Internet Engineering Task Force G. Lozano, Ed. Internet-Draft ICANN Intended status: Informational B. Hoeneisen Expires: October 10, 2013 Ucom.ch April 08, 2013 TMCH functional specifications draft-lozano-tmch-func-spec-04 Abstract This document describes the requirements, the architecture and the interfaces between the Trademark Clearing House (TMCH) and Domain Name Registries as well as between the TMCH and Domain Name Registrars for the provisioning and management of domain names during Sunrise and Trademark Claims Period of a domain name Registry. Status of this Memo This Internet-Draft is submitted in full conformance with the provisions of BCP 78 and BCP 79. Internet-Drafts are working documents of the Internet Engineering Task Force (IETF). Note that other groups may also distribute working documents as Internet-Drafts. The list of current Internet- Drafts is at http://datatracker.ietf.org/drafts/current/. Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress." This Internet-Draft will expire on October 10, 2013. Copyright Notice Copyright (c) 2013 IETF Trust and the persons identified as the document authors. All rights reserved. This document is subject to BCP 78 and the IETF Trust's Legal Provisions Relating to IETF Documents (http://trustee.ietf.org/license-info) in effect on the date of publication of this document. Please review these documents carefully, as they describe your rights and restrictions with respect to this document. Code Components extracted from this document must include Simplified BSD License text as described in Section 4.e of the Trust Legal Provisions and are provided without warranty as Lozano & Hoeneisen Expires October 10, 2013 [Page 1] Internet-Draft TMCH functional specifications April 2013 described in the Simplified BSD License. Table of Contents 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 4 1.1. Discussion . . . . . . . . . . . . . . . . . . . . . . . . 4 2. Terminology . . . . . . . . . . . . . . . . . . . . . . . . . 4 3. Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 4. Architecture . . . . . . . . . . . . . . . . . . . . . . . . . 9 4.1. Sunrise Period . . . . . . . . . . . . . . . . . . . . . . 9 4.2. Trademark Claims Period . . . . . . . . . . . . . . . . . 10 4.3. Interfaces . . . . . . . . . . . . . . . . . . . . . . . . 11 4.3.1. hv . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4.3.2. vd . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4.3.3. dy . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4.3.4. tr . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4.3.5. ry . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4.3.6. dr . . . . . . . . . . . . . . . . . . . . . . . . . . 12 4.3.7. yd . . . . . . . . . . . . . . . . . . . . . . . . . . 12 4.3.8. dv . . . . . . . . . . . . . . . . . . . . . . . . . . 12 4.3.9. vh . . . . . . . . . . . . . . . . . . . . . . . . . . 12 4.3.10. vs . . . . . . . . . . . . . . . . . . . . . . . . . . 12 4.3.11. sy . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4.3.12. sr . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4.3.13. vc . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4.3.14. cy . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4.3.15. cr . . . . . . . . . . . . . . . . . . . . . . . . . . 13 5. Process Descriptions . . . . . . . . . . . . . . . . . . . . . 14 5.1. Bootstrap . . . . . . . . . . . . . . . . . . . . . . . . 14 5.1.1. Registries . . . . . . . . . . . . . . . . . . . . . . 14 5.1.1.1. Credentials . . . . . . . . . . . . . . . . . . . 14 5.1.1.2. IP Addresses for Access Control . . . . . . . . . 14 5.1.1.3. TMCH Trust Anchor . . . . . . . . . . . . . . . . 14 5.1.1.4. TMDB/SMDM PGP Key . . . . . . . . . . . . . . . . 15 5.1.2. Registrars . . . . . . . . . . . . . . . . . . . . . . 15 5.1.2.1. Credentials . . . . . . . . . . . . . . . . . . . 15 5.1.2.2. IP Addresses for Access Control . . . . . . . . . 15 5.1.2.3. TMCH Trust Anchor . . . . . . . . . . . . . . . . 16 5.1.2.4. TMDB PGP Key . . . . . . . . . . . . . . . . . . . 16 5.2. Sunrise Period . . . . . . . . . . . . . . . . . . . . . . 17 5.2.1. Domain Registration . . . . . . . . . . . . . . . . . 17 5.2.2. DN Registration by Registries . . . . . . . . . . . . 18 5.2.3. TMCH Sunrise Services for Registries . . . . . . . . . 20 5.2.3.1. SMD Revocation List . . . . . . . . . . . . . . . 20 5.2.3.2. Certificate Revocation List . . . . . . . . . . . 21 5.2.3.3. Notice of Registered Domain Names . . . . . . . . 22 5.2.4. DN registration by Registrars . . . . . . . . . . . . 24 Lozano & Hoeneisen Expires October 10, 2013 [Page 2] Internet-Draft TMCH functional specifications April 2013 5.2.5. TMCH Sunrise Services for Registrars . . . . . . . . . 24 5.3. Trademark Claims Period . . . . . . . . . . . . . . . . . 25 5.3.1. Domain Registration . . . . . . . . . . . . . . . . . 25 5.3.2. DN registration by Registries . . . . . . . . . . . . 26 5.3.3. Trademark Claims Services for Registries . . . . . . . 28 5.3.3.1. Domain Name Label (DNL) List . . . . . . . . . . . 28 5.3.3.2. Notice of Registered Domain Names . . . . . . . . 28 5.3.4. DN Registration by Registrars . . . . . . . . . . . . 29 5.3.5. Trademark Claims Services for Registrars . . . . . . . 30 5.3.5.1. Claims Notice Information Service . . . . . . . . 30 6. Data Format Descriptions . . . . . . . . . . . . . . . . . . . 31 6.1. DNL List file . . . . . . . . . . . . . . . . . . . . . . 31 6.2. SMD revocation list . . . . . . . . . . . . . . . . . . . 33 6.3. LORDN File . . . . . . . . . . . . . . . . . . . . . . . . 35 6.3.1. LORDN Log File . . . . . . . . . . . . . . . . . . . . 38 6.3.1.1. LORDN Result Codes . . . . . . . . . . . . . . . . 41 6.4. SMD File . . . . . . . . . . . . . . . . . . . . . . . . . 44 6.5. Trademark Claims Notice . . . . . . . . . . . . . . . . . 46 7. Formal Syntax . . . . . . . . . . . . . . . . . . . . . . . . 50 7.1. Trademark Claims Notice . . . . . . . . . . . . . . . . . 50 8. Status of this Draft . . . . . . . . . . . . . . . . . . . . . 52 9. Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . 52 10. IANA Considerations . . . . . . . . . . . . . . . . . . . . . 53 11. Security Considerations . . . . . . . . . . . . . . . . . . . 53 12. References . . . . . . . . . . . . . . . . . . . . . . . . . . 53 12.1. Normative References . . . . . . . . . . . . . . . . . . . 53 12.2. Informative References . . . . . . . . . . . . . . . . . . 53 Appendix A. Document Changelog . . . . . . . . . . . . . . . . . 54 Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . . . 55 Lozano & Hoeneisen Expires October 10, 2013 [Page 3] Internet-Draft TMCH functional specifications April 2013 1. Introduction Domain Name Registries may operate in special modes within certain periods of time to facilitate registration of domain names. Along with the upcoming introduction of new generic Top Level Domains (gTLD), two special modes will come into effect: o Sunrise Period o Trademark Claims Period The Sunrise and Trademark Claims Periods are defined in the gTLD Applicant Guidebook [ICANN-GTLD-AGB-20120604]. This document describes the requirements, the architecture and the interfaces between the Trademark Clearing House (TMCH) and Domain Name Registries as well as between the TMCH and Domain Name Registrars for the provisioning and management of domain names during the Sunrise and Trademark Claims Periods. After the Terminology (Section 2) the Glossary (Section 3) is listed, followed by the architecture (Section 4) and the different process descriptions (Section 5). Afterwards, in Section 6, the necessary Data Formats are defined, followed by their formal syntax (Section 7). For any date and/or time indications, Coordinated Universal Time (UTC) applies. 1.1. Discussion Any interested parties are invited to contribute to the discussion of this draft and provide feedback. The discussion currently takes place on the tmch-tech discussion list . Interested parties can subscribe to this mailing list via < https://mm.icann.org/mailman/listinfo/tmch-tech >. 2. Terminology The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in [RFC2119]. XML is case sensitive. Unless stated otherwise, XML specifications and examples provided in this document MUST be interpreted in the character case presented in order to develop a conforming Lozano & Hoeneisen Expires October 10, 2013 [Page 4] Internet-Draft TMCH functional specifications April 2013 implementation. "tmNotice-1.0" is used as an abbreviation for "urn:ietf:params:xml:ns:tmNotice-1.0". The XML namespace prefix "tmNotice" is used, but implementations MUST NOT depend on it and instead employ a proper namespace-aware XML parser and serializer to interpret and output the XML documents. 