U.S. ENUM Implementation

U.S. ENUM U.S. ENUM ImplementationImplementation

ENUM Forum ENUM Forum

ScopeScope

Specifications DocumentSpecifications Document Tier 1 Contracting Entity OptionsTier 1 Contracting Entity Options Tier 1 Structure AlternativesTier 1 Structure Alternatives

ENUM Forum SpecificationsENUM Forum Specifications Reference ArchitectureReference Architecture Tier 1 Registry Operations, Security, & AdminTier 1 Registry Operations, Security, & Admin Tier 1 Performance SpecificationsTier 1 Performance Specifications Privacy ConsiderationsPrivacy Considerations ProvisioningProvisioning Registrar RequirementsRegistrar Requirements Authentication & AuthorizationAuthentication & Authorization Tier 2 GuidelinesTier 2 Guidelines Conflict ResolutionConflict Resolution Issues Out of ScopeIssues Out of Scope

Reference Architecture Reference Architecture

Tier 1Registry

Tier 0

Root

Tier 2Provider

RegistrantRegistrant RegistrarRegistrar

Reference ArchitectureReference Architecture RegistrarRegistrar RegistrantRegistrant RegistryRegistry Tier 1 RegistryTier 1 Registry Tier 2 Service ProviderTier 2 Service Provider InterfacesInterfaces Tier 2 contains the NAPTR records or delegationsTier 2 contains the NAPTR records or delegations Does not address non geographic numbersDoes not address non geographic numbers Issue:Issue:

One or More Tier 1 ProvidersOne or More Tier 1 Providers Delegation at Tier 0 by NPADelegation at Tier 0 by NPA

Tier 1 OperationsTier 1 Operations Shared Registration System (SRS)Shared Registration System (SRS) Registry DatabaseRegistry Database Zone Information (aka zone files)Zone Information (aka zone files) ContactInfo (aka WhoIs)ContactInfo (aka WhoIs) Reporting, backup, escrow & Reporting, backup, escrow &

performance requirementsperformance requirements SecuritySecurity

Tier 1 SecurityTier 1 Security DNS DNS

TSIG, DNSSecTSIG, DNSSec

ProtocolProtocol PhysicalPhysical NetworkNetwork BackupBackup Auditing and ReportingAuditing and Reporting

Tier 1 Administrative AspectsTier 1 Administrative Aspects RegistryRegistry Contracting EntityContracting Entity RegistrarRegistrar Tier 0 InteractionTier 0 Interaction US GovernmentUS Government Dispute ResolutionDispute Resolution Data Collection and PrivacyData Collection and Privacy

Tier 1 Performance AspectsTier 1 Performance Aspects DNS PerformanceDNS Performance

AvailabilityAvailability UpdateUpdate PerformancePerformance

EPP InterfacesEPP Interfaces

Privacy ConsiderationsPrivacy Considerations Registrant ChoiceRegistrant Choice Privacy AnalysisPrivacy Analysis Open Disclosure of Registrant Information Open Disclosure of Registrant Information

in DNSin DNS Information Handling During Registration Information Handling During Registration

and Provisioningand Provisioning ContactInfoContactInfo Fair Information PracticesFair Information Practices

ProvisioningProvisioning

Tier 2Nameserver

RegistrarRegistrarTier 1

RegistryRegistrantRegistrant

Application ServiceProvider

Application ServiceProvider

Authentication & Validation Entities

Registrar RequirementsRegistrar Requirements Registrant Validation & AuthenticationRegistrant Validation & Authentication Dispute ResolutionDispute Resolution Registrar Infrastructure RequirementsRegistrar Infrastructure Requirements Interactions of the partiesInteractions of the parties Parties Requiring A & AParties Requiring A & A Recommended Practices & RequirementsRecommended Practices & Requirements Information Flows Requiring A&AInformation Flows Requiring A&A Various ScenariosVarious Scenarios

Authorization and AuthenticationAuthorization and Authentication

Parties Requiring A & AParties Requiring A & A Recommended Practices & Recommended Practices &

RequirementsRequirements Information Flows Requiring A&AInformation Flows Requiring A&A Various ScenariosVarious Scenarios

Tier 2Tier 2 Guidelines – Guidelines – NOTNOT Requirements Requirements Tier 2 may be self provided or from a Tier 2 may be self provided or from a

commercial 3commercial 3rdrd party party Interfaces & InteractionsInterfaces & Interactions Performance RecommendationsPerformance Recommendations

