                                request packets from each of four measuring locations to each of
                                the .NET Tier 1B nameservers and observing the responses from
                                the .NET Tier 1B nameservers. (These strings of requests and
                                responses are referred to as a "CNNP Test".)
             Core Services      The three core services provided by the Registry - SRS,
                                Nameserver, and ContactInfo Services.
             DNS:               the Internet domain-name system
             Dynamic            Used to implement lazy binding of strings to data, in order to
             Delegation         support dynamically configured delegation systems such as
             Discovery          ENUM is based on. The DDDS functions by mapping some
             System (DDDS):     unique string to data stored within a DDDS Database by
                                iteratively applying string transformation rules until a terminal
                                condition is reached. (RFC 3401 to 3405)
             ENUM               Person/organization that is seeking to register an E.164 number
             Applicant:         into the CC1 ENUM Tier 1B Registry
             ENUM Domain:       E.164 Number in domain format as it is registered in the
                                “e164.arpa” domain.
             ENUM               Person/organization that has registered their E.164 number into
             Registrant:        the CC1 ENUM Tier 1B Registry
             ENUM               Entity that will provide ENUM registration services to ENUM
             Registrar:         Applicant
             ENUM Tier 1A Organization that registers ENUM domains corresponding to
             Registry:    NPAs and hosts the set of their authoritative NS records.
             ENUM Tier 1B Organization that registers ENUM domains corresponding to
             Registry:    E.164 numbers and hosts the set of pointers to their Tier 2 name
                          servers
             ENUM:              refers to a protocol developed in the Internet Engineering Task

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                              Force (IETF) (RFC 3761) whereby the Domain Name System
                              (DNS) can be used for identifying available services associated
                              with one E.164 number
        External Service      Is an extraordinary and identifiable event beyond the control of      Formatted: Not Highlight
        Failure               Registry Operator affecting the Internet services to be measured
        Editor’s Note –       pursuant to SLR’s. Such events include but are not limited to
        need to align title   congestion, collapse, partitioning, power grid failures, and
        with definition       routing failures.

                              This refers to the nameserver function of the Registry and the
        Nameserver            nameservers that resolve DNS queries from Internet users. This
                              service is performed by multiple nameserver sites that host DNS
                              resource records. The customers of the nameserver service are
                              users of the Internet. The nameservers receive a DNS query,
                              resolve it to the appropriate address, and provide a response.
        Performance           The specific committed performance service levels as specified
        Specification         herein.
        Performance           The specific committed performance service levels as specified
        Specifications        in this document. These Performance Specifications also set
                              forth Registry Operator's obligations directly to the Tier 1B
                              under the Registry Agreement.
                              The Registry's rating system for Performance Specifications.
        Performance           Some Performance Specifications are more critical to the
        Specification         operations of the Registry than others. Each of the Performance
        Priority              Specifications is rated as C1-mission critical, C2-mission
                              important, C3- mission beneficial, or C4-mission maintenance.
        Personal Data         data about any identified or identifiable person or entity
        Priority Levels       Need definition for Section 6.0                                       Formatted: Not Highlight

        Registrar             Refers to all of the Accredited Registrars who have executed
        Community             Registry-Registrar Agreements with Registry Operator for the
                              Registry.
        Registry Data         all Registry Database data maintained in electronic form, and
                              shall include Zone-File Data, all data used to provide Registry
                              Services submitted by ENUM Registrars in electronic form, and
                              all other data used to provide Registry Services concerning
                              particular domain name registrations or nameservers maintained
                              in electronic form in the Registry Database.
        Registry              a database comprised of data about one or more DNS domain
        Database:             names within the domain of the Registry that is used to generate
                              either DNS resource records that are published authoritatively or
                              responses to domain-name availability lookup requests or
                              ContactInfo queries, for some or all of those names
        Registry Model - A thick registry is one in which all of the information associated
                         with registered entities, including both technical information
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             Thick            (information needed to produce zone files) and social
                              information (information needed to implement operational,
                              business, or legal practices), is stored within a central registry
                              repository.
             Registry Model - In the thin model, only domain and name server information is
             Thin             stored within the registry; contact information is stored at each
                              registrar. As a result, each registrar must operate its own server
                              in order to provide access to this information.
             Tier 2 Provider: Person/organization that maintains the E.164 number NAPTR
                              records for specific communication services.
             WHOIS              Refers to a domain name Registry's WHOIS service. Registries
                                provide contact information related to registered domain names
                                and nameserver through a WHOIS service. Any person with
                                access to the Internet can query the Registry's WHOIS service
                                directly (via the Registry website) or through a Registrar.
                                (RFC3912)
81
82
83   3.2    Acronyms & Abbreviations
84
           AAA               Authentication, Authorization and Accounting                             Formatted: Highlight
                                                                                                      Formatted: Highlight
           ASCII             American Standard Code for Information Interchange
           ASP               Application Service Provider
           CC1               Country Code 1
           CC1   ENUM        Country Code 1 ENUM Limited Liability Corporation
           LLC
           CNAME             Canonical Name
           CNNP              Cross Network Name Server Performance
           CRISP
           CSR               Customer Service Representatives’
           DDDS              Dynamic Delegation Discovery System
           DNS               Domain Name System
           DNSSEC            DNS Security Extension
           ENUM              TElephone NUmber Mapping
           EPP               Extensible Provisioning Protocol
           FCC               Federal Communications Commission
           FQDN              Fully Qualified Domain Name
           FTP               File Transfer Protocol
           HVAC              Heating, Ventilating, and Air Conditioning
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     Tier 1B Technical and Operational Requirements                CC1 ENUM LLC TAC-15.00001-2005


           HTTP              Hypertext Transfer Protocol
           IAB               Internet Architecture Board
           ICANN             Internet Corporation for Assigned Names and Numbers
           IETF              Internet Engineering Task Force
           IRIS              Internet Registry Information Service
           ITU               International Telecommunications Union
           ITU-T             International Telecommunications Union – Telecommunications Sector

           LDAP              Lightweight Directory Access Protocol
           NANP              North American Numbering Plan
           NAPTR             Naming Authority Pointer (DNS Resource Record)
           NIC               Network Information Center
           NPA               Numbering Plan Area
           NS                Name Server
           OAM&P             Operations Administration Maintenance and Provisioning
           PoP               Point of Presence
           RFC               Request for Comments
           RIPE NCC          Réseaux IP Européens Network Coordination Centre
           RTT               Round-Trip Time
           SP                Service Provider
           SRS               Shared Registration System
           SSL               Secure Socket Layer
           TCP               Transmission Control Protocol
           TLS               Transport Layer Security
           TN                Telephone Number
           TSIG              Transaction Signatures
           TSP               Telephony Service Provider
           UDP               User Datagram Protocol
           URI               Uniform Resource Identifier
           URL               Uniform Resource Locator
           UTF-8             Unicode Transformation Format -8 encoding
           US                United States
           WWW               World Wide Web

85   SECTION 4.0          INTRODUCTION
86   This section specifies the reference architecture of a single common ENUM DNS domain, 1.e164.arpa,
87   within Country Code 1.

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 88   ENUM implementation is based on a tiered architecture as shown in Figure 1. At Tier 0 is the RIPE NCC
 89   which maintains the e164.arpa zone.1 Entries in the RIPE NCC nameservers correspond to country codes
 90   and point to the name servers of the Tier 1 Registry that is the authoritative nameserver for that country
 91   code. Entries in Tier 1 Registries normally correspond to individual telephone numbers and point to the
 92   Tier 2 nameservers which hold the NAPTR records used to provide actual communication services.
 93   Because Country Code 1 corresponds to an integrated numbering plan in which the country code is shared
 94   among several countries, the plan of the LLC is to split Tier 1 functionality into a Tier 1A, which would
 95   receive the CC1 delegation from the Tier 0, and potentially multiple Tier 1Bs serving different CC1
 96   (NANP) member countries. Entries in Tier 1 A will correspond to NPAs and will point to the Tier 1B that
 97   holds per –number delegations for the numbers within the given NPA.
 98   Tier 1 B Registries are required to deal directly with the CC1 ENUM Tier 1A Registry to arrange for the
 99   provisioning of NS records for the NPAs they serve into the CC1 ENUM Tier 1A Registry.
100   CC1 ENUM Tier1B registry(ies) will be required to establish a business relationship with the CC1 ENUM
101   Tier 1A Registry prior to registering any NPA in e164.arpa. The nature of the business relationship will be
102   defined by the CC1 ENUM LLC embodied in a Registry agreement, and will be the same for all CC1
103   ENUM Tier1B registry(ies). This is necessary to ensure that each CC1 ENUM Tier1B registry’s records
104   are properly maintained and that only the assignee of the NPA which has been designated to participate in
105   ENUM by the national administration in charge of the NPA in question can register it into Tier 1A.
106   ENUM Registrars, the entities that accept registration requests from number assignees, will, in turn, be
107   required to establish a business relationship with the CC1 ENUM Tier1B registry(ies) prior to registering
108   any telephone number, in e164.arpa.
109   The nature of the business relationship between the Tier 1B and the ENUM registrars will be defined by
110   the contracting entity, embodied in a Registry-Registrar agreement, and will be the same for all ENUM
111   Registrars for a given NPA entered into Tier 1A. This is necessary to ensure competitive equity between
112   registrars in Tier1B and to ensure that ENUM Registrant’s records are properly maintained and that the
113   assignee of the E.164 telephone number has decided to participate in ENUM. Entries in the Tier 1B
114   nameservers point to the nameservers of the Tier 2 provider for a given E.164 number. The Tier 2
115   Provider for an E.164 number maintains the actual NAPTR records that contain URI’s (Uniform Resource
116   Identifiers) for specific communication services, and the Application Service Provider (ASP) uses these
117   records to provide those services to the number assignee (Registrant)
118
119   Editor’s Note: Corrected Figure 1 below can be pasted from Tier 1a doc – labels fixed there




      1
           The instructions regarding operations       of   the       domain   e164.arpa   can   be   found   at   the   URL:
      http://www.ripe.net/rs/enum/instructions.html,
      The ITU-T TSB evaluates delegation requests. Information on how TSB will handle ENUM requests can be found under the
      bullet "Interim Procedures" at the ITU-T Web site at: http://www.itu.int/ITU-T/inr/enum/ .
      .



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                                                                                     “.”           and
           International                                                  Root       .arpa



                                                                                     e164.arpa
                                                                         Tier 0



           Country Code 1                                                            1.e164.arpa
                                                                        Tier 1A
                                             NPA Data



           Individual                    Authentication &
                                         Validation Entities
           E.164 zone(s)



                                                                                     a.p.n.1.e164.arpa
                                                                         Tier 1B
                        Registrant           Registrar
                                                                        Registry




                                                                         Tier 2
                                                                        Provider




                                                               Application Service Provider

120
121                                  Figure 1 - ENUM Functional Architecture
122

123   SECTION 5.0              OPERATIONAL & INFRASTRUCTURE REQUIREMENTS
124   Ed. numbering in this section needed fixed]
125   This section provides requirements for the operation and infrastructure of the ENUM Tier 1B registry.
126   Service Level Requirements are contained in Section 6.0.
127

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128   5.1     Registry Database
129   The Registry database is the central repository for all objects concerning ENUM domain name
130   registrations in an ENUM Tier 1B Registry. The three primary objects associated with an ENUM Tier 1B
131   registration are: domain, host and contact. It is critical that a Registry database operate in a responsive and
132   robust manner.
133   An ENUM Tier 1B Registry should describe how it would meet the following requirements for an ENUM
134   Registry database, and it should provide estimates of demand if necessary. (See SLR Section)
135   An ENUM Tier 1B Registry shall follow the “thick registry” model as detailed in Section 5.3 below.A
136   Registry database:
137         Shall be sized to accommodate the expected demand at initial launch, and to support growth
138          without interruption as ENUM matures.
139         Shall be able to perform transactions at a rate that meets the needs of the ENUM users.
140         Shall maintain its performance based on agreed to service-level measurements, even as the number
141          of users, workload volume, or database size increases.
142         Shall maintain a high level of availability as required by SLR’s contained herein. An ENUM Tier
143          1B Registry bidder should describe what level of availability it believes is necessary; what amount
144          of scheduled maintenance is necessary; and how it would expect to meet the appropriate
145          availability level.
146         Shall be replicated and hosted in geographically dispersed data centers to achieve high availability
147          and facilitate data backup and recovery.
148
149   5.2  Shared Registration System (SRS)
150   An ENUM Tier 1B Registry will maintain the addresses of the nameservers of the Tier 2 providers in the
151   US ENUM name space and will have authority to communicate with the ENUM Tier 1A Registry.
152   An ENUM Tier 1B Registry is required to:
153           Allow concurrent operations from multiple ENUM Registrars.
154          Provide non-discriminatory services to each authorized ENUM Registrar to perform registration
155           related operations
156        Provide and conduct non-discriminatory registrar certification procedures
157        Support open standard interfaces between the ENUM Tier 1B Registry and authorized ENUM
158           Registrars
159        Support the “thick registry” model whereby contact information about ENUM domain name
160           registrations (ENUM Registrant, administrative, technical, etc.) is centrally stored.
161        Perform Zone data creation and maintenance necessary to update the zone data and information in
162           the local data stores
163        Support open standard interface(s)
164   5.3     Thick Registry Model
165   A thick registry is one in which all of the information associated with registered entities, including both
166   technical information (information needed to produce zone files) and social information (information
167   needed to implement operational, business, or legal practices), is stored within a central registry
168   repository. The Thick Registry will provide for centralized escrow transfers and lawfully authorized
169   access to the registry data. To protect the privacy of registrant information, public access to the thick
170   registry will be limited. Details for public access to registration data is found in Section 5.5.
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171              o Escrow – transfers. If a registrar goes out of business or experiences some other kind of
172                disaster that corrupts or destroys its data store, the data kept at the thick Tier 1B registry
173                can help transfer registrations to a different registrar, and help registrants keep their domain
174                names. Besides that, keeping registrant information at the Tier 1B registry helps registry
175                operators enforce the transfer policy, and may generally contribute to making the transfer
176                process run more smoothly.
177              o Lawful Access. Because all needed information is held at the Tier 1B, response to lawful
178                access inquiries is simplified.
179              o ContactInfo. Because all needed information is in the Tier 1B Registry, the Tier 1B rather
180                than each Registrar responds to ContactInfo queries. This provides a single destination for
181                queries and consistency in performance.
182   It is understood that technical information populated into the Tier 1B Registry DNS resource records is
183   intended to be publicly available for responses to DNS queries.
184
185   5.4    Zone Data
186   Zone data is typically a database file (or a collection of database files) consisting of the technical
187   information that the DNS requires to function correctly. Zone data generation is the term traditionally
188   used to describe the process of generating zone information from the Registry database, deploying it to the
189   primary server, and then propagating it out to the secondary servers. The latter two steps are also called
190   zone data propagation.
191   An ENUM Tier 1B Registry bidder must describe how it would meet the following requirements for zone
192   data operations:
193         The SRS/Registry Database shall provide means to generate the zone data from the Registry
194          database to reflect changes made through the ENUM Registry-ENUM Registrar interface as
195          defined in the Service Level Requirements (SLRs). .
196         The zone data, once generated by SRS/Registry Database, shall be reliably and securely
197          propagated to all ENUM Tier 1B nameservers with minimum delay.
198         The frequency of zone data generation and the delay of zone data propagation shall meet the SLR
199          requirements
200         Zone data generation and propagation procedures shall be carefully engineered so that they will
201          not adversely affect the normal ENUM Tier 1B Registry and nameserver operations.
202         Zone data distribution procedure should conform to appropriate IETF standards (see Section 2)
203         The ENUM Registrar to ENUM Tier 1B Registry SRS shall be the only automatic means by which
204          an ENUM Registrar can make changes to the ENUM domain names it sponsors without the need
205          for Registry personnel intervention.
206         The nameservers for an ENUM Tier 1B Registry shall be placed in geographically dispersed data
207          centers topically diverse connections to the broader internet to allow for maximum redundancy
208          against disaster and failures.
209         The registry database shall support logging and backup capabilities for all zone data updates.
210
211   5.5    ContactInfo
212   Instead of a conventional WHOIS service, a new query service known as ContactInfo will be provided for
213   ENUM. This service will provide a means of contacting the necessary entities for trouble resolution