3. Glossary In the following the most common terms are briefly explained: o Effective allocation: A DN is considered effectively allocated when the DN object for the DN has been created in the SRS of the Registry and has been assigned to the effective user. A DN object in status "pendingCreate" or any other status that precedes the first time a DN is assigned to an end-user is not considered an effective allocation. A DN object created internally by the Registry for subsequent delegation to another Registrant is not considered an effective allocation. o Backend Registry Operator: Entity that manages (a part of) the technical infrastructure for a Registry Operator. The Registry Operator may also be the Backend Registry Operator. o CA: Certificate Authority, see [RFC5280] and [RFC6818] o CSV: Comma-Separated Values, see [RFC4180] o CNIS, Claims Notice Information Service: This service provides trademark claims notices to Registrars. o CRC32, Cyclic Redundancy Check: algorithm used in the ISO 3309 standard and in section 8.1.1.6.2 of ITU-T recommendation V.42. o CRL: Certificate Revocation List, see [RFC5280] and [RFC6818]. o Date and time, datetime: Date and time are specified following the standard "Date and Time on the Internet specification", see [RFC3339]. o DN: Domain Name, see [RFC1034] o DNS: Domain Name System, see [RFC1034] o DNL, Domain Name Label: A label as specified in [RFC1035]. For IDNs the A-Label is used [RFC5890]. Lozano & Hoeneisen Expires October 10, 2013 [Page 5] Internet-Draft TMCH functional specifications April 2013 o DNL List: A list of DNL that are covered by a PRM. o EPP: Extensible Provisioning Protocol, see [RFC5730]. o FQDN: Fully Qualified Domain Name (e.g. myname.example.com) o HTTP: Hypertext Transfer Protocol, see [RFC2616] o HTTPS: HTTP over TLS (Transport Layer Security), [RFC5246]. o ICANN-CA: ICANN's Certificate Authority (CA); Trust Anchor for the SMD PKI model. o IDN: Internationalized Domain Name, see [RFC5890] o LORDN, List of Registered Domain Names: This is the list of effectively allocated domain names matching a DNL of a PRM that Registries daily upload to the TMDB (during the NORDN process). o Lookup Key: A random string of up to 64 chars from the set [a-zA- Z0-9/] to be used as the lookup Key by Registrars to obtain the claims notice using the CNIS. Lookup Keys are unique and are related to one DNL only. o NORDN, Notification of Registered Domain Names: The process by which Registries daily upload their recent LORDN to the TMDB. o PGP: Pretty Good Privacy, see [RFC4880] o PKI: Public Key Infrastructure, see [RFC5280] and [RFC6818] o PRM, Pre-registered mark: Mark that has been pre-registered with the TMCH. o Registrant: Person or Organization registering a Domain Name via a Registrar. o Registrar, Domain Name Registrar: Entity that registers Domain Names with the Registry on behalf of the Registrant. o Registry, Registry Operator, Domain Name Registry: Entity that accepts Domain Name registrations from Registrars, maintains the central Database of Registered Domains. A Registry Operator is the contracting party for the TLD. o SMD, Signed Mark Data: A cryptographically signed token issued by the TMV to the TMH to be used in the Sunrise Period to apply for a Domain Name that matches a DNL of a PRM; see also Lozano & Hoeneisen Expires October 10, 2013 [Page 6] Internet-Draft TMCH functional specifications April 2013 [I-D.lozano-tmch-smd] o SMD File: A file containing the SMD (see above) and some human readable data. The latter is usually ignored in the processing of the SMD File. See also Section 6.4. o SMDM, SMD Manager: A entity managing the SMDs, mainly maintaining lists of revoked SMDs; see also [I-D.lozano-tmch-smd] o SMD revocation list: The SMD revocation list is used by Registries (and optionally by Registrars) during the Sunrise Period to ensure that an SMD is still valid (i.e. not revoked). The SMD revocation list has a similar function as CRLs used in PKI. o SRS: Shared Registration System, see also [ICANN-GTLD-AGB-20120604]. o Sunrise Period: During this period Domain Names matching a DNL of a PRM can be exclusively obtained by the respective mark holders. For domain names matching a PRM, a special process applies to ensure a TMH gets informed on the effective allocation of a domain name matching his/her PRM. Every launch of a new gTLD Registry starts with a Sunrise Period, followed by a Trademark Claims Period. o TLD: Top Level Domain Name, see [RFC1591] o Trademark, mark: Marks are used to claim exclusive properties of products or services. A mark is typically a name, word, phrase, logo, symbol, design, image, or a combination of these elements. For the scope of this document only textual marks are relevant. o Trademark Claims, Claims: Provides information to enhance the understanding of the Trademark rights being claimed by the Trademark Holder. o Trademark Claims Notice, Claims Notice, Trademark Notice, TCN: A Trademark Claims Notice consist of one or more Trademark Claims and are provided to prospective Registrants of Domain Names. o Trademark Claims Notice Identifier, Claims Notice Identifier, Claims Notice ID, TCNID: An element of the Trademark Claims Notice (see above), identifying said Claims Notice. The Trademark Claims Notice identifier is specified in the element . o Trademark Claims Period: During this period, a special process applies to DNs matching the DNL list, to ensure a TMH gets informed of a domain name matching his PRM. For DNs matching the Lozano & Hoeneisen Expires October 10, 2013 [Page 7] Internet-Draft TMCH functional specifications April 2013 DNL list, Registrars show a Trademark Claims Notice to prospective Registrants that has to be acknowledged before effective allocation. o TMCH, Trademark Clearinghouse: The Trademark Clearinghouse is an ICANN central repository for information to be authenticated, stored, and disseminated, pertaining to the rights of trademark holders. The Clearinghouse is split into two functions TMV and TMDB (see below). There could be several entities performing the TMV function, but only one entity performing the TMDB function. o TMDB, Trademark Clearinghouse Database: Serves as a database of the TMCH to provide information to the new gTLD Registries and Registrars to support Sunrise or Trademark Claims Services. There is only one TMDB in the TMCH that concentrates the information about the "verified" Trademark records from the TMVs. o TMH, Trademark Holder: The person or organization owning rights on a Trademark. o TMV, Trademark Validator, Trademark validation organization: An entity authorized by ICANN to authenticate and validate registrations in the TMDB ensuring the marks qualify as registered or are court-validated marks or marks that are protected by statute or treaty. This entity would also be asked to ensure that proof of use of marks is provided, which can be demonstrated by furnishing a signed declaration and one specimen of current use. o UTC: Coordinated Universal Time, as maintained by the Bureau International des Poids et Mesures (BIPM); see also [RFC3339]. Lozano & Hoeneisen Expires October 10, 2013 [Page 8] Internet-Draft TMCH functional specifications April 2013 4. Architecture 4.1. Sunrise Period Architecture Sunrise Period SMD hand over (out of band; trivial if Registrant == TMH) ........................................... : : : .'''''''''''''''''''. : : . TMCH . : : ..................... : v . . : .------------. . .-------------. . hv .-----. | Registrant | . | TMV |<------->| TMH | '------------' . '-------------' . vh '-----' | . | ^ \ . | . | | \. tr | . vs | | \ | . | | dv .\ v . v | . \ .-----------. sr . .---. | . \ .->| Registrar |<.........| S | vd | . \ : '-----------' . | M | | . \ : | sy . | D | v . \ : ry | .-----------| M | .---. . vc \ : | | . '---' | T | . \ : v v . | M | . v : .-----------. . | D | . .----------. : | Registry |----------------->| B | . | ICANN-CA | : '-----------' . yd '---' . '----------' : ^ . . | : : | ''''''''''''''''''' | : : | cy | : : cr '---------------------------------------' : :.....................................................: Figure 1 Lozano & Hoeneisen Expires October 10, 2013 [Page 9] Internet-Draft TMCH functional specifications April 2013 4.2. Trademark Claims Period Architecture Trademark Claims Period .'''''''''''''. . TMCH . ............... . . .------------. . .-------. . hv .-----. | Registrant | . | TMV |<------->| TMH | '------------' . '-------' . vh '-----' | . ^ . tr | . | dv . | . vd | . v . v . .-----------. dr . .-------. . | Registrar |<--------| T | . '-----------' . | | . | . | M | . ry | . | | . v . | D | . .----------. dy . | | . | Registry |<------->| B | . '----------' yd . '-------' . . . ''''''''''''' Figure 2 Lozano & Hoeneisen Expires October 10, 2013 [Page 10] Internet-Draft TMCH functional specifications April 2013 4.3. Interfaces In the sub-sections below follows a short description of each interface to provide an overview of the architecture. More detailed descriptions of the relevant interfaces follow further below (Section 5). 