1. This SLD Procedure summarises the procedure for the creation of new Second Level Domains (SLDs) and selection of operators of registry services for both open and closed SLDs within the .uk namespace.
2. The SLD Procedure will take effect from 1 March 2004 and should be read in conjunction with the SLD Policy, which is a separate document defining the policy of Nominet UK (Nominet) as the manager and trustee of the .uk Top Level Domain regarding the selection of operators for new SLDs.
3. The aim of the SLD Procedure is that Nominet, which may be an applicant to run a new SLD, should keep to a minimum its involvement in the administration and assessment process for new SLDs. For this reason, the SLD Procedure will be administered by a Secretariat, which is expected to be a firm of independent professionals (for example lawyers or accountants) initially appointed by, but otherwise independent of, Nominet. The Secretariat will act as an administrative support to the Panel, which will be the body appointed to evaluate competing applications. The Secretariat will play no part in the evaluation of applications, and will act as intermediary between the Panel and Nominet. The Panel Chair (see paragraph B3) will initially be appointed by Nominet, and the Panellists are drawn from a list recruited by the Panel Chair.
4. Nominet may make modifications to the SLD Policy and SLD Procedure at any time following a process of open public consultation. Such changes will be published in advance (where practicable, 30 days in advance) on our web site: http://www.nominet.org.uk/ and will become effective upon the date specified therein.
5. The criteria for the selection of SLD operators under the SLD Procedure are contained in the SLD Policy. All stages of review and selection under the SLD Procedure will be conducted in accordance with the SLD Policy and competing applications will be judged in the light of their relative ability to satisfy the criteria in the SLD Policy.
6. In this SLD Procedure the following words and phrases will have the following meanings:
Account - A ring-fenced escrow account described in paragraph D6, set up for each applicant, to hold and manage that applicant's fees for each stage of the SLD Procedure;
Council of Management - Nominet's board of directors;
Panel - A panel of 5 independent persons, consisting of the Panel Chair and 4 other Panellists (as described in section B below), which will assess each application in accordance with the SLD Policy and the SLD Procedure;
Panellist - A member of the Panel;
Panel Chair - The chairperson of the Panel;
Policy Advisory Board (PAB) - Nominet's Policy Advisory Board, with whom Nominet consults on policy matters, as described on Nominet's web site at http://www.nominet.org.uk/Pab/PolicyAdvisoryBoard;
Pool - The collective name for all those eligible to become Panellists (see Section B below) whether or not they have been appointed to a particular Panel;
Pool Member - A member of the Pool
Secretariat - An independent body described at A3 above, appointed to administer the SLD Policy and the SLD Procedure;
Selected Applicant - An applicant selected by the Panel to run an SLD, and identified in the Panel's final report (see section K below);
SLD - A Second Level Domain under the .uk namespace. For a further explanation of the domain name structure, please see Nominet's Rules for the .uk Domain.
For "applicant" or "application" in the SLD Procedure, please read "applicants" or "applications" where appropriate in the context.
7. The SLD Procedure below describes each of the following aspects of the creation of new SLDs:
(a) The appointment and operation of the Secretariat, the Panel and Panel Chair.
(b) Communications between applicants and the Secretariat.
(c) Fees and the ring-fenced escrow account.
(d) The evaluation process.
8. SLD applications will be processed according to the SLD Procedure through a series of stages, which can be summarised as follows:
Stage 0 Optional pre-application review by the Secretariat.
Stage 1 Submission of application.
Stage 2 Call for competing applications.
Stage 3 Initial public consultation and appointment of Panel.
Stage 4 Full evaluation of application(s) and publication of initial recommendations.
Stage 5 Final public consultation.
Stage 6 Final Panel report.
Stage 7 Decision by Nominet's Council of Management, contract negotiation between Selected Applicant and Nominet and delegation of SLD.
9. Each applicant must be a single entity. However, other bodies may formally list their support for an application and an applicant may elect for delegation to be made to a third party, subject to that third party's prior consent.
10. At each stage of the SLD Procedure, fees are set on a full cost-recovery basis (see section D below).
11. An applicant may terminate an application at any time for whatever reason by providing written notice of termination to the Secretariat, appointed under section B below.
12. The Panel may terminate an application at any time if, in the view of the majority of the Panel, it has no reasonable prospect of success. This notice will be provided in writing to the applicant. The applicant will be given an opportunity to make representations before termination on this basis.
13. Applications by Nominet to operate an SLD will follow the SLD Procedure and will be assessed in accordance with the SLD Policy.