Conflict Resolution ProcessConflict Resolution Process General PrincipalsGeneral Principals ProcessProcess

InitiationInitiation IdentificationIdentification TimeframeTimeframe TransfersTransfers RemediesRemedies FeesFees

TimelineTimeline

Feb 2003 – Baseline Specification Feb 2003 – Baseline Specification releasedreleased

Meetings through 2003Meetings through 2003 Dec 2003 – Release of ‘Tier 1 Contracting Dec 2003 – Release of ‘Tier 1 Contracting

Entity and Architectural Alternatives’ a.k.a. Entity and Architectural Alternatives’ a.k.a. 6001_16001_1

Tier 1 Contracting EntityTier 1 Contracting Entity

Desired Attributes:Desired Attributes: Short implementation timeframeShort implementation timeframe Light Government OversightLight Government Oversight Encourage CompetitionEncourage Competition Open StandardsOpen Standards Intellectual Property is owned by the Intellectual Property is owned by the

contracting entitycontracting entity Minimize procurement and operation costMinimize procurement and operation cost


Concerns:Concerns: Preserve National SovereigntyPreserve National Sovereignty Support CompetitionSupport Competition Promote InnovationPromote Innovation Protect User’s Security and PrivacyProtect User’s Security and Privacy Minimize RegulationMinimize Regulation Preserve Opportunity for Alternative DeploymentsPreserve Opportunity for Alternative Deployments Allow InteroperabilityAllow Interoperability Preserve Stability and SecurityPreserve Stability and Security


Contracting Considerations:Contracting Considerations: US Government interaction with Tier 0US Government interaction with Tier 0 Actual procurement processActual procurement process Ownership of the intellectual propertyOwnership of the intellectual property Compliance oversightCompliance oversight Operational integrityOperational integrity Policy development for procurement and Policy development for procurement and

ongoing operationsongoing operations

Tier 1 Contracting Entity – Tier 1 Contracting Entity – Alternatives ConsideredAlternatives Considered

Government ProcurementGovernment Procurement Industry Limited Liability CompanyIndustry Limited Liability Company

Option 1 Option 1 – Government Procurement– Government Procurement

Government Procurement through Simplified FARGovernment Procurement through Simplified FAR Accepted and understoodAccepted and understood Precedent - .usPrecedent - .us Can it provide the desired attributes?Can it provide the desired attributes?

Short timeframeShort timeframe - Unclear- Unclear Light government oversightLight government oversight - Unclear- Unclear Low costLow cost - Unclear, but at least similar to .us- Unclear, but at least similar to .us Competition encouragedCompetition encouraged - Yes- Yes Intellectual propertyIntellectual property - Easily retained by USG- Easily retained by USG Open standards & best practicesOpen standards & best practices - Yes- Yes

Option 1 Option 1 – Government Procurement - – Government Procurement - AdvantagesAdvantages

Little or no industry cost Anti-trust protection Contract liability protection Well defined and understood process

Option 1 Option 1 – Government Procurement – – Government Procurement – DisadvantagesDisadvantages

Unclear Statutory Authority Agency Lead Unclear Not Currently Funded High Complexity and / or cost Difficult to Coordinate with Industry USG Prefers light touch with new / emerging technologies Multinational coordination with other NANP countries is

required if single or skinny Tier 1 selected

Option 2 Option 2 – Industry LLC– Industry LLC

Industry LLCIndustry LLC Separate and distinct legal entity Separate and distinct legal entity Responsible forResponsible for

RFP creation, issuance, and evaluationRFP creation, issuance, and evaluation Contract negotiation & executionContract negotiation & execution Vendor oversight and change managementVendor oversight and change management Systems and data changesSystems and data changes Emerging issues managementEmerging issues management


Industry LLCIndustry LLC AttributesAttributes

Liability protection for membersLiability protection for members Designated and recognized contracting entityDesignated and recognized contracting entity Level forum for joint venture for competitorsLevel forum for joint venture for competitors Unregulated yet authorized to conform to regulatory Unregulated yet authorized to conform to regulatory

directivesdirectives Easy Access for new entrantsEasy Access for new entrants Not For ProfitNot For Profit Government may choose oversight roleGovernment may choose oversight role

ActiveActive TacitTacit

Allows involvement of other NANP countriesAllows involvement of other NANP countries