4.3.1. hv The TMH registers a mark with a TMV via the hv interface. After the successful registration of the mark, the TMV makes available a SMD (Signed Mark Data) file (see also Section 6.4) to the TMH to be used during the Sunrise Period. The specifics of the hv interface are beyond the scope of this document. 4.3.2. vd After successful mark registration, the TMV ensures the TMDB inserts the corresponding DNLs and mark information into the database via the vd interface. The specifics of the vd interface are beyond the scope of this document. 4.3.3. dy Not used during the Sunrise Period. During the Trademark Claims Period the Registry fetches the latest DNL list from the TMDB via the dy interface in regular intervals. The protocol used on the dy interface is HTTPS. 4.3.4. tr The Registrant communicates with the Registrar via the tr interface. The specifics of the tr interface are beyond the scope of this document. 4.3.5. ry The Registrar communicate with the Registry via the ry interface. The ry interfaces is typically implemented in EPP [RFC5730]. A TMCH specific EPP standard extension is yet to be developed. Lozano & Hoeneisen Expires October 10, 2013 [Page 11] Internet-Draft TMCH functional specifications April 2013 4.3.6. dr Not used during the Sunrise Period. During the Trademark Claims Period the Registrar fetches the Trademark Claims Notice from the TMDB (to be displayed to the Registrant via the tr interface) via the dr interface. The protocol used for fetching the Trademark Claims Notice is HTTPS [RFC2818]. 4.3.7. yd During the Sunrise period the Registry notifies the TMDB daily via the yd interface of all domain names effectively allocated. During the Trademark Claims period, the Registry notifies daily the TMDB via the yd interface of all domains effectively allocated that matched an entry in the Registry's DNL during the creation of the domain name. The protocol used on the yd interface is HTTPS. 4.3.8. dv The TMDB notifies via the dv interface to the TMV of all domains effectively allocated that match a mark registered by that TMV. The specifics of the dv interface are beyond the scope of this document. 4.3.9. vh The TMV notifies the TMH via the vh interface after a domain has been effectively allocated that matches a PRM of this TMH. The specifics of the vh interface are beyond the scope of this document. 4.3.10. vs The TMV requests to add a revoked SMD to the list of revoked SMDs at the SMDM. The specifics of the vs interface are beyond the scope of this document. Not relevant during the Trademark Claims Period. Lozano & Hoeneisen Expires October 10, 2013 [Page 12] Internet-Draft TMCH functional specifications April 2013 4.3.11. sy During the Sunrise Period the Registry fetches the most recent list of revoked SMDs from the SMDM via the sy interface in regular intervals. The protocol used on the sy interface is HTTPS. Not relevant during the Trademark Claims Period. 4.3.12. sr During the Sunrise Period the Registrar may fetch the most recent list of revoked SMDs from the SMDM via the sr interface. The protocol used on the sr interface is the same as on the sy interface (s. above), i.e. HTTPS. Not relevant during the Trademark Claims Period. 4.3.13. vc The TMV requests to add a revoked TMV certificate to the CRL at the ICANN-CA via the vc interface. The specifics of the vc interface are beyond the scope of this document. Not relevant during the Trademark Claims Period. 4.3.14. cy During the Sunrise Period the Registry fetches the most recent CRL from the ICANN-CA via the cy interface in regular intervals. The CRL is mainly used for validation of TMV certificates. The protocol used on the cy interface is HTTPS [RFC2818]. Not relevant during the Trademark Claims Period. 4.3.15. cr During the Sunrise Period the Registrar may fetch the most recent CRL from the ICANN-CA via the cr interface. The protocol used on the cr interface is the same as on the cy interface (s. above). Not relevant during the Trademark Claims Period. Lozano & Hoeneisen Expires October 10, 2013 [Page 13] Internet-Draft TMCH functional specifications April 2013 5. Process Descriptions 5.1. Bootstrap 5.1.1. Registries 5.1.1.1. Credentials Each Registry will receive authentication credentials from the TMDB/ SMDM to be used: o During the Sunrise Period to fetch the lists of revoked SMDs from the SMDM via the sy interface (Section 4.3.11). o During Trademark Claims Period to fetch the lists of DNLs from the TMDB via the dy interface (Section 4.3.3). o During the NORDN process to notify the LORDN to the TMDB via the yd interface (Section 4.3.7). Note: credentials are created per TLD and provided to the Registry Operator. 5.1.1.2. IP Addresses for Access Control Each Registry Operator MUST provide to the TMDB all IP addresses that will be used to: o Fetch the list of revoked SMDs via the sy interface (Section 4.3.11). o Fetch the lists of DNLs from the TMDB via the dy interface (Section 4.3.3). o Notify the LORDN to the TMDB via the yd interface (Section 4.3.7). This access restriction MAY be applied by the TMDB/SMDM in addition to HTTP Basic access authentication (for credentials to be used, see Section 5.1.1.1). The TMDB/SMDM MAY limit the number of IP addresses to be accepted per Registry Operator. 5.1.1.3. TMCH Trust Anchor Each Registry MUST fetch the X.509 certificate ([RFC5280] / [RFC6818]) of the ICANN-CA (Trust Anchor) from < https://ca.icann.org/tmch.crt > to be used: Lozano & Hoeneisen Expires October 10, 2013 [Page 14] Internet-Draft TMCH functional specifications April 2013 o During the Sunrise Period to validate the TMV certificates and the CRL of TMV certificates. 5.1.1.4. TMDB/SMDM PGP Key The TMDB MUST provide each Registry with the public portion of the PGP Key used by TMDB and SMDM, to be used: o During the Sunrise Period to perform integrity checking of the list of revoked SMDs fetched from the SMDM via the sy interface (Section 4.3.11). o During Trademark Claims Period to perform integrity checking of the list of DNL fetched from the TMDB via the dy interface (Section 4.3.3). 5.1.2. Registrars 5.1.2.1. Credentials Each ICANN-accredited Registrar will receive authentication credentials from the TMDB to be used: o During the Sunrise Period to (optionally) fetch the lists of revoked SMDs from the SMDM via the sr interface (Section 4.3.12). o During Trademark Claims Period to fetch Claims Notices from the TMDB via the dr interface (Section 4.3.6). 5.1.2.2. IP Addresses for Access Control Each Registrar MUST provide to the TMDB all IP addresses, which will be used to: o Fetch the list of revoked SMDs via the sr interface (Section 4.3.12). o Fetch Trademark Claims Notices via the dr interface (Section 4.3.6). This access restriction MAY be applied by the TMDB/SMDM in addition to HTTP Basic access authentication (for credentials to be used, see Section 5.1.2.1). The TMDB MAY limit the number of IP addresses to be accepted per Registrar. Lozano & Hoeneisen Expires October 10, 2013 [Page 15] Internet-Draft TMCH functional specifications April 2013 5.1.2.3. TMCH Trust Anchor Registrars MAY fetch the X.509 certificate ([RFC5280] / [RFC6818]) of the ICANN-CA (Trust Anchor) from < https://ca.icann.org/tmch.crt > to be used: o During the Sunrise Period to (optionally) validate the TMV's certificates and the CRL of TMV certificates. 5.1.2.4. TMDB PGP Key Registrars MUST receive the public portion of the PGP Key used by TMDB and SMDM from the TMDB administrator to be used: o During the Sunrise Period to (optionally) perform integrity checking of the list of revoked SMDs fetched from the SMDM via the sr interface (Section 4.3.12). Lozano & Hoeneisen Expires October 10, 2013 [Page 16] Internet-Draft TMCH functional specifications April 2013 5.2. Sunrise Period 5.2.1. Domain Registration Registration during Sunrise Period .------------. .-----------. .----------. | Registrant | | Registrar | | Registry | '------------' '-----------' '----------' ^ | | | | | Request DN | | | | Registration | | | | (with SMD) | | | |------------->| Check DN availability | | | |---------------------------->| | | | | | | DN unava. | DN unavailable .-------------. '---|<-------------|<--------------------( DN available? ) | | no '-------------' | | | yes | | DN available | | |<----------------------------| | | | | | Request DN registration | | | (with SMD) | | |---------------------------->| | | | | | .------------------------------. | | | DN registration validation / | | | | SMD validation | | | '------------------------------' | Registration | | | Error |.-----------. Error .