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214   without compromising the privacy of the ENUM Registrant. It will also allow for appropriate disclosure
215   of ENUM Registrant information in alleged cases of fraudulent or illegal activity on the part of a ENUM
216   Registrant. An ENUM Tier 1B Registry bidder is required to describe how they would provide this service
217   to meet the needs of the communications industry and the public while safeguarding the personal
218   information of the ENUM Registrants.
219
220   The Tier 1B will respond to all lawful ContactInfo requests from appropriate authorities.
221   5.5.1 Introduction
222   This section describes specific requirements for the Tier 1B operator to maintain a ‘ContactInfo’ database.
223   Also included in this section are the following: how the database should be operated, and what
224   information should be publicly accessible.
225   5.5.2 Need for ContactInfo Databases
226       1. There is a need for the Tier 1B Operator to maintain ContactInfo databases associated with ENUM
227          registrations.
228       2. The appropriate technology for maintaining public access to such ContactInfo should be the IRIS
229          protocol developed by the CRISP Working Group.
230       3. There is a requirement on the TIER 1B operator to maintain such a database in a manner known as
231          the “Thick Registry” where the TIER 1B Registry operator maintains the authoritative database of
232          registration information obtained from all Registrars.
233       4. The information from that database that could be made publicly accessible is a matter of policy for
234          the CC1 ENUM LLC to determine, to ensure compliance with privacy regulations and best
235          practices.
236
237   5.5.3 General ContactInfo Requirements
238   The general requirements for the ContactInfo database are:
239      1. Mining Prevention: providing some technical means to discourage data mining of the information
240          base
241      2. Standard and Extensible Schemas
242      3. Level of access: not all data need be equally accessible by all users of the service
243      4. Client processing: facilitating the creation of client software that can automatically extract relevant
244          details from the services responses
245      5. Optional Decentralization: the protocol must not require that all data be aggregated in some central
246          repository in order to provide service
247      6. Authentication Distribution: Editor’s note – this item is unclear - more clarification is necessary       Formatted: Highlight
248          the protocol itself must not require individual service operators to participate in a single standard
249          authentication system                                                                                    Formatted: Highlight
250      7. Lookups: the protocol must allow a nameserver lookup given a fully qualified host name or IP
251          address of a name server
252      8. Searches: The protocol should provide for flexible access by authorized entities while limiting
253          public queries to searches by full telephone number only.
254      9. Result Set Limits: the protocol must include provisions for allowing a server operator to express a
255          client search limit
256   ContactInfo Databases must be policy neutral

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257          a.   Access can be anonymous and or authenticated
258          b.   Data can be given to some users and/or not to others
259          c.   Trust can be based locally regionally, globally or all of the above
260          d.   Information can be centralized distributed or centrally indexed but distributed or all of the
261               above
262
263   Contact-Info Databases should use modern Authentication and Authorizations methods to control access             Formatted: Highlight
264   by Registry personnel, Registrars, and querying parties.                                                         Formatted: Highlight

265          a. Authentication: passwords, one time passwords, digital certificates, references                        Formatted: Highlight

266          b. Authorization: user based, sequence based, chain based, attribute based, time based, refer based.      Formatted: Highlight

267
268   5.5.4 Data Collection Requirements and ContactInfo Data Access
269   The Tier 1B operator will ultimately accredit various entities to perform the function of ENUM Registrars.
270   Those Registrars will as part of the registration process collect a variety of data associated with ENUM
271   registrations which may include the registrant, billing contacts, technical contacts, administrative contacts,
272   legal contacts, zone contacts, abuse contacts, and security contacts. The data that can be collected will
273   ultimately be determined by the ENUM LLC as a matter of policy.
274
275   ENUM accredited Registrars will ultimately transmit copies of specified data for each registration to the
276   Tier 1B operator for maintenance under the concept of a “thick Registry”.
277
278   The Tier 1B operator will then take portions of the data; such as Registrar contact data and populate an
279   IRIS database with that information for public access. What data is to be publicly accessible is a matter of
280   policy to be determined by the CC1 ENUM LLC.
281
282   Below, are the recommended data elements that should be included in the Zone ContactInfo. This
283   information is pertinent to the Tier 2 that stores the actual NAPTR records. The data elements that are
284   marked as public must be made available to all queries. All data in the database must be true and accurate.
285   The use of proxied data is not allowed.
286
287   Table 2 - Zone Contact Data Elements
      Data Element                         Private     Public      Example
      Domain Name                                      X           4.5.6.7.5.5.5.3.2.1.1.e164.arpa
      Domain ID                                        X
      Domain Status                                    X           REGISTRAR-LOCK
      Domain Updated Date                              X
      Domain Expiration Date                           X

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      Registrar Name                                   X
      Registrar URL                                    X
      Last Updated by Registrar                        X
      Last Transferred                                 X
      Name Server ID                                   X
      Name Server Name                                 X            BAY-W2.ACME.FOO
      Name Server URL                                  X            Iris:ereg1//t1b.us/host/bay-
                                                                    w2.acme.foo
      Name Server Status                               X
      Name Server Association Status                   X
      Name Server IP Address                           X
      Name Server Creation Date                        X
      Name Server Last Transfer Date                   X
      Name Server Authorization                        X                                                              Formatted: Highlight

      Information
      Tier 1B Name                                     X
      Tier 1B URL                                      X
      Tier 1B Name Server Name                         X
288
289    Below are the recommended data elements that should be included in the Registrar ContactInfo. The data
290   elements that are marked as public must be made available to all queries All data in the database must be
291   true and accurate. The use of proxied data is not allowed. The data elements that are marked as private
292   must be secured in the ContactInfo database and only available to queries that have the appropriate
293   authorization. The registrant has the right to change the default data elements that are marked as private to   Formatted: Highlight
294   public at their discretion. If a data element is marked optional, then there is no requirement for populating
295   those fields. These fields should be populated with role-based information (e.g. email address
296   abuse@xyz.com)
297
298   Table 3 - Registrar Contact Data Elements
      Data Element                             Private     Public        Example
      Registrar Name                                       X
      Registrar Address                                    X

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Tier 1B Technical and Operational Requirements        CC1 ENUM LLC TAC-15.00001-2005


Registrar Phone Number                           X
Registrar URL                                    X
Registrar Admin. Contact Name                    X
Registrar Admin Contact Phone                    X
Number
Registrar Admin Contact Email                    X
Admin Contact Name                    X
Admin Contact Phone Number            X
Admin Contact Email                   X
Billing Contact Name                  X
Billing Contact Phone Number          X
Billing Contact Email                 X
Technical Contact Name                X
Technical Contact Phone Number        X
Technical Contact Email               X
Registrant Name                       X
Registrant Company Name               X
Registrant Address                    X
Registrant Contact Phone Number       X
Registrant Contact Email              X
Legal Contact Name (Optional)         X
Legal Contact Phone Number            X
(Optional
Legal Contact Email (Optional)        X
Abuse Contact Name (Optional)         X
Abuse Contact Phone Number            X
(Optional)
Abuse Contact Email (Optional)        X
Security Contact Name (Optional)      X

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      Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


      Security Contact Phone Number             X
      (Optional)
      Security Contact Email (Optional)         X
299
300   5.5.5 Privacy Considerations
301   ENUM Registry maintains a full and complete copy of all relevant data associated with ENUM
302   registrations in accordance with the requirement for a “thick Registry”, it is anticipated that Registrars will
303   handle normal and routine inquiries about registrants. Those making inquiries about existing registrations
304   should be referred to the ContactInfo data query mechanism. ENUM Registrars and registries will comply
305   with applicable regulations on the collection of personally identifying information and must disclose the
306   reasons for the collection and publication of such data to their applicants.
307   It is anticipated that personally identifying registrant information associated with ENUM would not be
308   made publicly available through the ContactInfo data query mechanism; however, such data could be
309   made available to authorized entities (such as Law Enforcement agencies) under appropriate
310   authentication and authorization procedures.                                                                      Formatted: Highlight
                                                                                                                        Formatted: Highlight
311
312   Registrants may choose to have specific ContactInfo data fields, that would otherwise be marked as
313   private, made available through the ContactInfo data query mechanism. The Registry-Registrar interface
314   SHOULD be able to flag appropriate fields for the Registry to publish in a separate registrant info field.
315
316   In certain special cases where the registrant chooses to manage its own DNS infrastructure the registrant
317   would also be the zone contact. Under these circumstances, the requirement for publishing zone contact
318   data may override personal privacy considerations. In those cases, the registrant will be notified via an
319   appropriate disclosure of the circumstances and necessity to publish such data.
320   Bidders need to address how they will comply with privacy and other regulations (ContactInfo) where
321   they either store the data or if required where the data is originated. Example – CA privacy regulations
322   differ from other states.
323
324   5.5.6 Recommendation
325   It is recommended that, Registrar contact, zone contact and zone administration contact data always be
326   made publicly available and, optionally registrant information data at the explicit request of the registrant.
327
328   5.5.7 Escrow Requirement
329   An escrow agreement for all Registry-Registrar data contained within the ContactInfo database between
330   the Tier 1B Registry operator, an appropriate escrow service provider, and the CC1 ENUM LLC will be
331   essential to ensure business continuity and stability of 1.e164.arpa.




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332
333   5.6     Security (Section replaced with revised text)
334   A Tier 1B must secure both Registry operations and data. A Registry shall conduct comprehensive threat
335   analyses on all parts of the Registry system to identify the vulnerable points and the types of security
336   attacks. Based on the analyses, the Registry shall define and implement multi-tiered procedures that
337   provide security protections to all parts of the Registry system.
338   A Tier 1B is required to protect Registry system access from all forms of abuse, fraud or security
339   breaches. In addition, a Tier 1B must follow any and all commercial practices used to protect credit card
340   information (Gramm-Leach-Bliley Act).
341   5.6.1   Operational System Security
342          Protection/Prevention of compromise of the systems hosting or managing Tier 1B
343          Protection from Denial of Service attacks (internal & external)
344          Requirements for maintaining security updates for all software
345          Security (integrity, authenticity) of communications between the components of the Tier 1A and
346           1B service (name servers, registry, etc)
347          Encryption requirements
348          Authentication & Authorization requirements                                                               Formatted: Highlight

349          Requirements on ISPs providing connectivity for Tier 1B                                                   Formatted: Highlight

350   5.6.2 Physical Security
351          The Tier 1B Registry shall employ a variety of physical security systems to ensure that
352           unauthorized personnel have no access to sensitive equipment and/or data.
353          All servers containing any sensitive data shall be physically secured so that only a controlled list of
354           people can obtain access.
355          The hosting centers shall be secured so that no access to the internal networks is possible for
356           unauthorized persons. All internal networks shall be isolated from public access, and external
357           Internet links shall be firewall-protected to prevent intruders from gaining access.
358          Physical precautions inside the server rooms shall include movement detectors (using infra-red or
359           similar means) to alert security personnel should an intruder gain access to a secured location.
360           Alarms will be fitted to all doors and windows, which open into or out of a restricted area.
361          The doors and windows shall be secure enough to withstand a reasonable amount of force, and
362           damage to doors or windows shall also trigger the alarms.
363          Security staff shall be present at all times, and should have sufficient training to enable them to
364           correct most problems. Appropriate personnel shall also be contacted when necessary to help
365           contain the situation.
                                                                                                                        Formatted: Highlight
366          Access to the server room shall be controlled by a two-factor authentication system. An
367           authorized individual shall require both an authorized access token and a valid PIN or passcode to
368           gain physical access to the servers. Any use of an access token shall be logged and such logs shall
369           be archived for at least 1 year.
370           Should an access card be lost or stolen, it is the responsibility of each employee to report this in a
371           timely manner so that the lost card may be deactivated and a new card issued. Closed circuit TV
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372          shall be in place at all sites for identification purposes should an unauthorized person attempt to
373          use a stolen access card. Personnel authorized temporary access to the servers, but not
374          permanently issued access tokens, shall be escorted by permanent staff while within the restricted
375          space.
376         24-hour access to the data center by authorized personnel shall not be hindered by aforesaid
377          security measures.
378   5.6.3 Network Security
379         User identification, passwords, and IP range checking shall be required for all restricted services
380          (which includes services other than DNS resolution.).
381         Secure File Transfer Protocols shall be used for all "file transfers" between the ENUM Tier 1Bs
382          and the Tier 1A Registry [RFC 2228, RFC 2577, or similar equivalent].
383         System maintenance shall be performed via SSL or similarly secured connections. Telnet servers
384          shall not be operational on any system on the DNS network due to their security risk.
385         Each system shall operate a very restricted set of basic services in the relevant sections for DNS,
386          ContactInfo, FTP, SCP, and WWW services. Systems shall be firewall-protected in hardware, and
387          IP filtering rule sets shall be in place to reject packets that are not appropriate for a particular host.
388         DNS servers shall run a minimum set of applications and system services, in addition to the DNS
389          server software.
390         Checks shall take place on all DNS servers to ensure that data integrity is maintained.
391         Services which are IP-restricted shall have each IP address specified individually. Network
392          addresses are not to be used, since this adds the risk that a host could masquerade as a spare IP
393          address on an internal network.
394         Packet "sniffers", designed to check all traffic passing through a network interface, shall be in
395          place to catch suspicious traffic. These will actively scan for incorrect or illegal packets, and alert
396          the security team. Packet sniffers may also give some indication of the source of an attack, which
397          would be of use in preventing that attack in the future.
398         Network security shall be verified by a security audit process, which involves scanning from an
399          internet-connected host all TCP and UDP ports on servers operated by the Tier 1B Registry.
400         Security tests shall be performed on the DNS Servers and a corresponding report audited on a
401          regular basis. Each test will attempt to take advantage of a security flaw using a specific attack
402          method, and the result shall be reported. Here is an non-exhaustive list of known attacks:
403             o Buffer overflow exploit
404             o Missing format string exploit
405             o Packet fragmentation attack
406             o Data flooding (SMURF ping, etc.)
407             o DNS spoofing
408             o FTP spoofing
409             o Dictionary passwords
410             o Replay attack
411             o Denial of service (DoS)
412   Some of these attacks may not be applicable to all services.
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      Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


413   The Tier 1B Registry shall update the tests used when new vulnerabilities, security flaws, or techniques
414   are discovered. The updates shall be based on information from security-related mailing lists, websites,
415   newsgroups, and industry best practices.
416   5.6.4 Backup Security
417        Backup shall be performed through a secure network on the main Tier 1B Registry site.
418        The Tier 1B Registry shall use an encryption scheme for the backup of sensitive data as a part of
419         the implementation process.
420        Backup information shall be stored in a secure off-site location.
421   5.6.5 Security Audit and Reporting
422   The Tier 1B Registry shall run a security audit on a regular basis but no less often than once per quarter.
423            The Tier 1B Registry shall run a security audit to test all systems for configuration issues and
424             security vulnerabilities. Results of this audit should then form the basis of a quarterly security
425             audit report, which will also detail any recommendations for system alterations and a timeline for
426             remediation.
427            All security breaches are to be reported to the Registry management responsible for security and to
428             the CC1 ENUM LLC. Should a serious breach be detected, some services may be suspended
429             temporarily if this is necessary to ensure the reliability of the Tier 1B Registry data. Bidders
430             should detail the hierarchy of breach severity and escalation procedures.
431
432   The Tier 1B Registry shall provide a monthly security status report to the CC1 ENUM LLC, including a
433   list of security incidents categorized by severity.
434
435   5.7    Caching Requirements
436   This section refers to the minimum requirements for caching. Bidders should propose what they believe
437   are appropriate values for name server caching requirements for time to live (TTL).
438
439   5.8     System Turn-Up and Testing
440   Bidders need to provide a detailed start-up project implementation and system test plan, including
441   proposed test cases, to support the Tier 1B registry system turn-up. Bidders are required to provide high
442   level start-up project implementation timelines and plans as part of their bid proposal.
443
444   5.9       Beta Period
445   The LLC TAC recommends a Beta test period as a critical final step prior to successful commercial
446   deployment. The bidder should propose an appropriate plan and set of parameters for Beta testing.
447
448   5.10 Operations and Maintenance
449   ENUM is envisioned as a wholly robust and high-availability service. An ENUM Tier 1B Registry bidder
450   should describe how it would operate and maintain the various aspects of the Registry at a high service
451   level. It should include descriptions of how it intends to ensure system outage prevention, system
452   recovery procedures, and technical support. Bidders should also include descriptions of how they intend

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      Tier 1B Technical and Operational Requirements                        CC1 ENUM LLC TAC-15.00001-2005