14. Where an application is subject to an ongoing process under the SLD Procedure (a "First Application") and where the Secretariat receives another application which it considers may be identical or similar (a "Second Application") to the First Application, it shall refer the Second Application to the Panel Chair to determine whether or not it is identical or similar to the First Application. Where the Panel Chair, in his/her sole discretion, determines that the Second Application is similar or identical to the First Application, the following provisions shall apply:
(a) If the SLD Procedure relevant to the First Application has not progressed to Stage 3 or beyond, the Panel Chair may allow the Second Application to join the SLD Procedure as at the end of Stage 2.
(b) If the SLD Procedure relevant to the First Application has progressed to Stage 3 or beyond, the Secretariat will notify the Second Applicant that it is unable to accept the Second Application, and will return all papers to the Second Applicant. This will not prejudice the Second Applicant's ability to reapply following termination of the SLD Procedure relevant to the First Application (assuming that such application is not successful).
Roles
1. The SLD Procedure will be administered by the Secretariat, which will be independent of Nominet and will handle all applications and other documentation on a confidential basis until any such documentation is published.
2. The evaluation and selection of SLD applicants will be determined at all stages by the Panel, which shall be independent of Nominet, but subject to the exceptional veto of the Nominet Council of Management at Stage 7 in accordance with paragraph L2 below.
3. The Panel will consist of a chairperson (the "Panel Chair") and 4 other Panellists selected from the Pool. For the avoidance of doubt, reference to "Panellists" shall include reference to the Panel Chair, unless the context clearly implies the contrary. Panellists on the Panel for one application remain in the Pool for all other applications (unless B13(c) applies.)
Appointment
4. The first Secretariat will be selected and appointed by Nominet. Nominet will endeavour to appoint the Secretariat before any application is received. Any subsequent Secretariat will be selected and appointed by Nominet on the (non-binding) advice of the Panel Chair.
5. The first Panel Chair will be appointed by Nominet from a shortlist. The shortlist will be prepared by the PAB acting as a nominations committee.
6. Subsequent Panel Chairs will be appointed from the shortlist by the Pool of panellists. The shortlist will be prepared by the PAB acting as a nominations committee.
7. Members of the Pool, i.e. potential Panellists other than the Panel Chair, will be selected by (for the first round of appointments) the Panel Chair and (for each subsequent round of appointments) the Pool, in both cases from a shortlist prepared by the PAB acting as a nominations committee. The Panel Chair will endeavour to make appointments in a number sufficient to ensure that the Pool consists of 15 to 20 members, but may decide that the shortlist provided to him/her does not contain sufficient persons of the requisite calibre and remit the matter to the PAB.
8. Where the PAB acts as a nominations committee, it shall consider all applications for a place in the Pool in the manner it appoints, but as part of an open application process. The detail of the open application process, including methods of application, administration and deadlines shall be determined by the PAB, but should aim to provide a sufficient number of applicants of reasonable calibre and skill to allow the person making the final decision a genuine choice between capable applicants.
9. Nominet shall bear the cost of the initial appointments at B4 to B7 inclusive, on the basis that such costs will be apportioned between future applicants and will be repaid together with interest to Nominet by the Secretariat. Future costs shall be paid out of the Account and fees may include a non-refundable element towards the projected costs of such future applications.
General Eligibility and Disqualification
10. Pool Members will be appointed to represent diverse areas of expertise and interest, for example from the Internet, intellectual property and other relevant business or consumer communities.
11. Nominet employees, members of the PAB and members of the Council of Management will not be eligible to become Pool Members, Panellist, Panel Chair or the Secretariat. However, membership of Nominet will not in itself be a bar to appointment as a Pool Member, Panellist or as Panel Chair and may not be a ground raised on which to object to their appointment, or taken as evidence of a conflict of interests, by an applicant under sections F4 or H8.
Appointment to Panel
12. The Panel Chair shall serve on all Panels, subject to paragraphs B24 and F3.
13. The Panel Chair will appoint Pool Members to the Panel for an application on the basis of their relevant skills, experience, impartiality, and the requirements of Clause B3. The administration of such an appointment is the responsibility of the Secretariat. They will serve on that Panel unless:
a. they cannot or do not sign the declaration of impartiality (at B14);
b. objections raised by applicants are upheld (in line with paragraph H8);
c. they are already serving on more than one Panel already and do not feel that they can devote the time required to this Panel.