----------------------. |<-------------|| TRY AGAIN |<------( Validation successful? ) | || / ABORT | no '----------------------' | |'-----------' | yes | | | | | DN registered | | DN regist. |<----------------------------| |<-------------| | | | | Figure 3 Lozano & Hoeneisen Expires October 10, 2013 [Page 17] Internet-Draft TMCH functional specifications April 2013 5.2.2. DN Registration by Registries Registries MUST perform a minimum set of checks for verifying DN registrations during Sunrise Period upon reception of a registration request over the ry interface (Section 4.3.5). If any of these checks fails the Registry MUST abort the registration. Each of these checks MUST be performed before the DN is effectively allocated. In case of asynchronous registrations (e.g. auctions), the minimum set of checks MAY be performed when creating the intermediate object (e.g. a domain name application) used for DN registration. If the minimum set of checks is performed when creating the intermediate object (e.g. a domain name application) a Registry MAY effective allocate the DN without performing the minimum set of checks again. However, the validation of the SMD compared to the moment of effective allocation of the DN MUST NOT be older than a period of time, i.e., the SMD-validation validity period that is defined in the RPM requirements document referenced in Specification 7 of the gTLD Applicant Guidebook [ICANN-GTLD-AGB-20120604]. Performing the minimum set of checks Registries MUST verify that: 1. A SMD has been received from the Registrar along with the DN registration. 2. The certificate of the TMV has been correctly signed by the ICANN-CA. (The certificate of the TMV is contained within the SMD.) 3. The validity period of the TMV certificate is within the allowed range. 4. The certificate of the TMV is not be listed in the CRL file specified in the CRL distribution point of the TMV certificate. 5. The signature of the SMD (signed with the TMV certificate) is valid. 6. The validity period of the SMD is within the allowed range ( and elements). 7. The SMD has not been revoked, i.e., is not contained in the SMD revocation list. 8. The leftmost DNS label (A-label in case of IDNs) of the DN being effectively allocated matches one of the labels () elements in the SMD. Lozano & Hoeneisen Expires October 10, 2013 [Page 18] Internet-Draft TMCH functional specifications April 2013 These procedure apply to all DN effective allocations at the second level as well as to all other levels subordinate to the TLD that the Registry accepts registrations for. Lozano & Hoeneisen Expires October 10, 2013 [Page 19] Internet-Draft TMCH functional specifications April 2013 5.2.3. TMCH Sunrise Services for Registries 5.2.3.1. SMD Revocation List A new SMD revocation list MUST be published by the SMDM twice a day, by 00:00 and 12:00 UTC. Registries MUST refresh the latest version of the SMD revocation list at least once every 24 hours. Note: the SMD Revocation List will be the same regardless of the TLD. If a Backend Registry Operator manages the infrastructure of several TLDs, the Backend Registry Operator could refresh the SMD Revocation List once every 24 hours, the SMD Revocation List could be used for all the TLDs managed by the Backend Registry Operator. Update SMD revocation list .----------. .------. | Registry | | SMDM | '----------' '------' | | .----------------. | | Periodically, | | | at least | | | every 24 hours | | '----------------' | | | |----------------------------------------------------->| | Download latest revocation list for SMD certificates | |<-----------------------------------------------------| | | | | Figure 4 Lozano & Hoeneisen Expires October 10, 2013 [Page 20] Internet-Draft TMCH functional specifications April 2013 5.2.3.2. Certificate Revocation List Registries MUST refresh their local copy of the CRL at least every 24 hours using the CRL distribution point specified in the TMV certificate. Operationally, the CRL file and CRL distribution point is the same for all TMVs and (at publication of this document) located at < http://crl.icann.org/tmch.crl >. Note: the CRL file will be the same regardless of the TLD. If a Backend Registry Operator manages the infrastructure of several TLDs, the Backend Registry Operator could refresh the CRL file once every 24 hours, the CRL file could be used for all the TLDs managed by the Backend Registry Operator. Update CRL for TMV certificates .----------. .----------. | Registry | | ICANN-CA | '----------' '----------' | | .----------------. | | Periodically, | | | at least | | | every 24 hours | | '----------------' | | | |------------------------------------------->| | Download latest CRL for TMV certificates | |<-------------------------------------------| | | | | Figure 5 Lozano & Hoeneisen Expires October 10, 2013 [Page 21] Internet-Draft TMCH functional specifications April 2013 5.2.3.3. Notice of Registered Domain Names The Registry MUST send a LORDN file containing DNs effectively allocated to the TMDB (over the yd interface, Section 4.3.7). The registration of a DN MUST be reported by the Registry to the TMDB within 24 hours of the effective allocation. The Registry MUST send LORDN files for DNs effectively allocated during Sunrise or Claims period. The yd interface (Section 4.3.7) MAY support up to 10 concurrent connections from each IP address registered by a Registry Operator to access the service. The TMDB MUST process each uploaded LORDN file within 30 minutes of the finalization of the upload and have the response indicating the errors and warnings to the Registry. Lozano & Hoeneisen Expires October 10, 2013 [Page 22] Internet-Draft TMCH functional specifications April 2013 NORDN .----------. .------. .-----. .-----. | Registry | | TMDB | | TMV | | TMH | '----------' '------' '-----' '-----' | | | | .------------------. .-----------. | | | Periodically; | | Wait for |<-------. | | | at least | | LORDN | | | | | every 24 hours | '-----------' | | | '------------------' | | | | | | | | | .--------->| Upload LORDN | | | | | |-------------------->| | | | | | | | | | | | .-------------------------. | | | | | | Verify each domain name | | | | | | | in the uploaded file | | | | | | | (within 30') | | | | | | '-------------------------' | | | | | | | | | | | Download log file | | | | | |<--------------------| | | | | | | | | | | .-----------------. .---------------. | | | | | Check whether | / everything fine \ no | | | | | log file | ( (i.e. no errors )----' | | | | contains errors | \ in log file )? / | | | '-----------------' '---------------' | | | | | yes | | | .---------------. | | | | / everything fine \ yes | | | |( (i.e. no errors )-----. | Notify TMVs | | | \ in log file )? / | | on the LORDN | | | '---------------' | | pre-registered | | | | no v | with said TMV | | | .----------------. .------. |--------------->| | '-| Correct Errors | | DONE | | | | '----------------' '------' | | Notify each | | | | affected TMH | | | |------------->| | | | | Figure 6 The format used for the LORDN is described in Section 6.3 Lozano & Hoeneisen Expires October 10, 2013 [Page 23] Internet-Draft TMCH functional specifications April 2013 5.2.4. DN registration by Registrars Registrars MAY choose to perform the checks for verifying DN registrations as performed by the Registries (see Section 5.2.2) before sending the command to register a DN. 5.2.5. TMCH Sunrise Services for Registrars The processes described in Section 5.2.3.1 and Section 5.2.3.2 are also available for Registrars to optionally validate the SMDs received. Lozano & Hoeneisen Expires October 10, 2013 [Page 24] Internet-Draft TMCH functional specifications April 2013 5.3. Trademark Claims Period 5.3.1. Domain Registration Registration during Trademark Claims Period .------------. .-----------. .----------. .------. | Registrant | | Registrar | | Registry | | TMDB | '------------' '-----------' '----------' '------' ^ | Request DN | | | | | Registration | Check DN availability | | | |------------->|---------------------------->| | | | DN unava. | DN unavailable .-------------. | '---|<-------------|<--------------------( DN available? ) | | | no '-------------' | | | | yes | | | DN available | | | |<----------------------------| | | | Request Lookup key | | | |---------------------------->| | | | .---------. | | |.----------. / Does DN \ | | || CONTINUE |<---------( match DNL ) | | || NORMALLY | no \ of PRM? / | | |'----------' '---------' | | | | yes | | | Lookup key | | | |<----------------------------| | | | Request Claims Notice | | Display |----------------------------------------->| | Claims | | | Notice | Return Claims Notice | |<-------------|<-----------------------------------------| | | | .------. yes | Register DN (TCNID included) | ( Ack? )--------->|---------------------------->| | '------' | | | ||no | Error .