453   to ensure system reliability, system recovery procedures, and technical support, including arrangements
454   for power, HVAC (Heating, Ventilating, and Air Conditioning), and fire systems.
455   An ENUM Tier 1B Registry bidder should also describe how it intends on meeting the following
456   operations and maintenance requirements.
457   A Registry shall:
458   Provide a comprehensive description of how they will manage their network operations center to address
459   the following:
460      Trouble reporting and ticket tracking:
461              o How Tier 2 and registrars can submit trouble tickets and receive status reports.
462              o Tracking of internal performance metrics.
463      Technician support 24x7x365:
464              o Internal hand off between different technician levels (1, 2, etc).
465              o Internal hand off between different support groups.
466              o Trouble referral and tracking to third party entities.
467      Monitoring of servers and network connections
468      Intrusion detection for both physical and network security
469      Provide technical liaison with the Tier 1A entity for issues related to delegation authority over NPAs
470       within 1.e164.arpa
471      Provide a description on how escalations will be handled and communicated to the Tier 2 and
472       registrars.
473      Describe disaster recovery plans to restore critical components of the system within 48 hours in the
474       case of a force majeure event. No single event should result in an outage of DNS resolution service
475       itself.
476      Describe how the network operations center will perform internal monitoring as a means to verify that
477       the availability and performance measurements in this document are being met and provide reports on
478       a monthly basis to the CC1 ENUM LLC.
479      Describe information retention practice to ensure that the summary data is kept for the life of the
480       contract and that valid ticket data is kept on a rolling thirteen month basis in the trouble reporting
481       system.
482
483   5.11 System Recovery Procedures
484   System recovery refers to the process of bringing the system back to normal operations after the system
485   has gone down due to failures. The goal is to minimize downtime, data loss and adverse impacts on other
486   systems.
487   An ENUM Tier 1B Registry bidder should describe how it intends on meeting the following operations
488   and maintenance requirements.
489   A Registry shall:

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      Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


490         Employ recovery procedures for failures that occur at different parts of the Registry system, such
491          as:
492              - Data center failures
493              - Database failures
494              - Server failures
495              - Network failures
496         Specify how redundancy and highly-available Registry architecture will help expedite recovery
497          from these failures.
498         Specify how backup and escrow data will be used for recovery from these failures.
499
500   In addition, a Registry should:
501         Provide a time estimate for recovering from each type of failure.
502         Log each system outage and document system problems that could result in outages.
503
504   5.12 Database Escrow and Backup
505   The goal of any data backup/recovery procedure is full recovery from failures without any loss of data.
506   Data backup strategies handle system hardware failures (e.g., loss of a processor or one or more disk
507   drives) by reinstalling the data from daily backups, supplemented by the information on the “before” and
508   “after” backup files that the database creates. In order to guard against loss of the entire facility because
509   of fire, flood, or other natural or man-made disaster, off-site escrow of the Registry data should be
510   provided in a secured storage facility.
511   An ENUM Tier 1B Registry bidder shall specify:
512             The frequency and procedures for data backup
513             The frequency and procedures for data escrow
514             The hardware and software systems used for data backup
515             The procedures for retrieval of data and rebuild of the database
516             Who should have access to the escrowed data and in what circumstances it would be accessed
517              by an entity other than itself
518             Testing process and schedule to verify the escrow and database backup procedure
519             The data escrow arrangements, including any contractual arrangements with Third parties
520
521   In addition, the following safeguards are required of ENUM Tier 1B Registry bidders:
522         The data backup and escrow procedures shall not impede the overall performance of normal
523          Registry operations
524         The data backup and recovery procedures shall minimize the data loss and service interruption of
525          the Registry
526
527   5.13 Technical and Other Support
528   [ed. Kevin McCandless will interate into Section 5.10 re-work]
529   The Tier 1B Registry must provide technical support to the Tier 1A for resolution of issues with respect to
530   the delegation of authority over a country’s NPAs within 1.e164.arpa.The Tier 1B Registry must provide

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      Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


531   technical and other support to Registrars and Tier 2 providers from an appropriate customer help desk
532   with a well-defined escalation policy.
533
534   The RFP should require the Registry bidders to describe how they would fulfill these requirements
535
536   5.14 Other Responsibilities
537   [ed. Kevin McCandless will interate into Section 5.10 re-work]
538   The Tier 1B Registry will use commercially reasonable efforts to restore the critical components of the
539   system within 48 hours in the case of a force majeure event. No single event should result in an outage of
540   DNS resolution service itself.
541   Except in the case of nameserver performance requirements, the Tier 1B Registry will perform internal
542   monitoring as a means to verify that the availability and performance measurements of this document are
543   being met.
544   Beginning no later than 120 days after the commencement-of-service date, the Tier 1A Registry will
545   provide preliminary monthly system performance and availability reports to the contracting entity.
546   The Tier 1B Registry will provide service availability percentages during each Performance Measurement
547   Period as listed in this document.
548
549   5.15 Transition
550   (Editor’s Note: Need to add text regarding operations, and system transition to new vendor)
551   The Tier 1B Registry must provide a plan for transitioning of the Registry to a new provider should that be
552   required under the terms of the contract. The plan must ensure no disruption of ENUM DNS service.
553
554   5.16 Accommodation of Future Internet Architectural Enhancements
555   Bidders must respond with plan to accommodate IPv6 per RFC 2874.
556   Bidders must respond with plan to accommodate DNSSEC per RFC XXXX.

557

558   SECTION 6.0           SERVICE LEVEL REQUIREMENTS (SLR)
559   Editor’s Note – Additional details to be provided by Richard, Tim and Kevin
560   Editor’s Note: Section needs to be synchronized with Tier 1A along with adding additional SRS
561   requirements.
562   This section provides requirements for timeliness and reliability of the ENUM Tier 1B Registry. It also
563   provides metrics for measuring reliability.
564
565   (Editor’s Note: New Definitions proposed need to review Section 3 for additions
566


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567   6.1     Performance Specifications
568   Registry operator shall use commercially reasonable efforts to provide Registry Services for the Registry
569   TLD. The Performance Specifications defined below establish the basis for the Service Level Exception
570   Credits ("SLE Credits") provided for in a Registry Agreement. These Performance Specifications also set
571   forth Registry Operator's obligations directly to the Tier 1B under the Registry Agreement.
572
573   6.2     Service Availability
574   Service Availability is defined as the time, in minutes, that the Registry's Core Services are responding to
575   its users. Service is unavailable when a service listed in the Matrix is unavailable to all users, that is, when
576   no user can initiate a session with or receive a response from the Registry ("Unavailability"). Service
577   Availability is a C1 priority level.
578
579   Service Availability is measured as follows:
580   - Service Availability % = {[(TM - POM) - UOM] / (TM - POM)}*100 where: TM = Total Minutes in
581      the Service Level Measurement Period (#days*24 hours*60 minutes)
582   - POM = Planned Outage Minutes (sum of (i) Planned Outages and (ii) Extended Planned Outages
583      during the Service Level Measurement Period)
584   - UOM = Unplanned Outage Minutes (Difference between the total number of minutes of Unavailability
585      during the Service Level Measurement Period minus POM.
586
587   Upon written request, and at the sole expense of the requesting Registrar(s), Registry Operator will retain
588   an independent third party (to be selected by Registry Operator with the consent of the Registrar(s) to
589   perform an independent calculation of the UOM). The frequency of this audit will be no more than once
590   yearly during the term of the agreement between Registry Operator and the Registrar. This calculation is
591   performed and the results reported for each calendar month for SRS and WHOIS availability and for each
592   calendar year for Nameserver availability.
593
594   6.3    Service Availability - SRS
595   Service Availability as it applies to the SRS refers to the ability of the SRS to respond to Registrars that
596   access and use the SRS through the EPP or designated protocol.. SRS Unavailability will be logged with
597   the Registry Operator as Unplanned Outage Minutes. The committed Service Availability for SRS is
598   99.95% and the Service Level Measurement Period is monthly.
599
600          1. Service Availability Nameserver Service
601          Service Availability as it applies to the Nameserver refers to the ability of the Nameserver to
602          resolve a DNS query from an Internet user. Nameserver Unavailability will be logged with the
603          Registry Operator as Unplanned Outage Minutes. The committed Service Availability for
604          Nameserver is 100% and the Service Level Measurement Period is annually.
605
606          2. Total Nameserver Availability
607          In addition, no less than 80% of nameserver sites will be available at any given time. For purposes
608          of this SLA, "nameserver site" shall mean distinct locations that host a .NET nameserver(s). For
609          example Sterling, VA, USA and Tokyo, Japan are 2 nameserver sites.
610
611          3. Service Availability


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      Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


612          WHOIS = 100%. Service Availability as it applies to WHOIS refers to the ability of users to
613          access and use the Registry's WHOIS service. WHOIS Unavailability will be logged with the
614          Registry Operator as Unplanned Outage Minutes. The committed Service Availability for WHOIS
615          is 100% and the Service Level Measurement Period is monthly.
616
617   6.4     Planned Outage
618   High volume data centers like the Registry require downtime for regular maintenance. Allowing for
619   regular maintenance ("Planned Outage") ensures a high level of service for the Registry. Planned Outage
620   Performance Specifications are a C4 priority level.
621
622          1. Planned Outage Duration
623          The Planned Outage Duration defines the maximum allowable time, in hours and minutes that the
624          Registry Operator is allowed to take the Registry Services out of service for regular maintenance.
625          Planned Outages are planned in advance and the Registrar community is provided warning ahead
626          of time (Editor’s Note: What is the minimum notification period). This Performance Specification,
627          where applicable, has a monthly Service Level Measurement Period. The Planned Outage Duration
628          for the Core Services is as follows:
629          - Planned Outage Duration -- SRS = 8 hours (480 minutes) per month, can be split between 2
630              days;
631          - Planned Outage Duration -- Nameserver = (no planned outages allowed); and
632          - Planned Outage Duration - WHOIS = (no planned outage allowed).
633
634          2. Planned Outage Timeframe
635          The Planned Outage Timeframe defines the hours and days in which the Planned Outage can
636          occur. The Planned Outage Timeframe for the Core Services is as follows:
637          - Planned Outage Timeframe -- SRS = 0500-1300 UTC Sunday;
638          - Planned Outage Timeframe -- Nameserver = (no planned outages allowed); and
639          - Planned Outage Timeframe - WHOIS (no planned outages allowed).
640
641          3. Planned Outage Notification
642          The Registry Operator must notify all of its Registrars of any Planned Outage. The Planned Outage
643          Notification Performance Specification defines the number of days prior to a Planned Outage that
644          the Registry Operator must notify its Registrars. The Planned Outage Notification for the Core
645          Services is as follows:
646          - Planned Outage Notification Timeframe -- SRS = 7 days;
647          - Planned Outage Notification Timeframe -- Nameserver = (no planned outages allowed); and
648          - Planned Outage Notification Timeframe - WHOIS (no planned outages allowed).
649
650   6.5     Extended Planned Outage
651   In some cases such as software upgrades and platform replacements an extended maintenance timeframe
652   is required. Extended Planned Outages refers to additional hours that can be added to a monthly planned
653   outage. Extended Planned Outages will occur less frequently than Planned Outages. Extended Planned
654   Outage Performance Specifications are a C4 priority level.
655
656          1. Extended Planned Outage Duration


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      Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


657          The Extended Planned Outage Duration defines the maximum allowable time, in hours and
658          minutes that the Registry Operator is allowed to take the Registry Services out of service for
659          extended maintenance. Extended Planned Outages are planned in advance and the Registrar
660          community is provided warning ahead of time. Extended Planned Outage periods are in addition to
661          any Planned Outages during any Service Level Measurement Period. This Performance
662          Specification, where applicable, has a Service Level Measurement Period based on a calendar
663          year. The Extended Planned Outage Duration for the Core Services is as follows:
664            - Extended Planned Outage Duration - SRS = 8 hours (480 minutes) per calendar year;
665            - Extended Planned Outage Duration - Nameserver = (no planned outages allowed); and
666            - Extended Planned Outage Duration - WHOIS (no planned outages allowed).
667
668          2. Extended Planned Outage Timeframe
669          The Extended Planned Outage Timeframe defines the hours and days in which the Extended
670          Planned Outage can occur. The Extended Planned Outage Timeframe for the Core Services is as
671          follows:
672          - Extended Planned Outage Timeframe - SRS = 0100 - 1700 UTC Saturday or Sunday;
673          - Extended Planned Outage Timeframe - Nameserver = (no planned outages allowed); and
674          - Extended Planned Outage Timeframe - WHOIS (no planned outages allowed).
675
676          3. Extended Planned Outage Notification
677          The Registry Operator must notify all of its Registrars of any Extended Planned Outage. The
678          Extended Planned Outage Notification Performance Specification defines the number of days prior
679          to an Extended Planned Outage that the Registry Operator must notify its Registrars. The Extended
680          Planned Outage Notification for the Core Services is as follows:
681          - Extended Planned Outage Notification - SRS = 28 days;
682          - Extended Planned Outage Notification - Nameserver =(no planned outages allowed); and
683          - Extended Planned Outage Notification - WHOIS (no planned outages allowed).
684
685   6.6    Processing Time
686   Processing Time is an important measurement of transaction-based services like the Registry. Processing
687   Time measures the quality of that service.
688
689   Processing Time refers to the time that the Registry Operator receives a request and sends a response to
690   that request. Since each of the Registry Services has a unique function, the Performance Specifications for
691   Processing Time are unique to each of the Registry Services. For example, a Performance Specification
692   for the Nameserver is not applicable to the SRS and WHOIS, etc.
693
694   Processing Time Performance Specifications are a C2 priority level. Processing Time Performance
695   Specifications have a monthly Service Level Measurement Period and will be reported on a monthly basis.
696   The Registry Operator will log the processing time for all of the related transactions, measured from the
697   time it receives the request to the time that it returns a response.
698
699      1. Processing Time Add, Modify, Delete = 1000 milliseconds for 95%.


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      Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


700      -   Processing Time - Add, Modify, and Delete is applicable to the SRS as accessed through the EPP
701          protocol defined in Appendix C. It measures the processing time for add, modify, and delete
702          transactions associated with domain names, nameservers, contacts, and Registrar profile
703          information.
704      -   The Performance Specification is 1000 milliseconds for 95% of the transactions processed. That is,
705          95% of the transactions will take 1000 millisecond or less from the time the Registry Operator
706          receives the request to the time it provides a response.
707
708      2. Processing Time--Query Domain
709      - Processing Time - Query Domain is applicable to the SRS as accessed through the designated
710         protocol. It measures the processing time for an availability query of a specific domain name.
711      - The performance specification is 500 milliseconds for 95% of the transactions. That is, 95% of the
712         transactions will take 500 milliseconds or less from the time the Registry Operator receives the
713         query to the time it provides a response as to the domain name's availability.
714
715      3. Processing Time--WHOIS Query
716      - Processing Time - WHOIS Query is only applicable to the WHOIS. It measures the processing
717         time for a WHOIS Query.
718      - The Performance Specification is 1000 milliseconds for 95% of the transactions. That is, 95% of
719         the transactions will take 1000 milliseconds or less from the time the WHOIS receives a query to
720         the time it responds.
721
722      4. Processing Time--Nameserver Resolution
723      - Processing Time - Nameserver Resolution is only applicable to the Nameserver. It measures the
724         processing time for a DNS query.
725      - The Performance Specification is 250 milliseconds for 95% of the transactions. That is, 95% of the
726         transactions will take 250 milliseconds or less from the time Nameserver receives the DNS query
727         to the time it provides a response.
728
729      5. Update Frequency
730      There are two important elements of the Registry that are updated frequently and are used by the
731      general public; Nameserver and WHOIS. Registrars generate these updates through the SRS. The
732      SRS then updates the Nameserver and the WHOIS. These will be done on a batch basis. Update
733      Frequency Performance Specifications are a C3 priority level.
734
735      The committed Performance Specification with regard to Update Frequency for both the Nameserver
736      and the WHOIS is 10 minutes for 95% of the transactions. That is, 95% of the updates to the
737      Nameserver and WHOIS will be effectuated within 10 minutes. This is measured from the time that
738      the registry confirms the update to the Registrar to the time the update appears in the Nameserver and
739      WHOIS. Update Frequency Performance Specifications have a monthly Service Level Measurement
740      Period and will be reported on a monthly basis.
741      - Update Frequency--Nameserver = 10 minutes for 95%.
742      - Update Frequency--WHOIS = 10 minutes for 95%.
743
744   6.7     Cross-Network Nameserver Performance Requirements
745   Nameserver round-trip-time and packet loss from the Internet are important elements of the quality of
746   service provided by the Registry Operator. These characteristics, however, are affected by Internet
                                                         25
      Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