AdvantagesAdvantages Expect good reception from USGExpect good reception from USG Quick implementation possibleQuick implementation possible Limits industry liabilityLimits industry liability Good precedent (LNP)Good precedent (LNP) Ability to insure fairness and unbiased oversightAbility to insure fairness and unbiased oversight Contractual authority with all qualified vendorsContractual authority with all qualified vendors Can issue RFP, award a contractCan issue RFP, award a contract Can designate equal terms for participants who use services from Can designate equal terms for participants who use services from

selected vendorselected vendor Operates in an open environmentOperates in an open environment Non Aligned with any market segmentNon Aligned with any market segment May represent any of the NANP countriesMay represent any of the NANP countries Government coordination may be through the LLC or industry consortiumGovernment coordination may be through the LLC or industry consortium


DisadvantagesDisadvantages Members responsible for initial funding and operational costsMembers responsible for initial funding and operational costs Fewer members, larger individual burdenFewer members, larger individual burden Requires independent legal assistanceRequires independent legal assistance

Initial membership operating agreementsInitial membership operating agreements Ongoing adviceOngoing advice

May have issues establishing industry payment / cost recovery May have issues establishing industry payment / cost recovery mechanismsmechanisms


Can an industry LLC provide the desired attributes?Can an industry LLC provide the desired attributes? Short TimeframeShort Timeframe - - YesYes Light Government OversightLight Government Oversight - - YesYes Low CostLow Cost - - YesYes Competition EncouragedCompetition Encouraged - - YesYes Intellectual PropertyIntellectual Property - - YesYes Open Standards & Best PracticesOpen Standards & Best Practices - - YesYes

Tier 1 ArchitectureTier 1 Architecture

Two issuesTwo issues

Scope of Tier 1Scope of Tier 1

Tier 0 Delegation AlternativesTier 0 Delegation Alternatives


Scope of Tier 1Scope of Tier 1 US Numbers registered in single Tier 1 for all of NANPUS Numbers registered in single Tier 1 for all of NANP US numbers registered in single Tier 1 for USUS numbers registered in single Tier 1 for US US numbers registered in multiple Tier 1s for sets of US numbers registered in multiple Tier 1s for sets of

NPAsNPAs

Tier 0 Delegation AlternativesTier 0 Delegation Alternatives Delegation of 1+NPADelegation of 1+NPA Delegation of all of country code 1Delegation of all of country code 1


Five Possible Solutions:Five Possible Solutions: Single Tier 1 for all NANP countriesSingle Tier 1 for all NANP countries Single Tier 1 in USSingle Tier 1 in US

With delegation from Tier 0 by 1+NPAWith delegation from Tier 0 by 1+NPA With delegation from Skinny Tier 1With delegation from Skinny Tier 1

Multiple Tier 1 operators in USMultiple Tier 1 operators in US With delegation from Tier 0 by 1+NPAWith delegation from Tier 0 by 1+NPA With delegation from Skinny Tier 1With delegation from Skinny Tier 1

Single Tier 1 for NANP CountriesSingle Tier 1 for NANP Countries

Assumes:Assumes: All of country code 1 is delegated to a single Tier 1All of country code 1 is delegated to a single Tier 1 All participating NANP countries can/will form a single All participating NANP countries can/will form a single

contracting entitycontracting entity

Tier 0

NANP Tier 1

Tier 2

Single Tier 1 for NANP CountriesSingle Tier 1 for NANP Countries

AdvantagesAdvantages Only country code 1 need be Only country code 1 need be

added to Tier 0added to Tier 0 Only one representative for Only one representative for

NANP countries needs to deal NANP countries needs to deal with tier 0with tier 0

Registrars that do business in Registrars that do business in more than one NANP country more than one NANP country only need to be certified onceonly need to be certified once

Registrar interfaces with single Registrar interfaces with single Tier 1 for many NANP countriesTier 1 for many NANP countries

May simplify non geographic May simplify non geographic number inclusionnumber inclusion

DisadvantagesDisadvantages All 19 NANP countries need to All 19 NANP countries need to

agree/acquiesce on Tier 1 entity agree/acquiesce on Tier 1 entity operationoperation

All NANP countries must All NANP countries must agree/acquiesce to selection of agree/acquiesce to selection of Tier 1 entityTier 1 entity

Restricts business opportunity to Restricts business opportunity to single entity at tier 1 levelsingle entity at tier 1 level

Creates risk of relying on single Creates risk of relying on single business entitybusiness entityTier 0