----------------------. | || .-------. |<--------------( Validation successful? ) | |'->| ABORT | | no '----------------------' | | '-------' | | yes | | DN regist. | DN registered | | |<-------------|<----------------------------| | | | | | Figure 7 Lozano & Hoeneisen Expires October 10, 2013 [Page 25] Internet-Draft TMCH functional specifications April 2013 5.3.2. DN registration by Registries During Trademark Claim Periods, Registries perform two main functions: o Registries MUST provide Registrars (over the ry interface, Section 4.3.5) the Lookup Key used to retrieve the Trademark Claims for domain names that match the DNL list. o Registries MUST provide the Lookup Key only when queried about a specific DN. o For any DN matching a DNL of a PRM, Registries MUST perform a minimum set of checks for verifying DN registrations during Trademark Claims Period upon reception of a registration request over the ry interface (Section 4.3.5). If any of these checks fails the Registry MUST abort the registration. Each of these checks MUST be performed before the DN is effectively allocated. o In case of asynchronous registrations (e.g. auctions), the minimum set of checks MAY be performed when creating the intermediate object (e.g. a domain name application) used for DN effective allocation. If the minimum set of checks is performed when creating the intermediate object (e.g. a domain name application) a Registry MAY effective allocate the DN without performing the minimum set of checks again. However, the acknowledgement of the Trademark Notice compared to the moment of effective allocation of the DN MUST NOT be older than a period of time, i.e., the TCN-Ack validity period that is defined in the RPM requirements document referenced in Specification 7 of the gTLD Applicant Guidebook [ICANN-GTLD-AGB-20120604]. o Performing the minimum set of checks Registries MUST verify that: 1. The Claims Notice Identifier, expiration datetime and acceptance datetime of the Trademark Notice, have been received from the Registrar along with the DN registration. If the three elements mentioned above are not provided by the Registrar for a DN matching a DNL of a PRM, but the DNL was inserted (or re-inserted) for the first time into DNL list less than 24 hours ago, the registration MAY continue without this data and the tests listed below are not required to be performed. 2. The claim notice has not expired (according to the expiration datetime sent by the Registrar). Lozano & Hoeneisen Expires October 10, 2013 [Page 26] Internet-Draft TMCH functional specifications April 2013 3. The acceptance datetime is no more than 48 hours in the past. 4. Using the leftmost DNS label (A-label in the case of IDNs) of the DN being effectively allocated, the expiration datetime provided by the registrar and the TMDB identifier extracted from the Claims Notice identifier provided by the registrar compute the checksum. Verify using that the checksum match the checksum present in the Claims Notice identifier (see, < xref="procDescClaimsNotice" />). These procedures apply to all DN registrations at the second level as well as to all other levels subordinate to the TLD that the Registry accepts registrations for. Lozano & Hoeneisen Expires October 10, 2013 [Page 27] Internet-Draft TMCH functional specifications April 2013 5.3.3. Trademark Claims Services for Registries 5.3.3.1. Domain Name Label (DNL) List A new DNL list MUST be published by the TMDB twice a day, by 00:00 and 12:00 UTC. Registries MUST refresh the latest version of the DNL list at least once every 24 hours. Update DNL list .----------. .------. | Registry | | TMDB | '----------' '------' | | .----------------. | | Periodically, | | | at least | | | every 24 hours | | '----------------' | | | |-------------------------------->| | Download latest list of DNLs | |<--------------------------------| | | | | Figure 8 Note: the DNL List will be the same regardless of the TLD. If a Backend Registry Operator manages the infrastructure of several TLDs, the Backend Registry Operator could refresh the DNL List once every 24 hours, the DNL List could be used for all the TLDs managed by the Backend Registry Operator. 5.3.3.2. Notice of Registered Domain Names The NORDN process during the Trademark Claims Period is almost the same as during Sunrise Period as defined in Section 5.2.3.3 with the difference that only registrations subject to a Trademark Claim (i.e., at registration time the name appeared in the current DNL list downloaded by the Registry) are included in the LORDN. If reporting the LORDN of the day when the Registry transition from the Sunrise Period to Trademark Claims Period, the TMDB MUST support Lozano & Hoeneisen Expires October 10, 2013 [Page 28] Internet-Draft TMCH functional specifications April 2013 receiving two LORDN files for the same date. A Registry MAY submit two LORDN files, for Sunrise and Claims, respectively. 5.3.4. DN Registration by Registrars For any DN matching a DNL of a PRM, Registrars MUST perform the following steps: 1. Use the Lookup Key received from the Registry to obtain the Claims Notice from the TMDB using the dr interface (Section 4.3.6) Registrars MUST only query for the Lookup Key of a DN that is available for registration. 2. Present the Claims Notice to the Registrant as described in [ICANN-GTLD-AGB-20120604]. 3. Ask Registrant for acknowledgement, i.e. the Registrant MUST consent with the Claims Notice, before any further processing. (The transmission of a Trademark Claims Identifier to the Registry over the ry interface, Section 4.3.5 implies that the Registrant has expressed his consent with the Claims Notice.) 4. Perform the minimum set of checks for verifying DN registrations. If any of these checks fails the Registrar MUST abort the DN registration. Each of these checks MUST be performed before the registration is sent to the Registry. Performing the minimum set of checks Registrars MUST verify that: 1. The claim notice has not expired (using expiration date (). 2. The claim notice validity based on the (). 3. The leftmost DNS label (A-label in case of IDNs) of the DN being effectively allocated matches the label () element in the Trademark Claim Notice. 4. The Registrant has acknowledged (expressed his consent with) the Claims Notice. 5. Record the date and time when the registrant acknowledged the trademark claims notice. 6. Send the registration to the Registry (ry interface, Section 4.3.5) and include the following information: Lozano & Hoeneisen Expires October 10, 2013 [Page 29] Internet-Draft TMCH functional specifications April 2013 * Trademark Claims Identifier () * Expiration date of the claims notice () * Acceptance datetime of the trademark claims notice. Claims notices are generated twice a day. The expiration date () of each claims notice MUST be set to 48 hours in the future, allowing the implementation of a cache by Registrars and enough time for acknowledging the TM notice. Registrars SHOULD implement a cache of claims notices to minimize the number of queries sent to the TMDB. A cached TM Notice MUST be removed from the cache after the expiration date of the TM notice as defined by . The TMDB MAY implement rate-limiting as one of the protection mechanisms to mitigate the risk of performance degradation. 5.3.5. Trademark Claims Services for Registrars 5.3.5.1. Claims Notice Information Service The Trademark Claims Notices are provided by the TMDB online and are fetched by the Registrar via the dr interface (Section 4.3.6). To get access to the Trademark Claims Notices, the Registrar needs the credentials provided by the TMDB (Section 5.1.2.1) and the Lookup Key received from the Registry via the ry interface (Section 4.3.5). The dr interface (Section 4.3.6) uses HTTPS with Basic access authentication. The dr interface (Section 4.3.6) MAY support up to 10 concurrent connections from each Registrar. The URL of the dr interface (Section 4.3.6) is: < https:///cnis/.xml > Note that the "lookupkey" may contain SLASH characters ("/"). The SLASH character is part of the URL path and MUST NOT be escaped when requesting the Trademark Claims Notice. The TLS certificate (HTTPS) used on the dr interface (Section 4.3.6) MUST be signed by a well-know public CA. Registrars MUST perform the Certification Path Validation described in Section 6 of [RFC5280]. Registrars will be authenticated in the dr interface using HTTP Basic access authentication. The dr (Section 4.3.6) interface MUST support HTTPS keep-alive and MUST maintain the connection for up to 30 minutes. Lozano & Hoeneisen Expires October 10, 2013 [Page 30] Internet-Draft TMCH functional specifications April 2013 6. Data Format Descriptions 6.1. DNL List file This section defines format of the list