747   performance and therefore cannot be closely controlled by Registry Operator. Accordingly, these
748   requirements are not matters subject to Service Level Exceptions and credits under the Service Level
749   Agreement, but they are Registry Operator obligations in the Registry Agreement.
750
751   The committed Performance Specification for cross-network nameserver performance is a measured
752   round-trip time (RTT) of under 300 ms and measured packet loss of under 10%. Cross-network
753   nameserver performance measurements will be conducted by ICANN at times of its choosing, in the
754   following manner:
755
756   The measurements will be conducted by sending strings of DNS request packets from each of four
757   measuring locations to each of the .NET nameservers and observing the responses from the .NET
758   nameservers. (These strings of requests and responses are referred to as a "CNNP Test".) The measuring
759   locations will be 4 locations within the NANP. (Editor’s Note – locations within the country and or
760   NANP need to be specified)
761   - Each string of request packets will consist of 100 UDP packets at 10 second intervals requesting ns
762       records for arbitrarily selected .NET second-level domains, preselected to ensure that the names exist
763       in the Registry TLD and are resolvable. The packet loss (i.e. the percentage of response packets not
764       received) and the average round-trip time for response packets received will be noted.
765   - To meet the packet loss and round-trip-time requirements for a particular CNNP Test, all measured
766       RTTs must be less than 300 ms and these must be less than 10% packet loss.
767   - Any failing CNNP Test result obtained during an identified Core Internet Service Failure shall not be
768       considered.
769   - To ensure a properly diverse testing sample, Registry Operator will contract with a third party to
770       perform the test and provide the results to ICANN and the Registry Operator. The CNNP Tests at
771       varying times (i.e. at different times of the day, as well as on different days of the week). Registry
772       operator will be deemed to have failed to meet the cross-network nameserver performance requirement
773       only if the .NET nameservers persistently fail the CNNP Tests with no less than three consecutive
774       failed CNNP Tests to be considered to have persistently failed.
775   - In the event of persistent failure of the CNNP Tests, the Tier 1B will give the Registry Operator
776       written notice of the failures (with backup data) and Registry Operator will have sixty days to cure the
777       failure. Notice will also be sent to the CC1 ENUM LLC.
778   - If, following that opportunity to cure, the .NET nameservers continue to persistently fail CNNP Tests
779       and Registry Operator fails to resolve the problem after thirty days notice of the continuing failures,
780       Registry Operator will be deemed not to have met its obligations under the Registry Agreement.
781   - Sixty days prior to the commencement of testing under this provision, the Tier 1B will provide the
782       Tier 1A,Registrar’s and Tier 2 Registry Operator Editor’s Note – need to clarify who is being referred
783       to as registry operator with the opportunity to evaluate the testing tools and procedures to be used by
784       the Tier 1B. In the event that Registry Operator does not approve of such tools and procedures, the
785       Tier 1B will work directly with Registry Operator to make necessary modifications.
786
787   6.8    Responsibilities of the Parties
788   Except in the case of nameserver performance measurements, the Registry Operator will perform
789   monitoring from internally located systems as a means to verify that the availability and performance
790   measurements in this document are being met.
791



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      Tier 1B Technical and Operational Requirements                        CC1 ENUM LLC TAC-15.00001-2005


792   -   Beginning no later than 90 days post Commencement-of-Service Date, the Registry Operator will
793       publish preliminary weekly system performance and availability reports. Registry operator will use
794       best efforts to finalize these reports no later than 30 days after the preliminary reports are provided.
795   -   The Registry Operator will use commercially reasonable efforts to restore the critical systems of the
796       Core Services within 24 hours after the termination of a force majeure event and restore full system
797       functionality within 48 hours after the termination of a force majeure event. Outages due to a force
798       majeure will not be considered Service Unavailability.
799
800   6.9     Tier 1B Registry reporting to Registrar and LLC
801   The registry should make available regular reports for the registrars on the daily, weekly, and monthly
802   activity. The monthly level report should provide the necessary details for end of month billing. Further
803   more a monthly report on performance and major activities should be reported to the LLC.
804
805   6.9.1 Tier 1B Registry Reporting for Registrars
806   Registrars require easy-to-use tools and reports to assist them in managing their business. The registry
807   should provide daily, weekly, and monthly reports that are available to registrars via a secured file transfer
808   protocol (FTP) server. To assist registrars in their ability to monitor their registration activity throughout
809   the month, the Tier 1B registry should generate daily and weekly reports for each of our registrars, as
810   listed in Table 1 listed below.
811
812   Registrars are able to use these reports to monitor their registration activities and to reconcile their activity
813   to the monthly billing reports. These reports are published on the first day of each month and provide
814   registrars with a means to reconcile their monthly invoices to their transaction activities, listed below:
815
816   * Registrations (including deletions within the grace period)
817   * Transfers (including deletions within the grace period)
818   * Auto-renewals (including deletions within the grace period)
819   * Explicit Renewals (including deletions within the grace period)
820   * Restores
821   * Syncs
822   * Non-Refund Deletions
823
824   The monthly reports include the transactions for the previous month as well as the grace period deletes for
825   the previous month. The grace period deletions are flagged with a deletion date. The domains that are
826   deleted outside the grace period will continue to be listed on separate reports. These "non-refund" reports
827   include all deletions from the previous month that occurred outside the grace period, whether or not they
828   were added, renewed, auto-renewed, or transferred during that month or during a prior month.
829



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      Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


830   The reports reflect the actual activity for the period that affected the registrar deposit account. The
831   registrars receive one monthly invoice reflecting the counts for all billable activity for the month and the
832   detail behind the summary counts on the invoice are provided in the detail reports identified above. The
833   system associates a transaction ID with every transaction that occurs in the system. These transaction IDs
834   provide an audit trail of all financial transactions allowing registrars, as well as the Tier 1B personnel, to
835   easily trace activity during the audit process.
836
837   Table 1. Registrar Reports provided by Tier 1B

      Report Name                   Report Features
      Daily       Transactional Lists all RRP transactions that occurred on
      Registrar Report          previous day
      Daily Gaining and Losing Lists domains transferred in, transferred out,
      Transfer Report          or in pending transfer status
      Daily        AutoRenewal Lists all domain            names    auto-renewed
      Report                   previous day;
                                    provides domain name and expiration date
      Daily Restore Report          Lists all domain names restored by registrar
                                    previous day. Domains on this report must
                                    have Restore Report submitted through
                                    registrar tool within 7 days.
      Daily SYNC Report             Lists all domains that were synched
                                    previous day
      Daily Pending       Delete Lists all domain names in PendingDelete
      Report                     status;
                                    Published to all registrars so they can see
                                    what names are up for deletion;
                                    Lists the domain name and the date it is due
                                    for deletion.
      Weekly Domain Name Cumulative report of all domain names
      Report             managed by registrar;
                                    Lists domain name, create date, expiration
                                    date, and status.
      Weekly     Name     Server List all name servers managed by your
      Report                     business;
                                    Lists name server name and IP address.
      Weekly Domains Hosted Lists all domains hosted by your name

                                                           28
      Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


      by Name Server Report          servers;
                                     Lists name server and domain names.
      Monthly Billing Detailed
      Report
      Weekly Registrar Report

838
839   6.9.2 Tier 1B Registry Reporting to LLC
840   On a monthly basis the Tier 1B should provide a report to the LLC that provides details to their
841   performance and major activities. In table 2, is a list of recommended data to be reported.
842
843   Table 2 Monthly LLC report provided by Tier 1B

      Accredited Registrar Status.
      Service Level Agreement Performance
      TLD Zone File Access Activity
      Completed EPP interface software releases
      Domain Names Under Sponsorship – Per Registrar
      Name Servers Registered – Per Registrar
      Domain Names Registered by Registry Operator
      Contact Info Service Activity
      Total Monthly Contract Info Queries
      Total Monthly Domain Name Transaction Trend by
      Category
      Total Monthly Name Server Transactions by Category
      Total Monthly Name Server Write Transactions by
      Subcategory
      Average Daily Transaction Range
      E.164 Geographical Registrations Distribution
      Deleted Names - Per Registrar
      Restored Names - Per Registrar
      Violations of Registrar Restore Report - Per Registrar

                                                          29
      Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


      Other Information
        a)Total Monthly Transactions by Category
        b)Total Transactions by Month
        c)Registrations Distribution for reporting month


844
845   6.10 Connectivity (with Service Providers)
846   This section describes the requirements for connectivity of the ENUM Tier 1B registry with the Internet.
847   It can include items such as:
848       Multihoming requirements
849       Resilient/Redundant access
850       BGP Peering with ISPs
851
852   An ENUM Tier 1B Registry bidder shall propose service-level requirements it would expect to meet with
853   regard to operations of the ENUM Tier 1B Registry. This shall include the following items:
854         Registry database throughput – number of transactions per second
855         Registry database availability
856         Number of ENUM Registrar accounts
857         Number of concurrent ENUM Registrar-ENUM Registry connections
858         Frequency of zone data generation: rates per day, hour, minute
859         Zone data propagation delay: minutes, seconds
860         Number of nameservers required
861         Frequency of ContactInfo database generation: rates per day, hour, minute
862         ContactInfo query response time
863         ContactInfo query throughput – number of queries per second
864         ContactInfo database availability
865
866   6.11 Performance and Capacity
867   Performance requirements for ENUM Tier 1B Registry include:
868         Raw Throughput supported (e.g., queries per second)
869         Valid throughput (e.g., valid queries & responses per second)
870         Invalid throughput (e.g., how many invalid queries/second without affecting valid operation) ???
871         Average/Mean/… Query/Response delay
872         Registration performance requirements (registrations/unit time)
873         Zone data update frequency (e.g., 5 minute update frequency 95% of the time)
874         Cross-Network Nameserver Performance (as defined by ICANN)
875
876   Performance will be important. ENUM Tier 0 and ENUM Tier 1A Registries are likely to hold
877   information that is readily available from caches. However, ENUM Tier 1B Registry will hold phone
                                                           30
      Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


878   numbers and caches from ENUM Tier 1B Registry hits will not aggregate. For example, a cache of a
879   NPA will cover queries for all phone numbers in the NPA, but a cache of a single phone number will only
880   cover queries for that phone number. Thus the ENUM Tier 1B registry is likely to get more queries.
881   Another aspect of performance will be the query/response metrics as measured from sites around the
882   world. The ENUM Tier 1B Registry must support queries from locations all over the world with
883   acceptable performance.
884
885   6.12 ENUM Tier 1B Registry Performance Specifications
886   An ENUM Tier 1B Registry shall use commercially reasonable efforts to provide performance at the
887   levels set forth herein. (Editor’s Note: Should the Tier 1B bidder provide a proposed registry agreement
888   that outlines the minimum performance specifications)
889
890   6.12.1 DNS Service
891          Performance Specifications
892          •      The performance specification for DNS Queries is 300 milliseconds (ms) maximum round-
893                 trip time.
894          Availability
895          •      A DNS Point of Presence (PoP) is considered to be Available during a Sampling Period if
896                 it responds to DNS Queries within the performance specification for 95% of all Measured
897                 Transactions within that Sampling Period.
898          •      The DNS service is considered to be Available for a Sampling Period if over 99% of the
899                 queries submitted within that sampling period are responded to within the specified round-
900                 trip response time as specified.
901          •      The total unavailability of the SRS systems shall not exceed 5 minutes per calendar year.
902                 This represents 99.999% system availability. There shall be no simultaneous Planned
903                 Outage of SRS service at over half of the System's SRS PoPs.
904          •      The total unavailability of the DNS name service systems shall be 0%. This represents
905                 100% DNS name service availability. There shall be no simultaneous Planned Outage of
906                 DNS service at over half of the System's DNS name service PoPs.
907          •      Nameservers shall exceed 99.99% availability
908   6.12.2 Planned Outages
909   Planned Outages will not exceed four (4) hours per calendar week beginning at 0000 GMT Monday, nor
910   total more than eight (8) hours per month. Notwithstanding the foregoing, the Tier 1 Registry may incur
911   one (1) additional Planned Outage of up to eight (8) hrs. per month in duration for major systems or
912   software upgrades (Extended Planned Outages). In months in which Extended Planned Outages occur, no
913   other Planned Outages may occur.
914
915   6.12.3 Updates
916   The Update Time for the DNS service shall not exceed 5 minutes for 95% of all updates.
917
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      Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


918   6.12.4 Cross Network Nameserver Performance Requirements
919   The committed performance specifications for cross-network nameserver performance is a measured
920   round-trip time of less than 300 ms and measured packet loss of less than 10%. The cross-network
921   nameserver performance requirements of this subsection are in addition to the requirements of subsections
922   above. Cross-network nameserver performance (CNNP) measurements will be conducted by a neutral
923   third party, at times of its choosing, in the following manner:
924          •      The measurements will be conducted by sending strings of DNS request packets from each
925                 of four measuring locations, chosen by the neutral third party, to each of the Tier 2
926                 nameservers and observing the responses from the Tier 2 nameservers. The measuring
927                 locations will be four locations, which are geographically dispersed in the U.S. Time Zone.
928          •      Each string of request packets will consist of 100 DNS Queries at 10 second intervals
929                 requesting nameserver type resource records for arbitrarily selected ENUM Tier 1B
930                 Registry domains, preselected to ensure that the names exist in the Tier 1 Registry and are
931                 resolvable. The packet loss (i.e., the percentage of response packets not received) and the
932                 average round-trip time for response packets received will be noted.
933          •      To meet the packet loss and round-trip time requirements for a particular CNNP Test, all
934                 three of the following must be true:
935                 (1) The round-trip time and packet loss from each measurement location to at least one
936                 ENUM Tier 1B nameserver must not exceed the required values.
937                 (2) The round-trip time to 75% of the ENUM Tier 1B nameservers from at least one of the
938                 measurement locations must not exceed the required value.
939                 (3) The packet loss to each of the Tier 1B nameservers from at least one of the
940                 measurement locations must not exceed the required value.
941          •      Any failing CNNP Test result obtained during an identified core Internet service failure
942                 shall not be considered.
943          •      To ensure a properly diverse testing sample, a neutral third party will conduct the CNNP
944                 Tests at varying times (i.e., at different times of the day, as well as on different days of the
945                 week). An ENUM Tier 1B Registry will be deemed to have failed to meet the cross-
946                 network nameserver performance requirement only if the Tier 1B nameservers persistently
947                 fail the CNNP Tests. Persistently failed is defined as the failure of three or more
948                 consecutive CNNP tests.
949          •      In the event of persistent failure of the CNNP Tests, the neutral third party will give an
950                 ENUM Tier 1B Registry written notice of the failures (with test data) and the ENUM Tier
951                 1B Registry will have sixty days to cure the failure.
952          •      If, following that opportunity to cure, the Tier 1B nameservers continue to persistently fail
953                 CNNP Tests and an ENUM Tier 1B Registry fails to resolve the problem after thirty days
954                 notice of the continuing failures, an ENUM Tier 1B Registry will be deemed not to have
955                 met its performance obligations.
956          •      Sixty days prior to the commencement of testing under this provision, the neutral third
957                 party will provide the ENUM Tier 1B Registry with the opportunity to evaluate the testing
958                 tools and procedures to be used. In the event that the ENUM Tier 1a Registry does not


                                                          32
      Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


959                  approve of such tools and procedures, the neutral third party will work directly with the
960                  ENUM Tier 1B Registry to make necessary modifications.
961          •       The neutral third party shall make available all data relating to CNNP Test results of the
962                  ENUM Tier 1B nameservers to the ENUM Tier 1B Registry. Data will be made available
963                  in a well-defined electronic format no later than the tenth day of the month following the
964                  month in which measurements were taken.
965   6.12.5 EPP Performance Specifications
966          •     The performance specification for add, modify and delete commands is 3000 milliseconds.
967                This is measured from the time the command is completely received until it is completely
968                sent. It is important to note that this specification may not be met during periods of
969                extreme volume.
970          •       The performance specification for check commands is 1500 milliseconds.           This is
971                  measured from the time the command is completely received until it is completely sent. It
972                  is important to note that this specification may not be met during periods of extreme
973                  volume.
974   The total planned outage should correspond with the specifications set forth herein.
975
976   6.12.6 Responsibilities of the Parties
977   The ENUM Tier 1B Registry will use commercially reasonable efforts to restore the critical components
978   of the system within 48 hours in the case of a force majeure event. Outages due to a force majeure event
979   will not be considered System Unavailability. (Editor’s note – check on NPAC requirements for reference
980   information to use as guide for text to include in this section)
981   Except in the case of nameserver performance requirements, the ENUM Tier 1B Registry will perform
982   internal monitoring as a means to verify that the availability and performance measurements of this
983   document are being met.
984   Beginning no later than 120 days after the commencement-of-service date, the ENUM Tier 1B Registry
985   will provide preliminary monthly system performance and availability reports to the contracting entity.
986   The ENUM Tier 1B Registry will provide service availability percentages during each Performance
987   Measurement Period as listed in this document.
988
989   6.13 ENUM Tier 1B Registry Management
990   This section provides requirements for the management and monitoring of events in the ENUM Tier 1B
991   Registry system. This includes logging of events, auditing logs and notification of significant events to
992   personnel for remedial action.
993         Reject illegal commands/requests (e.g., missing mandatory data element) from ENUM Registrars
994         Detect dual registrations for the same ENUM domain name and inform the requesting ENUM
995          Registrar so that it can initiate the dispute resolution process. If a Registrar initiations a dispute
996          resolution process the Tier 1B will notify the original Registrar of the dispute. The ENUM Tier
997          1B Registry must take appropriate action to protect the integrity of the original registration during
998          the dispute resolution process.