Country Code 1 Tier 1

Tier 2

Single Tier 1 for USSingle Tier 1 for US

Requires either delegation from Tier 0 by Requires either delegation from Tier 0 by 1+NPA or Skinny Tier 11+NPA or Skinny Tier 1

Tier 0

US Tier 1

Tier 2

Delegation by 1+NPA

Tier 0

US Tier 1

Tier 2

Delegation of country code 1

Skinny Tier 1

Delegation by NPA

Single Tier 1 for US – Single Tier 1 for US – Delegation of US 1+NPAs from Tier 0Delegation of US 1+NPAs from Tier 0

Tier 0

US Tier 1

Tier 2

Delegation by 1+NPA

AdvantagesAdvantages No distribution of US NPAs No distribution of US NPAs

required between multiple US required between multiple US Tier 1 entitiesTier 1 entities

US can participate in global US can participate in global ENUM without agreement or ENUM without agreement or coordination of other NANP coordination of other NANP countriescountries

No negotiation required on No negotiation required on loading US NPAs into Tier 0loading US NPAs into Tier 0

DisadvantagesDisadvantages All NPAs from the US must be All NPAs from the US must be

entered into tier 0entered into tier 0 Restricts business opportunity to Restricts business opportunity to

single entity at tier 1 levelsingle entity at tier 1 level Does not resolve non geographic Does not resolve non geographic

number inclusionnumber inclusion Creates risk of relying on single Creates risk of relying on single

business entitybusiness entity

Single Tier 1 for US – Single Tier 1 for US – Delegation from within a skinny tier 1Delegation from within a skinny tier 1

Tier 0

US Tier 1

Tier 2

Skinny Tier 1

Delegation by NPA

AdvantagesAdvantages No distribution of US NPAs required No distribution of US NPAs required

between multiple US Tier 1 entitiesbetween multiple US Tier 1 entities Only Country code 1 must be loaded Only Country code 1 must be loaded

into Tier 0into Tier 0 Only one representative for NANP Only one representative for NANP

countries needs to deal with tier 0countries needs to deal with tier 0 Individual NANP countries deal with a Individual NANP countries deal with a

single tier 1 providersingle tier 1 provider MAY simplify inclusion of non MAY simplify inclusion of non

geographic numbers by placing them geographic numbers by placing them directly in skinny tier 1directly in skinny tier 1

DisadvantagesDisadvantages Restricts business opportunity to single Restricts business opportunity to single

entity at skinny tier 1 level and at the US entity at skinny tier 1 level and at the US tier 1 leveltier 1 level

Creates risk of relying on single business Creates risk of relying on single business entity at skinny tier 1 and US Tier 1 levelsentity at skinny tier 1 and US Tier 1 levels

Does not resolve non geographic number Does not resolve non geographic number inclusion in ENUMinclusion in ENUM

All NANP countries must agree/acquiesce All NANP countries must agree/acquiesce on using a skinny tier 1 operatoron using a skinny tier 1 operator

All NANP countries must agree/acquiesce All NANP countries must agree/acquiesce on selection of skinny tier1 entityon selection of skinny tier1 entity

Multiple Tier 1 Operators in the USMultiple Tier 1 Operators in the US

Assumes:Assumes: US 1+NPAs are delegated to multiple tier 1 entities from Tier 0US 1+NPAs are delegated to multiple tier 1 entities from Tier 0 OROR All of country code 1 is delegated to a single skinny Tier 1 All of country code 1 is delegated to a single skinny Tier 1

Tier 0

US Tier 1s

Tier 2

Delegation by 1+NPA

Tier 0

Delegation of country code 1

Skinny Tier 1

US Tier 1s

Tier 2

Delegation by NPA

Multiple Tier-1 Operators in the US Multiple Tier-1 Operators in the US Direct delegation from Tier 0Direct delegation from Tier 0

AdvantagesAdvantages Promotes multiple business Promotes multiple business

opportunities in the tier 1 registryopportunities in the tier 1 registry US can participate in global ENUM US can participate in global ENUM

without agreement from other NANP without agreement from other NANP countriescountries

No negotiation needed to load US No negotiation needed to load US 1+NPAs into Tier 0.1+NPAs into Tier 0.