containing every Domain Name Label (DNL) that matches a Pre-Registered Mark (PRM). The list is maintained by the TMDB and downloaded by Registries in regular intervals (see Section 5.3.3.1). The Registries use the DNL list during the Trademark Claims period to check whether a requested DN matched a DNL of a PRM. The DNL list is contained in a CSV-like formatted file that has the following structure: o first line: , Where: + , version of the file. Version 1 MUST always be present. + , date and time in UTC that the DNL was created. o second line: a header line as specified in [RFC4180] With the header names as follows: DNL,lookup-key,insertion-datetime o One or more lines with: ,, Where: + , a domain label covered by a trademark. + , lookup key that the registry MUST provide to the registrar. + , datetime in UTC that the DNL was first inserted into the DNL. The possible two values of time for inserting a DNL to the DNL list are 00:00 and 12:00 UTC. Lozano & Hoeneisen Expires October 10, 2013 [Page 31] Internet-Draft TMCH functional specifications April 2013 Example for DNL list 1,2012-08-16T00:00:00.0Z DNL,lookup-key,insertion-datetime example,j8f/KR6/Dex/dac5KfYddfEr,2010-07-14T00:00:00.0Z another-example,lj3/l4F/33F/f4HGgg42l5Ts,2012-08-16T00:00:00.0Z anotherexample,h7h/nm9/FEJ/iHH82mkj3d2c,2011-08-16T12:00:00.0Z Figure 9 To provide authentication and integrity protection, the DNL list will be PGP [RFC4880] signed by the TMDB with the private key of the TMDB (see also Section 5.1.1.4). The PGP signature of the DNL list can be found in the similar URI but with extension .sig as shown below. The URL of the dy interface (Section 4.3.3) is: o < https:///dnl/dnl-latest.csv > o < https:///dnl/dnl-latest.sig > Lozano & Hoeneisen Expires October 10, 2013 [Page 32] Internet-Draft TMCH functional specifications April 2013 6.2. SMD revocation list This section defines format of the list of SMDs that have been revoked. The list is maintained by the SMDM and downloaded by Registries (and optionally by Registrars) in regular intervals (see Section 5.2.3.1). The SMD revocation list is used during the Sunrise Period to validate SMDs received. The SMD revocation list has a similar function as CRLs used in PKI [RFC5280] / [RFC6818]. The SMD revocation list is contained in a CSV-like formatted file that has the following structure: o first line: , Where: + , version of the file. Version 1 MUST always be present. + , datetime in UTC that the SMD revocation list was created. o second line: a header line as specified in [RFC4180] With the header names as follows: smd-id,insertion-datetime o One or more lines with: , Where: + , identifier of the SMD that was revoked. + , revocation datetime in UTC of the SMD. The possible two values of time for inserting a DNL to the DNL list are 00:00 and 12:00 UTC. To provide integrity protection, the SMD revocation list is PGP [RFC4880] signed by the TMDB with the private key of the TMDB (see also Section 5.1.1.4). The SMD revocation list is provided by the TMDB with extension .csv. The PGP signature of the SMD revocation list can be found in the similar URI but with extension .sig as shown below. The URL of the sr interface (Section 4.3.12) and sy interface (Section 4.3.11) is: Lozano & Hoeneisen Expires October 10, 2013 [Page 33] Internet-Draft TMCH functional specifications April 2013 o < https:///smdrl/smdrl-latest.csv > o < https:///smdrl/smdrl-latest.sig > Example for SMD Revocation list 1,2012-08-16T00:00:00.0Z smd-id,insertion-datetime 2-2,2012-08-15T00:00:00.0Z 3-2,2012-08-15T00:00:00.0Z 1-2,2012-08-15T00:00:00.0Z Figure 10 Lozano & Hoeneisen Expires October 10, 2013 [Page 34] Internet-Draft TMCH functional specifications April 2013 6.3. LORDN File This section defines the format of the List of Registered Domain Names (LORDN), which is maintained by each Registry and uploaded daily to the TMDB. Every time a DN matching a DNL of a PRL said DN is added to the LORDN along with further information related to its registration. The URI of the dy interface (Section 4.3.3) used to upload the LORDN file is: o Sunrise LORDN file: < https:///LORDN//sunrise > o Claims LORDN file: < https:///LORDN//claims > For example, to upload the Sunrise LORDN file for TLD "example", the URI would be: < https:///LORDN/example/sunrise > After uploading a LORDN file, the TMDB MUST return a LORDN transaction identifier that is used by the Registry to download the LORDN Log file. The LORDN is contained in a CSV-like formatted file that has the following structure: o For Sunrise Period: * first line: ,, Where: - , version of the file. Version 1 MUST always be present. - , date and time in UTC that the LORDN was created. - , number of domain names allocated on the reporting date . Lozano & Hoeneisen Expires October 10, 2013 [Page 35] Internet-Draft TMCH functional specifications April 2013 * second line: a header line as specified in [RFC4180] With the header names as follows: roid,domain-name,SMD-id,registrar-id,registration- datetime,application-datetime * One or more lines with: ,,, ,, Where: - , Repository Object IDentifier (ROID) in the SRS. - , domain name that was allocated. - , SMD ID used when the domain was allocated. - , IANA registrar ID. - , date and time in UTC that the domain was allocated. - OPTIONAL , date and time in UTC that the application was created, in case of a DN effective allocation based on an asynchronous registration (e.g., when using auctions). Example for LORDN during Sunrise 1,2012-08-16T00:00:00.0Z,3 roid,domain-name,SMD-id,registrar-id,registration-datetime,\ application-datetime SH8013-REP,example1.gtld,1-2,9999,2012-08-15T13:20:00.0Z,\ 2012-07-15T00:50:00.0Z EK77-REP,example2.gtld,2-2,9999,2012-08-15T14:00:03.0Z HB800-REP,example3.gtld,3-2,9999,2012-08-15T15:40:00.0Z Figure 11 o For Trademark Claims Period: * first line: ,, Lozano & Hoeneisen Expires October 10, 2013 [Page 36] Internet-Draft TMCH functional specifications April 2013 Where: - , version of the file. Version 1 MUST always be present. - , date and time in UTC that the LORDN was created. - , number of domain names allocated on the reporting date . * second line: a header line as specified in [RFC4180] With the header names as follows: roid,domain-name,notice-id,registrar-id,registration- datetime,ack-datetime,application-datetime * One or more lines with: ,,, ,,,< datetime of application creation> Where: - , Repository Object IDentifier (ROID) in the SRS. - , domain name that was allocated. - , trademark notice identifier as specified in . - , IANA registrar ID. - , date and time in UTC that the domain was allocated. - , date and time in UTC that the TM notice was acknowledged. - OPTIONAL , date and time in UTC that the application was created, in case of a DN effective allocation based on an asynchronous registration (e.g., when using auctions). For a DN matching a DNL of a PRM at the moment of registration, created without the Claims Notice Identifier, expiration datetime and acceptance datetime, because DNL was Lozano & Hoeneisen Expires October 10, 2013 [Page 37] Internet-Draft TMCH functional specifications April 2013 inserted (or re-inserted) for the first time into DNL list less than 24 hours ago, the string "recent-dnl-insertion" MAY be specified in and . Example for LORDN during Claims 1,2012-08-16T00:00:00.0Z,3 roid,domain-name,notice-id,registrar-id,registration-datetime,\ ack-datetime,application-datetime SH8013-REP,example1.gtld,a76716ed9223352036854775808,\ 9999,2012-08-15T14:20:00.0Z,2012-08-15T13:20:00.0Z EK77-REP,example2.gtld,a7b786ed9223372036856775808,\ 9999,2012-08-15T11:20:00.0Z,2012-08-15T11:19:00.0Z HB800-REP,example3.gtld,recent-dnl-insertion,\ 9999,2012-08-15T13:20:00.0Z,recent-dnl-insertion Figure 12 6.3.1. LORDN Log File After reception of the LORDN File, the TMDB verifies its content for syntactical and semantical correctness. The output of the LORDN File verification is retrieved using the dy interface (Section 4.3.3). The URI of the dy interface (Section 4.3.3) used to retrieve the LORDN Log File is: o Sunrise LORDN Log file: < https:///LORDN//sunrise/ /result > o Claims LORDN Log file: < https:///LORDN//claims/ /result > For example, to obtain the LORN Log File in case of a Sunrise LORDN file with transaction identifier 0000000000000001 and TLD "example" the URI would be: < https:///LORDN/example/sunrise/ 0000000000000001/result > Lozano & Hoeneisen Expires October 10, 2013 [Page 38] Internet-Draft TMCH functional specifications April 2013 A Registry Operator MUST NOT send more than one request per minute per TLD to download a LORDN Log file. The LORDN log file is contained in a CSV-like formatted file that has the following structure: o first line: ,, ,,, Where: + , version of the file. Version 1 MUST always be present. + , date and time in