                                                           33
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


 999
1000   6.13.1 Reports and Files
1001    (Action Item – Richard/Kevin contribution on reports to that need to be provided)
1002   An ENUM Tier 1B Registry shall provide reporting service to ENUM Registrars and the contracting
1003   entity In addition, it may also make available zone data and ContactInfo data to ENUM Registrars and
1004   other contracting entities. [It’s one thing to make available the zone data entries corresponding to a
1005   ENUM Registrar’s registrations, but the whole zone data should not be made available.]
1006   ENUM Tier 1B Registry reports for Registrars may include:
1007         Daily Reconciliation Reports created from account transaction logs
1008         Daily and Monthly ENUM Registrar Cumulative Reports for domain-name registrations
1009         Transaction logs
1010         Complete database export file of all data entities owned
1011         ENUM Tier 1B Registry reports for the Contracting Agency may include: Total ENUM domain-
1012          name strings processed
1013         Total ENUM domain-names "registered"
1014         [What does “unavailable” refer to???] Total ENUM domain-name strings "unavailable"
1015         Total ENUM domain-name strings "invalid"
1016
1017   An ENUM Tier 1B Registry may provide custom reporting service that would allow ENUM Registrars
1018   and the Contracting Agency to specify report criteria and have the report available for download upon
1019   completion. Example reports are:
1020        Number and name of domain-names registered within any period
1021        Domain-names transferred to/away from ENUM Registrar within a specified period
1022        Change of ownership activity, and time/date requests were processed
1023        Re-delegation activity
1024   These reports should be posted to a secure site (i.e., FTP (File Transfer Protocol)) that can be accessed by
1025   the ENUM Registrars by entering username and pass code.
1026   The format for reports should be easily machine-readable by ENUM Registrars (i.e., XML, CSV).
1027   Naming convention of reports should identify the ENUM Registrars, the date the report was created and
1028   indicate the subject of the report.
1029   An ENUM Tier 1B Registry should archive copies of all reports created.
1030   An ENUM Tier 1B Registry bidder is required to address what mechanisms it would use to enable the
1031   contracting entity to:
1032          •       Monitor the initial progress of implementation
1033          •       Monitor the ongoing participation in the offering
1034          •       Monitor and provide feedback regarding the ongoing performance of the Tier 1
1035          •       Monitor ongoing system updates and changes
1036          •       Monitor ongoing policy updates and changes
1037          •       Drive system updates and changes
1038          •       Drive policy updates and changes


                                                           34
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


1039   SECTION 7.0 INTERFACE REQUIREMENTS
1040
1041   The Tier 1B Registry must establish an interface which is available for all ENUM Registrars to use. The
1042   common protocol may be EPP, but this should not preclude other protocols being used between the
1043   ENUM Registry and ENUM Registrars. The protocols to be used on the interface between the ENUM Tier
1044   1B Registry and ENUM Registrars must be agreed between those parties.
1045
1046   7.1    Interfaces between Registry and Registrar
1047
1048   The Tier 1B Registry-Registrar interface will be a shared registration system (SRS) whereby accredited
1049   competing Registrars may register ENUM domain names for their customers in the CC1 ENUM name
1050   space. The Tier 1B Registry will be required to develop a Registrar Accreditation process and Registry-
1051   Registrar agreement. The Tier 1B Registry will be prohibited from functioning as a Registrar.
1052
1053   A Tier 1B SRS is required to:
1054      Allow an unlimited number of accredited Registrars to register ENUM domain names in the CC1
1055       ENUM name space
1056    Provide equal access to the system for all accredited Registrars to perform registration related
1057       operations such as:
1058           - Register new ENUM domain names and associated information
1059           - Check status of registered ENUM domain names and associated information,
1060           - Delete registered ENUM domain names and associated information,
1061           - Renew registered ENUM domain names and associated information,
1062           - Update information about registered ENUM domain names and associated information,
1063           - Transfer ENUM domain name registration among competing accredited Registrars
1064    Support the open standard interface between the Registry and accredited Registrars, as defined in the
1065       IETF extensible provisioning protocol (EPP) standard suite (RFC3730 through RFC3735). The Tier
1066       1B Registry will work with the CC1 ENUM industry to identify and develop further extensions to EPP
1067       for the purposes of supporting CC1 ENUM if needed.
1068    The common Tier 1B registry protocol for registrars shall be EPP but this should not preclude other
1069       protocols from being used between the registry and registrars. Alternative protocols must be an open
1070       standard and agreed to by both parties. Once an alternative protocol has been established by the Tier
1071       1B registry other registrars may also use that interface after notification and agreement of the Tier 1B
1072       registry.
1073    Reject illegal commands/requests (e.g., missing mandatory data element) from ENUM Registrars.
1074    Detect dual registration attempts for the same ENUM domain name and inform the requesting ENUM
1075       Registrar.
1076    Security of the SRS applications shall be provided in part via the mandatory use of the TLS [RFC
1077       2246] protocol for transport layer security.
1078    Each EPP session shall be authenticated and encrypted using TLS. The ENUM Registry shall
1079       authenticate every EPP client connection using both an X.509 server certificate, issued by a
1080       commercial Certification Authority identified by the Tier 1 Registry, and its ENUM Registrar
1081       password.
1082   Or replace with the following text. Editor’s note – need to check into security
                                                           35
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


1083        Security of the SRS application shall be provided via a mandatory authenticated and encrypted
1084         connection. At a minimum, IPSEC will be used to secure the connection.
1085        Each EPP session shall be authenticated and encrypted using IPSEC. The ENUM Registry shall
1086         authenticate every EPP client connection using a valid PKI.
1087
1088   Editor’s Note – Registry/Registrar experts to check on this bullet
1089    Support batch file processing so that the ENUM Registrar can put many commands into one file and
1090      deposit it in a “command” directory on a Tier 1 B Registry server. The Tier 1 B Registry should move
1091      the file to an archive directory, process the commands based on the order as they appear in the file, and
1092      put all the responses to the commands in the same order in a file that is deposited in a “response”
1093      directory on the same server. ENUM Registrars can periodically check and retrieve files in the
1094      “response” directory. Once the file is read, the ENUM Tier 1B Registry can move the file to an
1095      archive directory where it can be preserved as back-up.
1096
1097   7.2    Interfaces between Tier 1A Registry and Tier 1B Registry
1098   Because the Tier 1A registry will likely contain less than a thousand records and additions and changes are
1099   expected to be infrequent, a formal mechanized interface or system (Shared Registration System between
1100   Tier 1Bs and the Tier 1A may not be required.
1101
1102   7.3    Other Interfaces
1103    The interface between the ENUM Registrar and the Tier 2 Provider will be standardized as part of the
1104       Best Practices document referenced in Section 8.2.3.
1105        The interface between the ENUM Registrar and the ENUM Registrant is likely to be defined by each
1106         ENUM Registrar.
1107        The interface between the ENUM Registrant and the Tier 2 Provider is likely to be defined by each
1108         Tier 2 Provider.
1109        The interface between the Tier 1B Registry and the Tier 2 Provider can be as simple as a telephone
1110         call or e-mail message about a DNS operation problem.
1111

1112   SECTION 8.0             PROVISIONING
1113
1114   This section defines provisioning requirements and procedures for ENUM administration. This involves
1115   the following ENUM functional entities: ENUM Registrar, ENUM Tier 1B Registry, Tier 2 Provider,
1116   Application Service Provider (ASP), and ENUM Registrant. This section will address the tasks and
1117   responsibilities required to provision and maintain ENUM registrations by the above functional entities
1118   with the focus on the interface between the Tier 1B Registry and the ENUM Registrar.
1119   This section does not include procedures for interaction with the Tier 1A Registry.
1120
1121   8.1      Assumptions
1122   The following assumptions are made when describing the provisioning scenarios:
                                                           36
       Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


1123         ENUM Registrars will be bound by a Registry-Registrar agreement developed by the Tier 1B
1124          Registry together with the LLC. This agreement will require the Registrar to comply with the
1125          procedures detailed below. In addition to the provisioning procedures, the Registry-Registrar
1126          agreement will detail privacy requirements based on those in Section 9 of ENUM Forum document
1127          6000_1_0 and registration dispute resolution procedures based on Section 14 of the ENUM Forum
1128          document.
1129         ENUM Registrars have an established trust relationship with the Tier 1B Registry. This
1130          relationship includes the method for secure communication, user authentication (e.g., the                 Formatted: Highlight
1131          assignment of a user identification (ID) and password for session management), a Registrar ID for
1132          ENUM Registration identification, and exchange of contact and other information before ENUM
1133          registrations begin. How to open a secure communication link and establish a session between a
1134          Tier 1B Registry and an ENUM Registrar is not included in the provisioning procedures.
1135         An ENUM Registrar can offer Tier 2 Provider service. It can either operate the nameservers itself,
1136          or outsource the nameserver operation.
1137         The entity that serves as the Tier 1B Registry for a number cannot also serve as an ENUM
1138          Registrar. This stricture is intended to prevent conflicts of interest on the part of the Registry.
1139         An ENUM Registrant may authorize its Tier 2 Provider to review/update certain data (e.g., host
1140          and technical contact information) at its ENUM Registrar and/or its ASPs to review/update some
1141          application-related data for his/her ENUM domain name. The necessary data elements and
1142          procedures related to the interactions between the Tier 2 Provider and the ENUM Registrar, or
1143          between ASPs and Tier 2 Providers are not addressed in this document.
1144
1145   8.2    Provisioning Requirements
1146   This section lists, or cross-references, the high level requirements for the entities involved in provisioning
1147   the ENUM. In terms of provisioning for ENUM, more stringent and specific requirements will be placed
1148   on the Tier 1B Registry and the ENUM Registrars. The Tier 2 Provider, although still subject to certain
1149   requirements, will have more freedom to interact with ENUM Registrants, and optionally, with the ASPs
1150   and the ENUM Registrar in terms of the protocols and/or methods for interactions.

1151   8.2.1 Tier 1B Registry
1152   The Tier 1B Registry is responsible for properly identifying and authenticating a Registrar before
1153   accepting any transactions. The Tier 1B Registry is responsible for ensuring that Registrars comply with
1154   the requirements and procedures set out in the Registry-Registrar agreement and monitoring Registrar
1155   compliance.

1156   8.2.2 ENUM Registrar
1157   The ENUM Registrar must authenticate ENUM Applicants and verify their authorization to register an               Formatted: Highlight
1158   ENUM domain. In particular,
1159         When dealing with a corporate ENUM Registrant, only those specific persons who are the
1160          designated contact persons of the corporate account with the telephony service provider (TSP) can
1161          request ENUM registration for any TN used by that corporation.
1162         When a broker/agent is involved in applying for ENUM, the broker/agent must demonstrate
1163          authorization by the TN assignee/ENUM Registrant to register for ENUM.                                    Formatted: Highlight


                                                            37
       Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


1164   The Registry-Registrar agreement will contain minimum requirements for Authentication and                     Formatted: Highlight

1165   Authorization building on those discussed in Section 12 of ENUM Forum Document 6000_1_0.                      Formatted: Highlight

1166   The ENUM Registrar must support the protocols specified between the Tier 1 Registry and the ENUM
1167   Registrars. The protocols include those for application handling, secure communications, and lower-layer
1168   transport and routing.
1169   The ENUM Registrar must follow the policies specified for ENUM provisioning (e.g., various grace
1170   periods, if any, transfer and renewal).
1171   The ENUM Registrar should notify the technical contact associated with each ENUM domain name
1172   impacted by an area code split following the recommended procedures in Section 8.4.
1173   If the ENUM Registrar also offers the Tier 2 Provider function to the ENUM Registrant, it must support
1174   all the requirements a Tier 2 Provider must support. If it outsources those functions with a Tier 2
1175   Provider, it must collect the NAPTR resource record (RR) information or sufficient information that
1176   allows that Tier 2 Provider to provision the NAPTR RRs from the ENUM Registrant.

1177   8.2.3 Tier 2 Provider
1178   The Tier 2 Providers that offer commercial service to other parties (as opposed to a Registrant providing a
1179   Tier 2 solely for their own TNs) are expected to adhere to the Best Practices document to be developed by
1180   the Tier 1B Registry in conjunction with the LLC and participate in a certification process administered by
1181   the Tier 1B Registry. Commercial Tier 2 Providers must agree to host NAPTRs for multiple ASPs and are
1182   prohibited from disclosing any information they collect in the process of providing service. Non-
1183   commercial Tier 2 Providers must self certify themselves as such.

1184   8.2.4 ENUM Registrant
1185   The ENUM Registrant shall register only the TN or TNs assigned to them.
1186   The ENUM Registrant should inform the ENUM Registrar when he/she disconnects the telephony service
1187   (e.g., is no longer the TN assignee).
1188   If an ENUM Registrant operates the Tier 2 Provider function, it should also comply with the
1189   recommendations of the Tier 2 Provider Best Current Practices document.

1190    8.2.5 Application Service Provider (ASP)
1191   The ASPs must give the correct application addresses/URLs to the ENUM Registrant. They may interact
1192   with the Tier 2 Provider in provisioning certain data related to their application service when authorized
1193   by the ENUM Registrant.
1194   Some of the ASPs’ application services may require further resolution services, such as Lightweight
1195   Directory Access Protocol (LDAP) or other specific protocols to retrieve application-related information.
1196   In that case, ASPs must ensure that the correct information is provisioned in the NAPTR RRs stored at
1197   Tier 2 Providers.
1198
1199   8.3     Provisioning Procedures
1200   This section describes representative scenarios for ENUM Provisioning Activities. Additional scenarios
1201   are detailed in US ENUM Forum 6000_1_0. The Tier 1B Registry shall develop a comprehensive set of
1202   procedures, subject to LLC approval. The Registry shall implement the procedures agreed upon and
1203   incorporate then into the Registry-Registrar agreement.
                                                           38
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


1204   8.3.1 Initial ENUM Registration

1205   8.3.1.1 Assumptions
1206   An ENUM Applicant may either select a Tier 2 Provider prior to contacting an ENUM Registrar or
1207   contract with a Registrar that also provides Tier 2 services. In the later case, the Registrar will already
1208   have some of the information required for provisioning.

1209   8.3.1.2 Provisioning Procedures
1210          1. The ENUM Applicant selects an ENUM Registrar and provides the following information to
1211             that ENUM Registrar to register for ENUM for his/her TN:
1212                 TN
1213                 A list of nameserver host names associated with the ENUM domain name
1214                 ENUM registration period (e.g., two years)
1215                 ENUM Registrant's information and technical, administrative and billing contact
1216                  information
1217                 Any AAA-related information required by the ENUM Registrar
1218          2. The ENUM Registrar may interact with the ENUM Applicant for more information if needed.
1219             The ENUM Registrar then validates the ENUM Applicant’s identity and authority to register
1220             the TN. If the Applicant is not the assignee of the TN, the Registrar must verify that the
1221             Applicant is the duly authorized agent of the TN assignee. In this case the Registrar will collect
1222             contact information for both the agent and the TN assignee.
                                                                                                                       Formatted: Highlight
1223          3. If the validation fails, the application for ENUM is rejected. If the validation is successful, the
                                                                                                                       Formatted: Highlight
1224             process continues with step 4.
1225          4. The ENUM Registrar registers the ENUM domain name with the Tier 1B Registry by
1226             providing the following information:
1227                 Request for new ENUM domain name registration
1228                 ENUM domain name (e.g., 4.3.2.1.3.3.5.2.0.2.1.e164.arpa)
1229                 A list of nameserver host names
1230                 ENUM Registration period (e.g., two years)
1231                 The ContactInfo data elements defined in Section 5.5.5
                                                                                                                       Formatted: Highlight
1232          5. After successful authentication and authorization checks of the ENUM Registrar, the Tier 1B
                                                                                                                       Formatted: Highlight
1233             Registry determines whether there is an existing ENUM registration for the same ENUM
1234             domain name.
1235                 If YES, it initiates the dispute resolution process in the Registry-Registrar agreement and
1236                  this process stops.
1237                 If NOT, the Tier 1B Registry acknowledges to the ENUM Registrar that the ENUM
1238                  domain name registration is accepted with a registration expiration date. The Tier 1
1239                  Registry then performs the zone file updates to add the NS RRs of this ENUM domain
1240                  name to its nameservers. After the zone file updates have been performed at the Tier 1
                                                           39
       Tier 1B Technical and Operational Requirements               CC1 ENUM LLC TAC-15.00001-2005


1241                 Registry, real-time DNS queries for this particular ENUM domain name will be able to
1242                 retrieve the nameserver information indicating where NAPTR RRs are hosted.
1243                    After receiving the positive acknowledgement from the Tier 1 Registry, the ENUM
1244                     Registrar records this successful ENUM registration and may inform the ENUM
1245                     Registrant about the successful registration of his/her ENUM domain name.