Only one representative for NANP Only one representative for NANP countries needs to deal with tier 0countries needs to deal with tier 0

Reduces risk of relying on single Reduces risk of relying on single business entity for Tier 1business entity for Tier 1

DisadvantagesDisadvantages 1+NPAs need to be distributed 1+NPAs need to be distributed

among Tier 1 providersamong Tier 1 providers 1+NPAs for US would need to be 1+NPAs for US would need to be

entered into Tier 0entered into Tier 0 Introduces additional operational Introduces additional operational

and administrative interfaces for and administrative interfaces for Registrars and Tier 2 operatorsRegistrars and Tier 2 operators

Does not resolve non geographic Does not resolve non geographic number inclusion in ENUMnumber inclusion in ENUM

Tier 0

US Tier 1s

Tier 2

Delegation by 1+NPA

Multiple Tier-1 Operators in the US Multiple Tier-1 Operators in the US Direct delegation from skinny Tier 1Direct delegation from skinny Tier 1

AdvantagesAdvantages Only Country code 1 must be loaded Only Country code 1 must be loaded

into Tier 0into Tier 0 Only one representative from NANP Only one representative from NANP

countries needs to deal with Tier 0countries needs to deal with Tier 0 Individual NANP countries deal with a Individual NANP countries deal with a

single skinny Tier 1 providersingle skinny Tier 1 provider MAY simplify inclusion of non MAY simplify inclusion of non

geographic numbers by placing them geographic numbers by placing them directly in skinny tier 1directly in skinny tier 1

Promotes multiple business Promotes multiple business opportunities in Tier 1 Registryopportunities in Tier 1 Registry

DisadvantagesDisadvantages NPAs need to be distributed among Tier 1 NPAs need to be distributed among Tier 1

providersproviders Restricts business opportunity to single entity at Restricts business opportunity to single entity at

skinny tier 1 level skinny tier 1 level Creates risk of relying on single business entity at Creates risk of relying on single business entity at

skinny tier 1 skinny tier 1 Does not resolve issues regarding non geographic Does not resolve issues regarding non geographic

number inclusion in ENUMnumber inclusion in ENUM All NANP countries must agree/acquiesce on using All NANP countries must agree/acquiesce on using

a skinny tier 1 operatora skinny tier 1 operator All NANP countries must agree/acquiesce on All NANP countries must agree/acquiesce on

selection of skinny tier1 entityselection of skinny tier1 entity Introduces additional operational and administrative Introduces additional operational and administrative

interfaces for Registrars and Tier 2 operatorsinterfaces for Registrars and Tier 2 operators

SummarySummary

Endorsement of support for LLCEndorsement of support for LLC No consensus on architectural alternativesNo consensus on architectural alternatives

Any solution which involves the delegation of Any solution which involves the delegation of country code 1 from Tier 0 will require country code 1 from Tier 0 will require agreement from all 19 NANP countriesagreement from all 19 NANP countries

Delegation of US NPAs from Tier 0 may Delegation of US NPAs from Tier 0 may require negotiation with Tier 0require negotiation with Tier 0

How many registries should operate for those How many registries should operate for those 1+NPAs in the US?1+NPAs in the US?

StatusStatus

The ENUM Forum met with NTIA and the FCC on Jan The ENUM Forum met with NTIA and the FCC on Jan 2121 Supports the development of and industry LLCSupports the development of and industry LLC Did not express a preference for either a single or multiple Tier 1 Did not express a preference for either a single or multiple Tier 1

approachapproach Believes that decisions are best left to industry as long as the Believes that decisions are best left to industry as long as the

conditions and principals stated in the February 2003 letter are conditions and principals stated in the February 2003 letter are upheldupheld

US Government in the process of contacting other US Government in the process of contacting other countries in the NANP to determine if a consensus countries in the NANP to determine if a consensus opinion can be reachedopinion can be reached

US Industry is in the process of establishing an LLC to US Industry is in the process of establishing an LLC to initiative the Tier 1 procurement processinitiative the Tier 1 procurement process

ContactsContacts ENUM Forum ChairENUM Forum Chair

Gary RichenakerGary RichenakerTelcordia Technologies Telcordia Technologies Tel: 732 699 3264 Tel: 732 699 3264 [email protected]@telcordia.com

ENUM Forum Vice ChairENUM Forum Vice ChairSteve LindSteve LindAT&T AT&T Tel: 973-236-6787Tel: [email protected]@att.com

ENUM External Communications Group ChairENUM External Communications Group ChairBob BownesBob BownesSeiriSeiriTel: 518-727-6532Tel: [email protected]@seiri.com

Documents

U.S. ENUM Implementation