UTC that the LORDN Log was created. + , date and time in UTC of creation for the LORDN file that this log file is referring to. + , unique identifier of the LORDN Log provided by the TMDB. This identifier could be used by the Registry Operator to unequivocally identify the LORDN Log. The identified will be a string of a maximum LENGTH of 60 characters from the Base 64 alphabet. + , whether the LORDN file has been accepted for processing by the TMDB. Possible values are "accepted" or "rejected". + , whether the LORDN Log has any warning result codes. Possible values are "no-warnings" or "warnings- present". + , number of DNs effective allocations processed in the LORDN file. A Registry Operator is NOT REQUIRED to process a LORDN Log with a ="accepted" and ="no-warnings". o second line: a header line as specified in [RFC4180] With the header names as follows: roid,result-code Lozano & Hoeneisen Expires October 10, 2013 [Page 39] Internet-Draft TMCH functional specifications April 2013 o One or more lines with: , Where: + , Repository Object IDentifier (ROID) in the SRS. + , result code as described in Section 6.3.1.1. Example for LORDN Log file 1,2012-08-16T02:15:00.0Z,2012-08-16T00:00:00.0Z,\ 0000000000000478Nzs+3VMkR8ckuUynOLmyeqTmZQSbzDuf/R50n2n5QX4=,\ accepted,no-warnings,1 roid,result-code SH8013-REP,2000 Figure 13 Lozano & Hoeneisen Expires October 10, 2013 [Page 40] Internet-Draft TMCH functional specifications April 2013 6.3.1.1. LORDN Result Codes In Figure 14 the classes of result codes (rc) are listed. Those classes in square brackets are not used at this time, but may come into use at some later stage. The first two digits of a result code denote the result code class, which defines the outcome at the TMDB: o ok: Success, domain name line accepted o warn: a warning is issued, domain name line accepted o err: an error is issued, LORDN file rejected LORDN Result Code Classes code Class outcome ---- ----- ------- 20xx Success ok 33xx [ header line syntax warning ] warn 34xx [ header line semantic warning ] warn 35xx [ domain name line syntax warning ] warn 36xx domain name line semantic warning warn 43xx header information syntax error err 44xx header information semantic error err 45xx domain name line syntax error err 46xx domain name line semantic error err Figure 14 In the following the LORDN result codes used by the TMDB are described: LORDN result Codes rc Short Description Long Description ---- ------------------------------------------------------------ 2000 OK Domain Name line successfully processed 3601 TCN Acceptance Date after Registration Date Lozano & Hoeneisen Expires October 10, 2013 [Page 41] Internet-Draft TMCH functional specifications April 2013 TCN Acceptance Date in Domain Name is newer than the Registration Date 3602 Duplicate DN Line This DN Line is an exact duplicate of another line in same file, DN line ignored 3603 ROID Notified Earlier Same ROID has been notified earlier, DN line ignored 3604 Checksum Invalid Based on the DN allocated, the TMC-ID and the expiration date of the linked TM notice, the checksum is invalid. 3605 TMC-ID Expired Trademark Claim Notice Identifier was expired when accepted, but still accepted. In case of an asynchronous registration, this may refer to the date of the application creation. 3606 Wrong TMC-ID used The TMC-ID used for the registration was not valid for this DN. 3607 SMD-Validation too old The validation of the SMD was done outside of the SMD-validation validity period, and still was used for registration. 3608 TCN-Acknowledgement too old The Acknowledgement of the TCN was done outside of the TCN-Ack validity period, and still was used for registration. 3609 Invalid SMD used The SMD used for registration was not valid. In case of an asynchronous registration, this may refer to the date of the application creation. 3610 DN reported outside of the time window The DN was reported outside of the required 24 hours reporting window. 4301 Syntax Error in Header Syntax Error in Header information. 4401 Domain Name Count Mismatch The number of Domain Names in Header does not match the count of DN lines Lozano & Hoeneisen Expires October 10, 2013 [Page 42] Internet-Draft TMCH functional specifications April 2013 4402 Creation Date in the future Creation Date of LORDN file is in the future 4501 Syntax Error in DN line Syntax Error in Domain Name line 4601 Invalid TLD used The TLD in the DN line does not match what is expected for this LORDN 4602 Registrar ID Invalid Registrar ID in DN line is not valid (ICANN-Accredited Registrar) 4603 Registration Date in the future Registration Date in the DN line is in the future 4604 DN/application reported for Sunrise but TLD is in Claims The DN datetime of registration or datetime of application creation was reported during Sunrise but the TLD was in Claims 4605 DN/application reported for Claims but TLD is in Sunrise The DN datetime of registration or datetime of application creation was reported during Claims but the TLD was in Sunrise 4606 DN/application reported for Sunrise/Claims but TLD is not in Sunrise nor Claims The DN datetime of registration or datetime of application creation was reported during Sunrise/Claims but the TLD was not in Sunrise nor Claims Figure 15 Lozano & Hoeneisen Expires October 10, 2013 [Page 43] Internet-Draft TMCH functional specifications April 2013 6.4. SMD File This section defines the format of the SMD File. After a successful registration of a mark, the TMV returns an SMD File to the TMH. The SMD file can then be used for registration of one or more DNs covered by the PRM during the Sunrise Period of a TLD. Two encapsulation boundaries are defined for delimiting the encapsulated base64 encoded SMD: i.e. "-----BEGIN ENCODED SMD-----" and "-----END ENCODED SMD-----". Only data inside the encapsulation boundaries MUST be used by Registries and Registrars for validation purposes, i.e. any data outside these boundaries as well as the boundaries themselves MUST be ignored for validation purposes. The structure of the SMD File is as follows: o Marks: o smdID: o U-labels: o notBefore: o notAfter: o -----BEGIN ENCODED SMD----- o o -----END ENCODED SMD----- Lozano & Hoeneisen Expires October 10, 2013 [Page 44] Internet-Draft TMCH functional specifications April 2013 Example for SMD File (shortened at [...]): Marks: Example One smdID: 1-2 U-labels: example-one, exampleone notBefore: 2011-08-16 09:00 notAfter: 2012-08-16 09:00 -----BEGIN ENCODED SMD----- PD94bWwgdmVyc2lvbj0iMS4wIiBlbmNvZGluZz0iVVRGLTgiPz4KPHNtZDpzaWdu ZWRNYXJrIHhtbG5zOnNtZD0idXJuOmlldGY6cGFyYW1zOnhtbDpuczpzaWduZWRN YXJrLTEuMCIgaWQ9InNpZ25lZE1hcmsiPgogIDxzbWQ6aWQ+MS0yPC9zbWQ6aWQ+ CiAgPHNtZDppc3N1ZXJJbmZvIGlzc3VlcklEPSIyIj4KICAgIDxzbWQ6b3JnPkV4 YW1wbGUgSW5jLjwvc21kOm9yZz4KICAgIDxzbWQ6ZW1haWw+c3VwcG9ydEBleGFt cGxlLnRsZDwvc21kOmVtYWlsPgogICAgPHNtZDp1cmw+aHR0cDovL3d3dy5leGFt cGxlLnRsZDwvc21kOnVybD4KICAgIDxzbWQ6dm9pY2UgeD0iMTIzNCI+KzEuNzAz NTU1NTU1NTwvc21kOnZvaWNlPgogIDwvc21kOmlzc3VlckluZm8+CiAgPHNtZDpu b3RCZWZvcmU+MjAwOS0wOC0xNlQwOTowMDowMC4wWjwvc21kOm5vdEJlZm9yZT4K ICA8c21kOm5vdEFmdGVyPjIwMTAtMDgtMTZUMDk6MDA6MDAuMFo8L3NtZDpub3RB ZnRlcj4KICA8bWFyazptYXJrIHhtbG5zOm1hcms9InVybjppZXRmOnBhcmFtczp4 [...] UFMxOWw3REJLcmJ3YnpBZWEvMGpLV1Z6cnZtVjdUQmZqeEQzQVFvMVIKYlU1ZEJy NklqYmRMRmxuTzV4MEcwbXJHN3g1T1VQdXVyaWh5aVVScEZEcHdIOEtBSDF3TWND cFhHWEZSdEdLawp3eWRneVZZQXR5N290a2wvejNiWmtDVlQzNGdQdkY3MHNSNitR eFV5OHUwTHpGNUEvYmVZYVpweFNZRzMxYW1MCkFkWGl0VFdGaXBhSUdlYTlsRUdG TTBMOStCZzdYek5uNG5WTFhva3lFQjNiZ1M0c2NHNlF6blgyM0ZHazwvWDUwOUNl cnRpZmljYXRlPgo8L1g1MDlEYXRhPgogICAgPC9LZXlJbmZvPgogIDwvU2lnbmF0 dXJlPgo8L3NtZDpzaWduZWRNYXJrPgo= -----END ENCODED SMD----- Figure 16 Lozano & Hoeneisen Expires October 10, 2013 [Page 45] Internet-Draft TMCH functional specifications April 2013 6.5. Trademark Claims Notice The TMDB MUST provide the Trademark Claim Notice to Registrars in XML format as specified below. An enclosing element that describes the Trademark Notice to a given label. The child elements of the element include: o A element that contains the unique identifier of the Trademark Notice. The Trademark Notice identifier is a concatenation of a checksum and the TMDB identifier. The first 8 characters of the Trademark Notice identifier is a checksum. The rest is the TMDB identifier, which is a zero-padded number in the range of 1 to 9223372036854775808. Example of a Trademark Notice identifier a7b216ed9223372036854775808. Where: + Checksum=a7b216ed + TMDB identifier=9223372036854775808 The checksum is a 8 characters long Base16 encoded output of computing the CRC32 of the string concatenation of: label + unix_timestamp() + TMDB identifier The TMDB uses the and elements from the Trademark Notice along with the TMDB identifier to compute the checksum. A registry MUST use the leftmost DNS label (A-label