                                                        40
                                                      Registrant selects
                                                           Tier 2

       Tier 1B Technical and Operational Requirements                          CC1 ENUM LLC TAC-15.00001-2005

                                                        Tier 2 verifies
                                                           account
                                                       information and
                                                       creates account



                                                       Tier 2 assigns
                                                       nameservers,
                                                        gives info to
                                                       Registrant and
                                                      updates zone file



                                                      ENUM Registrant
                                                      selects Registrar
                                                          and provides
                                                        registration data




                       Registration denied    fails   Registrar validates
                                                      Registrant identity
             EN                                       and TN assignment
              D


                                                                    succeeds
                       dispute resolution             Registrar checks
                       process                  YES   for existing
                                                      registration for TN



                                                             no
                                                       Registrar sends
                                                         registration
                                                      request to Tier 1B
                                                           Registry




                                                          Registry
                                                        authenticates
                                                          Registrar



                                                                                   Registry updates
                                                       Registry checks
                                                                                   Tier 1 B zone file
                                             YES          for existing    NO          and returns       EN
                                                      registration for TN          acknowledgement      D



1246

                                                               41
       Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


1247                        FIGURE 2 – Flow Chart for 8.3.1.2: Initial ENUM Registration

1248   8.3.6 ENUM Registration Transfer
1249   ENUM Registrant transfers his/her ENUM registration to another ENUM Registrar.

1250   8.3.6.1 Assumptions
1251        ENUM Registrant uses the same Tier 2 Provider and the nameservers are the same.
1252        ENUM Registrant can initiate the transfer of the ENUM registration at any point during the term
1253           of the registration
1254        Note: it was agreed that registrations must be revalidated yearly

1255   8.3.6.2 Provisioning Procedures
1256   1. The ENUM Registrant decides to use another ENUM Registrar for his/her ENUM registration and
1257       provides the following information to that ENUM Registrar:
1258         TN
1259         The ENUM Registrant's information and technical, administrative and billing contact information
1260       Any AAA-related information required by the ENUM Registrar
1261   2. The ENUM Registrar may interact with the ENUM Registrant for more information if needed. The
1262      ENUM Registrar then validates the ENUM Registrant's identity and TN assignment .
1263          a.      If the validation fails, the request for transferring the ENUM registration is rejected and the   Formatted: Highlight
1264          transfer process stops.
1265           b.       If the validation is successful, go to Step 3.                                                  Formatted: Highlight

1266   3. ENUM Registrar requests that the Tier 1B Registry transfer the service registration for this particular
1267      ENUM domain name by providing the following information:
1268         Request for transferring an existing ENUM domain name
1269         ENUM domain name (e.g., 4.3.2.1.3.3.5.2.0.2.1.e164.arpa)
1270         ENUM Registration expiration date
1271         Any AAA-related information
1272
1273   4. After successful authentication and authorization checks of the ENUM Registrar, the Tier 1B Registry          Formatted: Highlight

1274      determines whether there is an existing service registration for the ENUM domain name that can be             Formatted: Highlight
1275      transferred.
1276      a. If YES, it puts the ENUM domain name in the “pending transfer” state and informs the old ENUM
1277         Registrar about the transfer.
1278                -   If the Tier 1B Registry receives an acknowledgement from the old ENUM Registrar or
1279                    times out for receiving an acknowledgement, it completes the transfer (e.g., the new
1280                    ENUM Registrar is now the sponsoring Registrar) and changes the state of the ENUM
1281                    domain name back to the “active” state. The Tier 1B Registry also notifies the new ENUM
1282                    Registrar about the successful completion of the transfer request. The notification may be
1283                    put in a queue for ENUM Registrars to retrieve.

                                                               42
       Tier 1B Technical and Operational Requirements                       CC1 ENUM LLC TAC-15.00001-2005


1284                  -   If the Tier 1B Registry receives a negative acknowledgement from the old ENUM
1285                      Registrar, it will deny the transfer and the old and new ENUM Registrars and the ENUM
1286                      Registrant will need to resolve this among themselves.
1287        b.        If NOT, the Tier 1B Registry rejects the transfer by indicating that the ENUM domain name
1288                  does not exist.
1289   5.        After receiving the response from the Tier 1B Registry, the new ENUM Registrar performs the
1290             following:
1291             a.       If the transfer is complete, it puts the information associated with the transferred ENUM
1292                      domain name in the local data stores. It informs the ENUM Registrant about the successful
1293                      transfer and completes the necessary actions (e.g., collects the registration fee from the
1294                      ENUM Registrant for the renewal period and pays the Tier 1B Registry).
1295             b.       If the old ENUM Registrar rejects the transfer, it informs the ENUM Registrant about the
1296                      result and urges the ENUM Registrant to settle the matter with the old ENUM Registrar.
1297             c.       If the transfer is rejected due to the non-existence of the ENUM domain name, it informs
1298                      the ENUM Registrant about the result.
1299
1300
1301
1302
1303
1304
1305
1306
1307
1308
1309




                                                              43
       Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


                                                                                Registrant chooses
                                                                                new Registrar and
                                                                                     provides
                                                                                 registration data




                                                                       fails Registrar validates
                                                                             Registrant identity
                                 END         Transfer denied                      and TN
                                                                                assignment
                                                                                            succeed
                                                                                               s
                                                                             Registrar requests
                                                                              Tier 1B Registry
                                                                                   transfer
                                                                                registration


                                                                     no         Tier 1B check for
                                                                                     existing
                                                                                   registration


                                                                                                 yes
                                                                                      Tier 1B puts
                                                                                   registration into
                                                                                “pending” transfer and
                                                                                notifies Old Registrar




                                                Transfer denied;                 Old Registrar
                                                Registrant must                 acknowledgment
                                              resolve with old and
                                                new Registrars

                                                                     negative                    Positive/Timeout
                                                                                                     timeout
                                                                                    Registry
                                                                                   completes
                                                                                transfer; informs
                                                                                  new Registrar


                                                                                  New Registrar
                                                                                  updates local
                                                                                                                END
                                                                                  data; informs
                                                                                   Registrant
1310                                   FIGURE 4 - Flow Chart for 8.3.6.2:
1311                  ENUM Registrant Transfers ENUM Registration to another Registrar
1312                                        8/19 Review stopped here



                                                           44
       Tier 1B Technical and Operational Requirements                       CC1 ENUM LLC TAC-15.00001-2005


1313   8.3.7       ENUM Registrant Checks/Changes Information at the ENUM Registrar
1314   ENUM Registrant checks or changes information stored at the ENUM Registrar.

1315   8.3.7.1          Assumptions
1316            The ENUM Registrant has already set up an account with the ENUM Registrar. This account
1317             includes a login/password that allows the Registrar to authenticate the Registrant before providing
1318             access to registration information.
1319            The ENUM Registrant can check and make changes to all the information except the Telephone
1320             Number (TN) kept by the ENUM Registrar.
1321            The ENUM Registrant may initiate the changes himself/herself, or his/her action may be triggered
1322             by requests from the Tier 2 Provider if the ENUM Registrant is the only one that can deal with the
1323             ENUM Registrar.
1324            Some data changes/additions/deletions made by the ENUM Registrant at the ENUM Registrar
1325             need to be reflected at the Tier 1B Registry. It is assumed that if the ENUM Registrar approves
1326             and acts upon such a request the Tier 1B Registry will not deny that request.

1327   8.3.7.2 Provisioning Procedures
1328          1. The ENUM Registrant provides the authentication/authorization information (login/password) and         Formatted: Highlight

1329          indicates the type of request with the associated information to the ENUM Registrar. The type of          Formatted: Highlight
1330          request and associated information may include:
1331                   Check
1332                      1. Status of ENUM domain name registration
1333                      2.All or certain current values associated with the registered ENUM domain name
1334                        account such as:
1335                           Technical, administrative and billing contact information
1336                           Contact information for the account with the ENUM Registrar
1337                           Nameservers
1338                           Registration expiration date
1339                   Add
1340                      o New nameserver
1341                      o Additional technical, administrative or billing contact information
1342                      o Additional Contact information for the account with the ENUM Registrar
                                                                                                                        Formatted: Highlight
1343                      o Authorization for the Tier 2 Provider to access its data stored at the ENUM Registrar, if
1344                        not previously authorized
1345                   Delete
1346                      o Nameserver
1347                       Technical, administrative or billing contact information

                                                               45
       Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


1348                   o Contact information for the account with the ENUM Registrar
                                                                                                                     Formatted: Highlight
1349                   o Authorization of the Tier 2 Provider to access its data stored at the ENUM Registrar, if
1350                     previously authorized
1351                Modify/Change
1352                   o User id, if permitted
1353                   o Password
1354                   o Technical, administrative or billing contact information
1355                   o Registrant's contact information
1356                   o Tier 2 Provider contact information
1357                   o TSP account information such as the TSP name if ENUM Registrant ports his/her TN
1358                     to a new TSP or billing address
1359        2. The ENUM Registrar validates the ENUM Registrant.
                                                                                                                     Formatted: Highlight
1360        3. If the validation fails, the ENUM Registrar rejects                      the   request   indicating
1361           authentication/authorization failure (e.g., invalid password).                                        Formatted: Highlight
                                                                                                                     Formatted: Highlight
1362        If the validation is successful, the ENUM Registrar proceeds with Step 4.
                                                                                                                     Formatted: Highlight
1363        4. The ENUM Registrar checks whether the requested action is valid.
1364             a) If the request is not valid, the ENUM Registrar rejects the request indicating the reason of
1365                rejection. Illegal requests include but are not limited to:
1366                   o Change/modify data that the ENUM Registrant is not allowed to change/modify or does
1367                     not exist
1368                   o Delete data that does not exist or will result in missing mandatory data
1369                   o Add data that the ENUM Registrant is not allowed to add or will exceed the maximum
1370                     number allowed for that data
1371             b) If the request is valid, the ENUM Registrar performs required actions that include but are
1372                not limited to:
1373                   o Returns the requested information, if available, or an indication that the requested
1374                     information is not available
1375                   o Replaces with data from the request and returns a positive acknowledgement
1376                   o Deletes data and returns a positive acknowledgement
1377                   o Adds data and returns a positive acknowledgement
1378             If the action of change/deletion/addition cannot be performed due to internal problems, the
1379             Registrar indicates "request pending" to the ENUM Registrant. After successful completion of
1380             the request, the Registrar sends a positive acknowledgement to the ENUM Registrant.
1381             The Registrar may inform the Tier 2 Provider if it is authorized by the ENUM Registrant to
1382             access/change certain data, and the ENUM Registrant has made changes to the data that the
1383             Tier 2 Provider is authorized to change.


                                                            46
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


1384        5. The ENUM Registrar checks whether it needs to inform the Tier 1B Registry about the data
1385           change, deletion or addition, or to access the Tier 1B Registry for data status.
1386           If the ENUM Registrar need not inform the Tier 1B Registry about the data change, deletion,
1387           addition or to access the Tier 1B Registry for data status, the process stops.
1388           If the ENUM Registrar needs to inform the Tier 1B Registry about the data change, deletion or
1389           addition, it provides the authentication/authorization information and indicates the type of            Formatted: Highlight
1390           request with the associated information to the Tier 1B Registry.                                        Formatted: Highlight

1391        6. The Tier 1B Registry validates the ENUM Registrar.
                                                                                                                       Formatted: Highlight
1392           If the validation fails, the Tier B11B Registry rejects the request indicating
1393           authentication/authorization failure (e.g., invalid password). The ENUM Registrar, if valid,            Formatted: Highlight
1394           needs to resolve the problem (e.g., re-assign a password) with the Tier 1B Registry and resubmit        Formatted: Highlight
1395           the request.
                                                                                                                       Formatted: Highlight
1396           If the validation is successful, the Tier B11B Registry proceeds with Step 7.
1397        7. The Tier 1B Registry checks whether the requested action is valid.
1398           If the request is not valid (e.g., syntax error), the Tier 1B Registry rejects the request indicating
1399           the reason for rejection.
1400           If the request is valid, the Tier 1B Registry performs the required actions and returns a positive
1401           acknowledgement.
1402        8. ENUM Registrar returns the requested information if not yet done in step 4.




                                                           47
       Tier 1B Technical and Operational Requirements                CC1 ENUM LLC TAC-15.00001-2005


                                              Registrant provides
                                                 credentials &
                                              request to Registrar




                                              Registrar validates
                                                 Registrant




                                              Registrar validates
                                               requested action




                                             Registrar executes
                                              requested action




                                      no       Need to inform
                                               Tier B Registry?
                               END


                                                             yes
                                                Registrar sends
                                                   request &
                                                 credentials to
                                                    Tier 1B



                                              Registry validates
                                                 Registrar




                                              Registry validates
                                              requested action




                                              Registry updates
                                                 and returns
                                                                       END
                                              acknowledgement

1403     FIGURE 5 – Flow Chart for 8.3.7.2: ENUM Registrant Checks/Changes Information at ENUM
1404                                            Registrar
1405

                                                          48
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


1406   8.3.9 ENUM Registrar Checks/Changes Information at Tier 1B Registry
1407   The ENUM Registrar checks or changes information stored at the Tier 1B Registry.

1408   8.3.9.1         Assumptions
1409        Only the checks/changes initiated by the ENUM Registrar are discussed. Checks/changes initiated
1410           by the ENUM Registrant and the Tier 2 Providers may be accomplished through the Registrar.
1411        The ENUM Registrar does not initiate a transfer request without the ENUM Registrant’s request

1412   8.3.9.2        Provisioning Procedures
1413       1. The ENUM Registrar provides the AAA-related information and indicates the type of request with
1414       the associated information to the Tier 1B Registry. Any information that is provided by this ENUM
1415       Registrar can be checked and changed by this ENUM Registrar. An ENUM Registrar may check
1416       some information (e.g., whether an ENUM domain name is available) even if the information is
1417       provided by other ENUM Registrars. The type of request and associated information may include:
1418             Check
1419                 o All or certain current information associated with the ENUM Registrant’s ENUM
1420                   registration such as:
1421                           Contact information
1422                           service registration expiration date
1423                           The last date when an object is created, modified or transferred
1424                           State of an object (e.g., active, server hold)
1425
1426                 o All or certain current information associated with the ENUM Registrar’s data such as:
1427                           Contact information
1428                           Organizational information
1429                           IP address(es)
1430                           [Web site address]
1431                           [ContactInfo server name]
1432                           Security pass phrase (for authenticating an ENUM Registrar when contacting
1433                            the Tier 1B Registry’s customer support by telephone)
1434                           User id and password information
1435
1436                 o Digital certificate information
1437             Add
1438                 o Additional ENUM Registrar Contact information
1439                 o Additional ENUM Registrar Organizational information
1440                 o Additional IP address(es)

                                                           49
       Tier 1B Technical and Operational Requirements                     CC1 ENUM LLC TAC-15.00001-2005


1441                 o Additional user id and password
1442             Delete
1443                            Contact information
1444                            IP address(es)
1445                            ENUM Registrar user id and password, when there are multiple accounts
1446             Modify/Change
1447                           ENUM Registrar’s contact information, user id, password, security pass phrase,
1448                            digital certificate information, web site address
1449      2. The Tier 1B Registry validates the ENUM Registrar.
1450              a. If the validation fails, the Tier 1B Registry rejects the request indicating                   Formatted: Highlight
1451              authentication/authorization failure (e.g., invalid password).                                    Formatted: Highlight

1452              b. If the validation is successful, the Tier 1B Registry proceeds with Step 3.                    Formatted: Highlight
                                                                                                                    Formatted: Highlight
1453      3. The Tier 1B Registry checks whether the requested action is valid.
1454              a. If the request is not valid (e.g., syntax error), the Tier 1B Registry rejects the request
1455              indicating the reason for rejection.
1456              b. If the request is valid, the Tier 1B Registry performs the required actions and returns a
1457              positive acknowledgement.
1458      4. When a response is received, the ENUM Registrar performs the following:
1459              a. If the request is rejected, it tries to determine the cause of the failure and re-submit the
1460              request, if needed, after the problem is cleared.
1461      b. If the request is accepted, it makes the necessary changes/additions/ deletions in the local data
1462         stores.