Independence and Exclusion from Specific Panel
14. In the event that a person is appointed as Panellist, the Secretariat shall send a declaration of impartiality and independence to the Panellist, which the Panellist shall duly complete and return to the Secretariat within 5 working days of his/her appointment.
15. In accordance with paragraph B14 above, the Panellist shall complete the declaration while giving due consideration without limitation to the following:
(a) any shareholdings that the Panellist possesses, whether as beneficial owner or nominee;
(b) any offices that the Panellist holds;
(c) any organisations by which the Panellist is employed or with which s/he undertakes engagements;
(d) any organisation with which the Panellist has a pension, unit trusts or other form of investment;
(e) details of the party(s) to any current litigation to which the Panellist is a party or in which the Panellist is directly or indirectly involved in any capacity; or
(f) any dealings or relationships, past or present or potential, direct or indirect, financial, professional or personal with the applicants.
16. Panellists must consider possible conflicts of interest throughout an SLD Procedure. In the event that any conflict of interest as listed in B15 above or other conflict of interest arises at any time during a Panellist's appointment, the Panellist shall immediately decline to continue to act as Panellist, and shall return to the Secretariat any papers provided to him/her in relation to the application within 5 working days of receipt.
Decisions of the Panel
17. The Panel will make its decisions on a majority basis and will give such weighting to the applications, and the consultation responses, as it sees fit. The Panel will take reasonable steps to verify any claims or matters on which the Panel bases its decision.
18. No in-person hearings (including hearings by conference call, video conference and web conference) will be held unless the Panel determines in its sole discretion and in exceptional cases that such a hearing is necessary to enable it to come to a decision. In the event that a hearing is called, all applicants involved in the SLD Policy and SLD Procedure at that stage (including Nominet if applicable) will be invited to attend. Applicants are not entitled to call for an in-person hearing. Any hearings will be recorded, and the recordings made publicly available.
19. Neither the Secretariat, nor Nominet or any of their respective directors, officers, employees or servants nor any Panellist shall be liable to an applicant for anything done or omitted in connection with the SLD Procedure unless the act or omission is shown to have been in bad faith.
20. All fixed time periods for evaluating an application may be extended in the event of disability through illness or prolonged absence of the Panel Chair or in the event of a similarly serious reason. The Secretariat will consult reasonably with all affected applicants regarding any such extension.
Dismissal and Retirement
21. The Secretariat may be dismissed by Nominet, but Nominet will consult with the Panel Chair before doing so and should have the Panel Chair's consent. Nominet shall endeavour to ensure that a new Secretariat is appointed (in accordance with paragraph B4) as soon as possible, and that disruption to any ongoing applications is minimised. The outgoing Secretariat shall cease all its functions (including the administration of ongoing applications) unless agreed otherwise with Nominet at the time.
22. The Panel Chair shall be appointed for periods of three years. Previous or current holders of the position of Panel Chair may reapply to be the next Panel Chair, provided that they do not serve more than two consecutive terms at a time. Current or former Panel Chairs who reapply do so on an even footing with all other applicants, subject to the two consecutive term limit.
23. The Panel Chair, a Panellist or a member of the Pool will automatically be resigned from his/her post if:
a. two-thirds of the PAB vote or call for his/her resignation; or
b. 75% of the (other) Panellists in the Pool vote or call for his/her resignation; or
c. the provisions of paragraph B29 apply.
24. If the Panel Chair comes to the end of his/her three year appointment, he/she shall continue to sit, chair and vote on the Panel of any existing application as its Panel Chair, but shall not longer be the 'Panel Chair' for the whole Pool, and so will not automatically be appointed to the Panel for future applications.
25. If the Panel Chair is automatically resigned under Paragraph B23, the position shall be the same as under paragraph B24 unless either the PAB, or the Pool or Nominet (as applicable under paragraph B23) call for an immediate resignation from all posts.
26. Pool Members shall be appointed for periods of three years, but may be reappointed without a further public selection process if approved by the Panel Chair and the PAB.
27. If a Pool Member comes to the end of his/her three year appointment, and is not being reappointed, he/she shall continue to sit and vote on any Panels to which he/she has been appointed for the duration of those Panels but shall not be part of the Pool.
28. If a Pool Member is automatically resigned under paragraph B23, the position shall be the same as under paragraph B27 unless the other Panellists or Nominet (as applicable) calls for an immediate resignation from all posts.
29. Nominet, with the consent of the PAB, can dismiss all (not just some, or selected) Panellists, members of the Pool and the Panel Chair at the same time.