in case of IDNs) of the DN being effectively allocated, the expiration datetime of the Trademark Notice and the TMDB identifier extracted from the Trademark Notice identifier provided by the Registrar to compute the checksum. For example the DN "foo.bar.example" being effectively allocated, the left most label would be "foo". Example of computation of the checksum: CRC32(example- one12819492009223372036854775808)=a7b216ed Lozano & Hoeneisen Expires October 10, 2013 [Page 46] Internet-Draft TMCH functional specifications April 2013 o A element that contains the start of the validity date and time of the TM notice. o A element that contains the expiration date and time of the TM notice. o A elements that contain the DNS label (A-label in case of IDNs) form of the label that correspond to the DN covered by a PRM. o One or more elements that contain the claim. The element contains the following child elements: * A element that contains the mark text string. * One or more elements that contains the information of the holder of the mark. An "entitlement" attribute is used to identify the entitlement of the holder, possible values are: owner, assignee and licensee. * Zero or more OPTIONAL elements that contains the information of the representative of the mark registration. A "type" attribute is used to identify the type of contact, possible values are: owner, agent or thirdparty. * A element that contains the name (in English) of the jurisdiction where the trademark is protected. A jurCC attribute contains the two-character code of the jurisdiction where the trademark was registered. This is a two-character code from [WIPO.ST3]. * Zero or more OPTIONAL element that contains the description (in English) of the Nice Classification as defined in [WIPO-NICE-CLASSES]. A classNum attribute contains the class number. * A element that contains the full description of the goods and services mentioned in the mark registration document. Lozano & Hoeneisen Expires October 10, 2013 [Page 47] Internet-Draft TMCH functional specifications April 2013 Example of object: a7b216ed9223372036854775808 2010-08-14T09:00:00.0Z 2010-08-16T09:00:00.0Z example-one Example One Example Inc. 123 Example Dr. Suite 100 Reston VA 20190 US Joe Doe Example Inc. 123 Example Dr. Suite 100 Reston VA 20190 US +1.7035555555 jdoe@example.com UNITED STATES OF AMERICA Advertising; business management; business administration. Insurance; financial affairs; monetary affairs; real estate. Bardus populorum circumdabit se cum captiosus populum. Smert populorum circumdabit se cum captiosus populum qui eis differimus. Lozano & Hoeneisen Expires October 10, 2013 [Page 48] Internet-Draft TMCH functional specifications April 2013 Example-One Example S.A. de C.V. Calle conocida #343 Conocida SP 82140 BR BRAZIL Bardus populorum circumdabit se cum captiosus populum. Smert populorum circumdabit se cum captiosus populum qui eis differimus. This example generates a TRADEMARK NOTICE with two mark claims. For formal syntax of the Trademark Claims Notice please refer to Section 7.1. Lozano & Hoeneisen Expires October 10, 2013 [Page 49] Internet-Draft TMCH functional specifications April 2013 7. Formal Syntax 7.1. Trademark Claims Notice The schema presented here is for the Trademark Claims Notice. Copyright (c) 2012 IETF Trust and the persons identified as authors of the code. All rights reserved. Redistribution and use in source and binary forms, with or without modification, are permitted provided that the following conditions are met: o Redistributions of source code must retain the above copyright notice, this list of conditions and the following disclaimer. o Redistributions in binary form must reproduce the above copyright notice, this list of conditions and the following disclaimer in the documentation and/or other materials provided with the distribution. o Neither the name of Internet Society, IETF or IETF Trust, nor the names of specific contributors, may be used to endorse or promote products derived from this software without specific prior written permission. THIS SOFTWARE IS PROVIDED BY THE COPYRIGHT HOLDERS AND CONTRIBUTORS "AS IS" AND ANY EXPRESS OR IMPLIED WARRANTIES, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE ARE DISCLAIMED. IN NO EVENT SHALL THE COPYRIGHT OWNER OR CONTRIBUTORS BE LIABLE FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL, EXEMPLARY, OR CONSEQUENTIAL DAMAGES (INCLUDING, BUT NOT LIMITED TO, PROCUREMENT OF SUBSTITUTE GOODS OR SERVICES; LOSS OF USE, DATA, OR PROFITS; OR BUSINESS INTERRUPTION) HOWEVER CAUSED AND ON ANY THEORY OF LIABILITY, WHETHER IN CONTRACT, STRICT LIABILITY, OR TORT (INCLUDING NEGLIGENCE OR OTHERWISE) ARISING IN ANY WAY OUT OF THE USE OF THIS SOFTWARE, EVEN IF ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. BEGIN Lozano & Hoeneisen Expires October 10, 2013 [Page 50] Internet-Draft TMCH functional specifications April 2013 Schema for representing a Trademark Notice. Lozano & Hoeneisen Expires October 10, 2013 [Page 51] Internet-Draft TMCH functional specifications April 2013 END 8. Status of this Draft This draft is the product of several discussions regarding the interaction between the TMCH and Registries/Registrars. It does by no means claim to be complete and minor updates are likely to be added in future versions of this document. 9. Acknowledgements TBD Lozano & Hoeneisen Expires October 10, 2013 [Page 52] Internet-Draft TMCH functional specifications April 2013 10. IANA Considerations TBD 11. Security Considerations TBD 12. References 12.1. Normative References [I-D.lozano-tmch-smd] Lozano, G., "Mark and Signed Mark Objects Mapping", draft-lozano-tmch-smd-02 (work in progress), March 2013. [RFC2119] Bradner, S., "Key words for use in RFCs to Indicate Requirement Levels", BCP 14, RFC 2119, March 1997. 12.2. Informative References [ICANN-GTLD-AGB-20120604] ICANN, "gTLD Applicant Guidebook Version 2012-06-04", June 2012, . [RFC1034] Mockapetris, P., "Domain names - concepts and facilities", STD 13, RFC 1034, November 1987. [RFC1035] Mockapetris, P., "Domain names - implementation and specification", STD 13, RFC 1035, November 1987. [RFC1591] Postel, J., "Domain Name System Structure and Delegation", RFC 1591, March 1994. [RFC1918] Rekhter, Y., Moskowitz, R., Karrenberg, D., Groot, G., and E. Lear, "Address Allocation for Private Internets", BCP 5, RFC 1918, February 1996. [RFC1952] Deutsch, P., Gailly, J-L., Adler, M., Deutsch, L., and G. Randers-Pehrson, "GZIP file format specification version 4.3", RFC 1952, May 1996. [RFC2616] Fielding, R., Gettys, J., Mogul, J., Frystyk, H., Masinter, L., Leach, P., and T. Berners-Lee, "Hypertext Transfer Protocol -- HTTP/1.1", RFC 2616, June 1999. Lozano & Hoeneisen Expires October 10, 2013 [Page 53] Internet-Draft TMCH functional specifications April 2013 [RFC2818] Rescorla, E., "HTTP Over TLS", RFC 2818, May 2000. [RFC3339] Klyne, G., Ed. and C. Newman, "Date and Time on the Internet: Timestamps", RFC 3339, July 2002. [RFC4180] Shafranovich, Y., "Common Format and MIME Type for Comma- Separated Values (CSV) Files", RFC 4180, October 2005. [RFC4346] Dierks, T. and E. Rescorla, "The Transport Layer Security (TLS) Protocol Version 1.1", RFC 4346, April 2006. [RFC4880] Callas, J., Donnerhacke, L., Finney, H., Shaw, D., and R. Thayer, "OpenPGP Message Format", RFC 4880, November 2007. [RFC5246] Dierks, T. and E. Rescorla, "The Transport Layer Security (TLS) Protocol Version 1.2", RFC 5246, August 2008. [RFC5280] Cooper, D., Santesson, S., Farrell, S., Boeyen, S., Housley, R., and W. Polk, "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile", RFC 5280, May 2008. [RFC5730] Hollenbeck, S., "Extensible Provisioning Protocol (EPP)", STD 69, RFC 5730, August 2009. [RFC5890] Klensin, J., "Internationalized Domain Names for Applications (IDNA): Definitions and Document Framework", RFC 5890, August 2010. [RFC6818] Yee, P., "Updates to the Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile", RFC 6818, January 2013. [WIPO-NICE-CLASSES] WIPO, "Nice List of Classes", . [WIPO.ST3] WIPO, "Recommended standard on two-letter codes for the representation of states, other entities and intergovernmental organizations", March 2007. Appendix A. Document Changelog [RFC Editor: This section is to be removed before publication] Lozano & Hoeneisen Expires October 10, 2013 [Page 54] Internet-Draft TMCH functional specifications April 2013 Authors' Addresses Gustavo Lozano (editor) ICANN 12025 Waterfront Drive, Suite 300 Los Angeles 90292 US Phone: +1.3103015800 Email: gustavo.lozano@icann.org Bernie Hoeneisen Ucom Standards Track Solutions GmbH CH-8000 Zuerich Switzerland Phone: +41 44 500 52 44 Email: bernie@ietf.hoeneisen.ch (bernhard.hoeneisen AT ucom.ch) URI: http://www.ucom.ch/ Lozano & Hoeneisen Expires October 10, 2013 [Page 55]