                                                            50
       Tier 1B Technical and Operational Requirements                  CC1 ENUM LLC TAC-15.00001-2005



                                                 Registrar provides
                                                   credentials &
                                                 request to Tier 1B



                                                  Tier 1B Registry
                                                 validates Registrar


                                                               YES
                                                  Registry validates
                                                  requested action


                                                               YES
                                                 Registry executes
                                                  requested action
                                                    and returns
                                                 acknowledgement


                                                  Registrar updates
                                                  local data stores




                                                        END

1463     FIGURE 7 – Flow Chart for 8.3.9.2: ENUM Registrar Checks/Changes Information at Tier 1B
1464                                            Registry

1465    8.3.10         ENUM Registrant Renews ENUM Registration
1466   The ENUM Registrant renews his/her ENUM registration when the previous ENUM registration is to
1467   expire or when he/she decides to extend the service registration period at any time before the existing
1468   service registration expires.

1469   8.3.10.1      Assumptions
1470                 o The ENUM Registrant does not change the ENUM Registrar for the renewed
1471                    registration period.
1472                 o Host information associated with the ENUM domain name does not change.
1473                 o The ENUM Registrant will renew the service contract, if necessary, with the Tier 2
1474                    Provider. This process is not discussed.

1475   8.3.10.2         Provisioning Procedures
1476       1. The ENUM Registrant requests that the ENUM Registrar renew or extend the existing ENUM
1477       registration by providing the following information:
1478             ENUM TN
                                                          51
       Tier 1B Technical and Operational Requirements                        CC1 ENUM LLC TAC-15.00001-2005


1479              Renewal period
1480          Any AAA-related information required by the ENUM Registrar for renewal.
1481      2. The ENUM Registrar then validates the ENUM Registrant's identity and the TN assignment as
1482         discussed in Section 8.2.2.
1483          a.     If the validation fails, the application for renewing the ENUM registration is rejected. The      Formatted: Highlight
1484          process stops.
1485      b. If the validation is successful, the ENUM Registrar proceeds with Step 3.                                 Formatted: Highlight

1486      3. The ENUM Registrar requests that the Tier 1B Registry renew the ENUM domain name by
1487         providing the following information:
1488              Request to renew ENUM registration.
1489              ENUM domain name (e.g., 4.3.2.1.3.3.5.2.0.2.1.e164.arpa).
1490              New ENUM Registration expiration date.
1491          Any AAA-related information required by the Tier 1B Registry.
1492      4. After successful authentication and authorization checks of the ENUM Registrar, the Tier 1B               Formatted: Highlight

1493         Registry determines whether there is an existing ENUM registration for the requested ENUM                 Formatted: Highlight
1494         domain name.
1495          a.      If YES and the ENUM Registrar is the one who registered the ENUM domain name, the
1496                  Tier 1B Registry acknowledges to the ENUM Registrar that the ENUM domain name
1497                  registration is renewed with a new registration expiration date. The Tier 1B Registry then
1498                  updates the data (e.g., new registration expiration date and date when renewal is done) in
1499                  the local data stores.
1500          b.      Otherwise, the Tier 1B Registry rejects the request.
1501      5. After receiving the response from the Tier 1B Registry, the ENUM Registrar performs the
1502         following:
1503          a.      If the renewal is accepted, it updates information such as the service registration expiration
1504                  date and the date the renewal is done in the local data stores. It informs the ENUM
1505                  Registrant about the successful renewal and completes the necessary actions (e.g., collects
1506                  the registration fee from the ENUM Registrant for the renewal period and pays the Tier 1B
1507                  Registry).
1508          b.      If the renewal is rejected due to the non-existence of the ENUM domain name, it informs
1509                  the ENUM Registrant about the result.
1510




                                                            52
       Tier 1B Technical and Operational Requirements                              CC1 ENUM LLC TAC-15.00001-2005


                                                                                Registrant
                                                                            requests Registrar
                                                                            renew registration



                                       Request rejected                      Registrar validates
                                                                    fails     Registrant identity
                           END                                               and TN assignment


                                                                                            succeeds
                                                                            Registrar requests
                                                                             Tier 1B Registry
                                                                                  renew



                                                                                  Tier 1B
                                                       fails                   authenticates
                                                                                  request

                                                                                            succeeds
                                                                            Registry checks for
                                                           no                    existing
                                                                            registration for TN

                                                                                             yes
                                                                               Tier 1 renews
                                                                              registration and
                                                                                   sends
                                                                             acknowledgement


                                                                            Registrar updates
                                                                               local data and
                                                                            informs Registrant




                                                                                   END

1511           FIGURE 8 – Flow Chart for 8.3.10.2: ENUM Registrant Renews ENUM Registration
1512

1513   8.3.11 ENUM Registrant Terminates ENUM Registration
1514   The ENUM Registrant terminates his/her ENUM registration before it expires.
1515   8.3.11.1 Assumptions
1516   The ENUM registration is to be terminated before the registration expiration date.



                                                               53
       Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


1517   8.3.11.2       Provisioning Procedures
1518      1. The ENUM Registrant contacts the ENUM Registrar and indicates his/her desire to terminate
1519         registration for his/her ENUM domain name. The ENUM Registrant provides the following
1520         information:
1521                 ENUM TN
1522                 Request for terminating ENUM registration
1523                 Any AAA-related information required by the ENUM Registrar
1524      2. The ENUM Registrar checks if the request comes from the authorized ENUM Registrant.
1525                  If YES, the ENUM Registrar reminds the ENUM Registrant that terminating his/her
1526                  ENUM registration may cause associated addresses and services to no longer function as
1527                  before. Proceed to step 3.
1528                  If NO, the ENUM Registrar ends the termination process by indicating to the requester that
1529                  he/she is not authorized to terminate the service registration for the subject ENUM domain
1530                  name.
1531      3. The ENUM Registrar notifies the Tier 1B Registry about service termination by providing the
1532         following information:
1533             ENUM domain name
1534             Request for terminating ENUM
1535             Any AAA-related information required by the Tier 1B Registry
                                                                                                                   Formatted: Indent: Left: 0.5"
1536
                                                                                                                   Formatted: Bullets and Numbering
1537      4. The Tier 1B authenticates the Registrar before acting on the request.
1538      4.5.The Tier 1B Registry notifies the ENUM Registrar that the registration for the subject ENUM
1539          domain name has been terminated. It then removes the ENUM registration for that ENUM domain
1540          name from its local data store and nameservers.
1541      5.6.The ENUM Registrar acknowledges the successful execution of the request to the ENUM
1542          Registrant.
1543      6.7.The responsible party arranges for removal of NAPTR records at the Tier 2 Provider:
1544          If the ENUM Registrar also provides the Tier 2 Provider function it removes the NAPTR records
1545          from its nameservers.
1546          If the ENUM Registrar uses a Tier 2 Provider, it notifies the Tier 2 Provider to terminate the
1547          service by removing the NAPTR records from its nameservers.
1548          If the ENUM Registrant had contracted for the Tier 2 Provider function directly, the ENUM
1549          Registrant notifies the Tier 2 Provider to terminate the service by removing the NAPTR records
1550          from its nameservers.
1551          If the ENUM Registrant provided the Tier 2 Provider function him/her/itself, the Registrant
1552          removes the NAPTR records from his/her/its nameservers.



                                                          54
       Tier 1B Technical and Operational Requirements              CC1 ENUM LLC TAC-15.00001-2005

                                                                                                           Formatted: Bullets and Numbering
1553      7.8.Notification of Application Service Providers (ASPs). The Registrant should notify the
1554          Registrant’s ASPs that the ENUM registration has been terminated if they are authorized to
1555          access/change the data at the Tier 2 Provider.
1556
1557




                                                        55
       Tier 1B Technical and Operational Requirements                           CC1 ENUM LLC TAC-15.00001-2005



                                                                          Registrant
                                                                           requests
                                                                       termination of
                                                                         registration



                                  Request rejected           fails       Registrar
                                                                       authenticates
                      END
                                                                          request

                                                                                    succeed
                                                                                       s
                                                                      Registrar requests
                                                                       Tier 1B Registry
                                                                          terminate
                                                                         registration



                                                                          Tier 1B
                                                                       authenticates
                                                     fails
                                                                          request

                                                                                        succeed
                                                                                           s
                                                                   Registry checks
                                                               no     for existing
                                                                  registration for TN

                                                                                 yes
                                                                     Tier 1B deletes TN
                                                                      from NS & local
                                                                       DB and sends
                                                                     acknowledgement


                                                                      Registrar updates
                                                                        local data and
                                                                     informs Registrant



                                                                      Tier 2 provider,
                                                                      ASPs notified by
                                                                        Registrar or
                                                                        Registrant



                                                                       Tier 2 deletes
                                                                         NAPTRs
                                                                                                  END


1558        FIGURE 9 – Flow Chart for 8.3.11.2: ENUM Registrant Terminates ENUM Registration
1559

                                                               56
       Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


1560   8.3.12 ENUM Registrant No Longer a TN Assignee
1561   The ENUM Registrant terminates his/her telephone service before the previous ENUM registration
1562   expires, which may result in a dangling registration.

1563   8.3.12.1              Assumptions
1564    The ENUM Registrant does not inform the ENUM Registrar that he/she is no longer the TN assignee.
1565    The ENUM Registrar detects that the ENUM Registrant is no longer the TN assignee through the
1566       periodic re-validations or notification from the ENUM Registrant’s serving Telephony Service         Formatted: Highlight
1567       Provider (TSP).2

1568   8.3.12.2             Provisioning Procedures
1569          1. The ENUM Registrar determines that the registration of an ENUM domain name should be
1570             terminated; it requests the Tier 1B Registry to delete the ENUM domain name by providing the
1571             following information:
1572               o Request to delete the ENUM registration.
1573               o ENUM domain name (e.g., 4.3.2.1.3.3.5.2.0.2.1.e164.arpa)
1574             o Any AAA-related information required by the Tier 1B Registry.
1575          2. After successful authentication and authorization checks of the ENUM Registrar, the Tier 1B    Formatted: Highlight

1576             Registry determines whether there is an existing ENUM registration for the requested ENUM      Formatted: Highlight
1577             domain name.
1578                  a.     If YES, the Tier B1 1B Registry acknowledges to the ENUM Registrar that the
1579                         ENUM domain name registration is deleted. The Tier 1B Registry then removes
1580                         information associated with the ENUM domain name in the local data stores and
1581                         updates the zone file.
1582                  b.     If NOT, the Tier 1B Registry rejects the request.
1583          3.      After receiving the response from the Tier 1B Registry, the ENUM Registrar may inform
1584                  the ENUM Registrant and the technical contacts associated with the ENUM domain name
1585                  about the termination of the ENUM registration .
1586
1587




       2 The ENUM Registrar may need to make contractual arrangements with the TSP to receive the
       notification.

                                                           57
       Tier 1B Technical and Operational Requirements                       CC1 ENUM LLC TAC-15.00001-2005


                                                                        ENUM Registrar
                                                                           determines
                                                                       registration should
                                                                         be terminated



                                                                       Registrar requests
                                                                        Tier 1B Registry
                                                                           terminate
                                                                          registration



                                          Request rejected                     Tier 1B
                               END
                                                                            authenticates
                                                                               request


                                                                    fails              succeed
                                                                                          s
                                                                      Registry checks for
                                                                      existing registration
                                                                             for TN


                                                                                            succeed
                                                                                               s
                                                                      Tier 1B deletes TN
                                                                      from NS & local DB
                                                                          and sends
                                                                       acknowledgement



                                                                        Registrar deletes
                                                                        registration from
                                                                          local data and
                                                                       informs Registrant




                                                                               END


1588
1589            FIGURE 10: Flow Chart for 8.3.12.2: ENUM Registrant No Longer a TN Assignee
1590

1591   8.3.13 ENUM Registrar Terminates the ENUM Registration
1592   The ENUM Registrar terminates the ENUM Registrant’s service registration before the previous ENUM
1593   registration expires due to contractual business reasons. This can happen when the ENUM Registrant
1594   does not pay the ENUM Registrar the registration fee before the grace period, if any, of the ENUM
1595   registration (e.g., five days) expires. It may also happen if the ENUM Registrar determines that an ENUM
1596   registration is no longer valid (e.g., as the result of the dispute resolution process).
1597   The provisioning procedures are exactly the same as those described in Section 8.3.12.

                                                             58
       Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


1598   8.3.14       Tier 1B Registry Terminates the ENUM Registration
1599   The Tier 1B Registry determines that the registration of an ENUM domain name should be terminated.

1600   8.3.14.1                 Assumptions
1601   The ENUM Registrant does not renew the service registration for his/her ENUM domain name and the
1602   grace period, if any, for renewal has expired, or the Tier 1B Registry is informed that an ENUM
1603   registration is invalid (e.g., via the dispute resolution process or a court order).

1604   8.3.14.2                 Provisioning Procedures
1605          1.        The Tier 1B Registry determines that the registration of an ENUM domain name should be
1606                    terminated; it removes information associated with the ENUM domain name in the local
1607                    data stores and updates the zone file and notifies the associated Registrar.
1608             2.     The Tier 1B Registry may inform the technical contacts via e-mails associated with the
1609                    ENUM domain name to remove the NAPTR RRs from the nameservers.

1610   8.4              Area Code Split
1611   An area code is split; the new area code is assigned to the same Tier 1B Registry that handles the old area
1612   code.

1613   8.4.1            Assumptions
1614            The Tier 1B Registry, the ENUM Registrars and the Tier 2 Providers that are involved with the
1615             telephone numbers (TNs) impacted by the area code split will take the necessary steps to support
1616             the area code split and the permissive dialing period 3 whether the ENUM Registrant informs them
1617             about the area code split/TN change or not.
1618            The ENUM domain name that is associated with the TN under the old area code is referred to as
1619             the "old ENUM domain name." The ENUM domain name that is associated with the TN under
1620             the new area code is referred to as the "new ENUM domain name." For example, if the TN 703-
1621             434-1234 has registered for ENUM and is to be changed to 571-434-1234, the old ENUM domain
1622             name would be "4.3.2.1.4.3.4.3.0.7.1.e164.arpa," and the new ENUM domain name would be
1623             "4.3.2.1.4.3.4.1.7.5.1.e164.arpa." The TN under the old area code (e.g., 703-434-1234) is referred
1624             to as the "old TN," and the TN under the new area code (e.g., 571-434-1234) is referred to as the
1625             "new TN."
1626            Only the ENUM domain names that are associated with the TNs impacted by the area code split
1627             (those that are to be changed to the new area code) are discussed. ENUM domain names that are
1628             not impacted by the area code split are handled by the usual procedures. For example, if 703-538-
1629             6789 is not subject to the area code change, its associated ENUM domain name,
1630             9.8.7.6.8.3.5.3.0.7.1.e164.arpa, will remain the same.



       3 The permissive dialing period is the interval during which the TN under either the old area code or the
       new area code can be dialed to reach the same termination. The length of the permissive dialing period
       is normally a few months and is set by the state Public Utility Commission for each involved area code.


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       Tier 1B Technical and Operational Requirements                        CC1 ENUM LLC TAC-15.00001-2005


1631            T1 is the time (e.g., 12:01am EST on 6/1/01) when the new area code (e.g., 434 split from the old
1632             area code 804) becomes effective and the permissive dialing period begins. T2 is the time (e.g.,
1633             12:01am EST on 1/15/02) when the permissive dialing period ends.
1634            Normally an area code split involves only the area code change; however, it may happen that both
1635             the area code and the office code of a TN are changed. When an area code change is mentioned
1636             in this document, it also covers the case when both the area code and the office code are changed.
1637             In very rare cases, an area code split may be done based on a geographical boundary (e.g., a
1638             country line), which may result in a situation of "partitioned NPA-NXX." Some TNs in an NPA-
1639             NXX are changed to the new area code, while others remain in the old area code. Further study
1640             will determine how specific TNs under a partitioned NPA+NXX code can be obtained from
1641             telephony service providers (TSPs) since only the serving TSP of a TN knows whether that TN is
1642             impacted by the area code split. It may also be possible, although this is unlikely, to directly verify
1643             with the ENUM Registrant whether his/her TN is impacted by the area code split.
1644            The Tier 1B Registry shall monitor the The North American Numbering Plan Administrator
1645             (NANPA) website (http://www.nanpa.com) for impending area code splits, and use other
1646             information sources (e.g., the "area code split exchange diskette" from Telcordia
1647             (http://www.trainfo.com) as needed to maintain an up-to-date list of the affected NPA-NXX codes
1648             for a particular area code.

1649   8.4.2            Provisioning Procedures

1650   8.4.2.1          Procedures/Guidelines for a Tier 1B Registry with a Permissive Dialing Period
1651   One week before T1, the Tier 1B Registry shall send an e-mail message to each associated ENUM
1652   Registrar about the area code split and to remind it to take the appropriate actions required by the area
1653   code split.
1654   At no time before the T1 shall the Tier 1B Registry accept any request on any new ENUM domain name
1655   from the ENUM Registrar. This is because the new TN under the new area code is not yet effective
1656   before T1.
1657   Starting at T1, the Tier 1B Registry shall be capable of accepting and responding to any request made on
1658   the new ENUM domain name from the ENUM Registrar, and shall perform data updates on the local data
1659   stores and zone files, if applicable.
1660   The Tier 1B Registry shall not accept any request on any old ENUM domain name from the ENUM
1661   Registrar during the permissive dialing period.
1662   At T1, the Tier 1B Registry shall perform zone file updates to add all the new ENUM domain names.
1663   One, or more than one, new zone files may be created, or new data is added, to the existing zone file for
1664   those new ENUM domain names with exactly the same nameserver information copied from those
1665   associated with the corresponding old ENUM domain names at T1. 4 The Tier 1B Registry shall not
1666   remove the Nameserver (NS) RRs associated with the old ENUM domain names from the existing zone
1667   file(s).



       4The new and old ENUM domain names may or may not be in the same zone file depending on how the
       zones are cut/delegated.

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       Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


1668   The Tier 1B Registry should progressively reduce the Time to Live (TTL) values for the resource records
1669   associated with the old ENUM domain name so that such records will not persist in resolver caches
1670   beyond T2.
1671   The TTL in the NS RRs associated with the new ENUM domain name is set to a typical value (e.g., from
1672   a day to a week) depending on the Tier 1B Registry policy (e.g., frequency of zone file updates).
1673   Within twenty-four hours after T1, the Tier 1B Registry shall update its stored information to reflect the
1674   area code change on all the TNs. It shall search the local data stores and change all the TNs that are
1675   subject to the area code change, not just those that are associated with the old ENUM domain names. This
1676   will change all the phone numbers and fax numbers in the contact information of all the records.
1677   The Tier 1B Registry shall not accept any request (e.g., create, check, update, renew or transfer) on any
1678   old ENUM domain name during the permissive dialing period while it maintains records associated with
1679   the old ENUM domain name.
1680   The Tier 1B Registry shall keep the nameserver information in the zone file, and information in the local
1681   data stores associated with each new ENUM domain name, synchronized with those associated with the
1682   corresponding old ENUM domain name during the permissive dialing period. Any update request on the
1683   new ENUM domain name that is received from the ENUM Registrar during the permissive dialing period
1684   shall cause the same update on the old ENUM domain name. This includes the data in the ContactInfo
1685   database in case there are inquires about the ContactInfo information on the old ENUM domain names.
1686   Because of this need for data synchronization, it is highly recommended that the same Tier 1B Registry
1687   handle both the old and new area codes when there is an area code split.
1688   During the permissive dialing period, if the Tier 1B Registry receives a create request for an ENUM
1689   domain name that is available (e.g., no record exists for this ENUM domain name) and the associated TN
1690   is a new TN due to an area code split, it shall create a record for the old ENUM domain name in addition
1691   to the record for the new ENUM domain name.
1692   At T2, the Tier 1B Registry shall perform zone file updates to remove the NS RRs associated with the old
1693   ENUM domain names. It shall remove all the records associated with the old ENUM domain names from
1694   the local data stores.
1695   After the permissive dialing period expires, the Tier 1B Registry shall expect new ENUM registrations on
1696   the old ENUM domain names because the associated TNs can be reassigned to new telephony subscribers.
1697   Within twenty-four hours after T2, the Tier 1B Registry should send an e-mail message to each technical
1698   contact and ENUM Registrant that is associated with each old ENUM domain name to remind them to
1699   update the zone file(s) by removing any RR in the zone file and the data in the local data stores that is
1700   associated with the old ENUM domain name.

1701   8.4.3         Procedures/Guidelines for a Tier 1B Registry without a Permissive Dialing Period
1702   Since there is no permissive dialing period, T1 and T2 are the same. T1 in this case is the time when the
1703   new TN must be dialed and the old TN must not be dialed.
1704   One week before T1, it is recommended that the Tier 1B Registry send an e-mail message to each
1705   associated ENUM Registrar about the area code split and to remind them to take the appropriate actions
1706   required by the area code split.
1707   At no time before T1 shall the Tier 1B Registry accept any request on any new ENUM domain name from
1708   the ENUM Registrar. This is because the new TN under the new area code is not yet effective before T1.

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       Tier 1B Technical and Operational Requirements                    CC1 ENUM LLC TAC-15.00001-2005


1709   The Tier 1B Registry should progressively reduce the Time to Live (TTL) values for the resource records
1710   associated with the old ENUM domain name so that such records will not persist in resolver caches
1711   beyond T1.
1712   At T1, the Tier 1B Registry shall perform zone file updates to change all the old ENUM domain names to
1713   the new ENUM domain names while keeping the nameserver information unchanged. This can also be
1714   done by adding the NS RRs for the new ENUM domain names and removing those associated with the old
1715   ENUM domain names when dynamic updates are done. The TTL in the NS RRs associated with the new
1716   ENUM domain names should be set to a typical value (e.g., from a day to a week) depending on the Tier 1
1717   Registry policy (e.g., frequency of zone file updates).
1718   Starting at T1, the Tier 1B Registry shall be capable of accepting and responding to any request made on
1719   the new ENUM domain name from the ENUM Registrar and shall perform data updates on the local data
1720   stores and zone files, if applicable.
1721   Within twenty-four (24) hours after T1, the Tier 1B Registry shall update its stored information to reflect
1722   the area code change on all the TNs. It shall search the local data stores and change all the TNs that are
1723   subject to the area code change, not just those that are associated with the old ENUM domain names. This
1724   will change all the phone numbers and fax numbers in the contact information of all the records.
1725   After T1, the Tier 1B Registry shall expect new ENUM registrations on the TNs under the old area code
1726   because the associated TNs can be reassigned to new telephony subscribers.

1727   8.4.4   Procedures/Guidelines for an ENUM Registrar with a Permissive Dialing Period
1728   The ENUM Registrar should be aware of any area code split and the associated T1 and T2 that impacts the
1729   ENUM domain names registered through it. The Tier 1B Registry will notify Registrars of impending
1730   area code splits.
1731   One week before T1, it is recommended that the ENUM Registrar inform the ENUM Registrant, based on
1732   the Registrant contact information, about the changes of the ENUM domain name and the contacts' phone
1733   numbers and/or fax numbers for each old ENUM domain name. If it has the technical contact information
1734   or if it deals with the Tier 2 Provider, the ENUM Registrar should send an e-mail message to each
1735   technical contact or the contact person of the Tier 2 Provider to remind him/her to update the zone file(s)
1736   by adding the NS RRs and the Naming Authority Pointer (NAPTR) RRs for the new ENUM domain name
1737   before T1 and to leave the NS RRs and the NAPTR RRs associated with the old ENUM domain names in
1738   the existing zone file(s) until the permissive dialing period expires.
1739   At no time before T1 may the ENUM Registrar accept any request on any new ENUM domain name from
1740   the ENUM Registrant, nor shall they submit any request on any new ENUM domain name to the Tier 1B
1741   Registry.5
1742   Within twenty-four hours after T1, the ENUM Registrar shall update its stored information to reflect the
1743   area code change on all the TNs. It shall search the databases and change any TN that is subject to the
1744   area code change. This will change all the phone numbers and fax numbers in the contact information in
1745   all the records.




       5The ENUM Registrar could accept the requests and wait until T1 to submit the requests to the Tier 1B
       Registry, or it could submit the requests using the old ENUM domain names before T1.

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       Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005


1746   It is recommended that the ENUM Registrar verify with the ENUM Registrant, or the Tier 2 Provider if it
1747   is allowed to access/update data, whether a telephone number is correct when it receives a request during
1748   the permissive dialing period to add a phone or fax number or to change to a phone or fax number that is
1749   in a NPA-NXX subject to an area code change due to an area code split.
1750   Starting at T1, the ENUM Registrar shall be capable of accepting and responding to any request made on
1751   the new ENUM domain name from the ENUM Registrant, and shall perform data updates on the local
1752   data stores and the Tier 1B Registry, if applicable.
1753   The ENUM Registrar shall stop accepting any request on any old ENUM domain name during the
1754   permissive dialing period. If the ENUM Registrar receives any request on the old ENUM domain name
1755   from the ENUM Registrant during the permissive dialing period, it should inform the ENUM Registrant
1756   about the change to the new ENUM domain name due to an area code split. It shall also inform the
1757   ENUM Registrant and/or the technical contact to have the NAPTR RRs that are associated with both the
1758   new and old ENUM domain names in the Tier 2 Provider's nameservers.
1759   During the permissive dialing period, if the ENUM Registrar receives a new registration for an ENUM
1760   domain name that is available (e.g., no record exists for this ENUM domain name) and the associated TN
1761   is a new TN due to an area code split, it shall submit a create request on the new ENUM domain name and
1762   shall inform the ENUM Registrant and/or the technical contact to have the NAPTR RRs that are
1763   associated with both the new and old ENUM domain names in the Tier 2 Provider's nameservers.
1764   The ENUM Registrant may inform the ENUM Registrar about the TN change whether it is related to the
1765   ENUM domain name or any phone or fax number. The ENUM Registrar can confirm/ignore the update
1766   request if the change has been made automatically and may double check whether the change has been
1767   made correctly.
1768   After the permissive dialing period expires, the ENUM Registrar shall expect new ENUM registrations on
1769   the old ENUM domain names because the associated TNs can be reassigned to new telephony subscribers.
1770   Within twenty-four hours after T2, the ENUM Registrar should send an e-mail to each technical contact
1771   and ENUM Registrant that are associated with each old ENUM domain name to remind them to update
1772   the zone file(s) by removing any RR in the zone file and the data in the local data stores that are associated
1773   with the old ENUM domain name.
1774

1775   8.4.5          Procedures/Guidelines for an ENUM Registrar without a Permissive Dialing Period
1776   The ENUM Registrar should be aware of any area code split and the associated T1 that impacts the
1777   ENUM domain names registered through it. The Tier 1B Registry will notify Registrars of impending
1778   area code splits.
1779   One week before T1, it is recommended that the ENUM Registrar inform the ENUM Registrant, based on
1780   the Registrant contact information, about the changes of the ENUM domain name and the contacts' phone
1781   numbers and/or fax numbers for each old ENUM domain name. If it has the technical contact information
1782   or if it deals with the Tier 2 Provider, the ENUM Registrar should send an e-mail message to each
1783   technical contact or the contact person of the Tier 2 Provider to remind him/her to update the zone file(s)
1784   by adding the NS RRs and the NAPTR RRs for the new ENUM domain name, and by removing those
1785   RRs associated with the old ENUM domain name at T1.



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       Tier 1B Technical and Operational Requirements                   CC1 ENUM LLC TAC-15.00001-2005


1786   At no time before T1 may the ENUM Registrar accept any request on any new ENUM domain name from
1787   the ENUM Registrant; nor shall they submit any request on any new ENUM domain name to the Tier 1B
1788   Registry.
1789   Within five minutes after T1, the ENUM Registrar shall update its stored information to reflect the area
1790   code change on all the TNs. It shall search the databases and change any TN that is subject to the area
1791   code change. This will change all the phone numbers and fax numbers in the contact information in all
1792   the records.
1793   It is recommended that the ENUM Registrar verify with the ENUM Registrant, or a Tier 2 Provider if it is
1794   allowed to access/update data, whether a telephone number is correct when it receives a request within one
1795   month after T1 to add a phone or fax number or to make a change to a phone or fax number that is in a
1796   NPA+NXX subjecting to an area code change due to area code split.
1797   Starting at T1, the ENUM Registrar shall be capable of accepting and responding to any request made on
1798   the new ENUM domain name from the ENUM Registrant, and shall perform data updates on the local
1799   data stores and the Tier 1B Registry, if applicable.
1800   The ENUM Registrant may inform the ENUM Registrar about the TN change whether it is related to the
1801   ENUM domain name or any phone or fax number before or after T1. The ENUM Registrar can
1802   confirm/ignore the update request if the change has been made automatically and may double check
1803   whether the change has been made correctly.
1804   After T1, the ENUM Registrar shall expect new ENUM registrations on the old ENUM domain names
1805   because the associated TNs can be reassigned to new telephony subscribers.
1806

1807   SECTION 9.0           DISPUTE RESOLUTION
1808
1809
1810
1811
1812
1813




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       Tier 1B Technical and Operational Requirements                      CC1 ENUM LLC TAC-15.00001-2005



1814   APPENDIX 1 REGISTRY/REGISTRAR AGREEMENTS - SUGGESTED TERMS AND CONDITIONS
1815
1816

1817   APPENDIX 2 FURTHER CONSIDERATIONS FOR RFP DEVELOPMENT
1818   5-25-05
1819      Bidders need to address how they will comply with privacy and other regulations (ContactInfo) where
1820       they either store the data or if required where the data is originated. Example – CA privacy regulations
1821       differ from other states. (Place at end of old Section 5.4.6)
1822      System ready date – for vendor implementation timeline end point, and will also be the start of the
1823       Beta period, which will need to be determined in order to identify commercial start date.
1824      Turn up testing timeline / requirements for registrars and integration into system ready timeline
1825       process (See Section 5.8/5.9)
1826      Need to have vendor notified that they need to prepare and be compliant with future relevant standards
1827       and national legal/regulatory obligations. When new standard published, vendor needs to notify LLC
1828       and present and implementation plan within 30 days of that notification.
1829      Need to specify / outline future system change management process for bidder
1830      Need agreement technical details developed for the following:
1831            Tier 1A Registry – CC1 ENUM LLC Agreement
1832            Tier 1B Registry US portions of the NANP – CC1 ENUM LLC Agreement for the US
1833            Tier 1B Registry all other NANP Countries – Party to be determined by each NANP country
1834            Tier 1B Registry – ENUM Registrar’s Agreement (Defined by contracting entity and embodied in
1835            an agreement) (To be captured in Appendix 1)
1836
1837            Tier 1B will develop the registrar accreditation and registrar agreement process, subject to the
1838            approval of the ENUM LLC and the appropriate regulatory authority. (Suggestions to be captured
1839            in Appendix 1)
1840   
1841
1842   6-9-05
1843   [Infrastructure ENUM issues are TBD].
1844   Editor’s Note: Need contributions on Registry Database and SRS sections to clarify functionality
1845   and requirements
1846   (Editor’s Note – bidders to respond with details on physical facilities that will be provided to
1847   support SLR’s)
1848   (Editors Note: Physical location of the Tier 1B facilities must be within a NANP member country’s
1849   borders.)

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       Tier 1B Technical and Operational Requirements                 CC1 ENUM LLC TAC-15.00001-2005


1850   Editor’s Note: Need to address Geographic and network diversity requirements and tie it to SLRs.
1851   Network diversity is more important that geographic distribution.
1852   Acton Item: Effective dates for registrations (thick registry model) Need information on the
1853   effective end date, start stop dates or what is the length of registration period
1854   Transaction Signatures (TSIG), as described in RFC 2845, will be used for any/all data transmission
1855   between ENUM Tier 1B Registry and Tier 2 nameservers. (Note need to ensure TSIG is addressed in
1856   new provisioning section) (Need to review to determine if needed in Section 8.1 – Interface Section and
1857   need to capture RFC in Section 2.0 References at minimum)
1858
1859
1860




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