Registry Data Escrow Specification
draft-arias-noguchi-registry-data-escrow-09

REGISTRY.  A registration organization providing registration
   services for a certain type of objects, e.g., domain names, IP number
   resources, routing information.

   THIRD-PARTY BENEFICIARY.  Is the organization that, under
   extraordinary circumstances, would receive the escrow Deposits the
   Registry transferred to the Escrow Agent.  This organization could be
   a backup Registry, Registry regulator, contracting party of the
   Registry, etc.

   TIMELINE WATERMARK.  Point in time on which to base the collecting of
   database objects for a Deposit.  Deposits are expected to be
   consistent to that point in time.

3.  Problem Scope

   In the past few years, the issue of Registry continuity has been
   carefully considered in the gTLD and ccTLD space.  Various
   organizations have carried out risk analyses and developed business
   continuity plans to deal with those risks, should they materialize.

   One of the solutions considered and used, especially in the gTLD
   space, is Registry Data Escrow as a way to ensure the Continuity of
   Registry Services in the extreme case of Registry failure.

   So far, almost every Registry that uses Registry Data Escrow has its
   own specification.  It is anticipated that more Registries will be
   implementing escrow especially with an increasing number of domain
   registries coming into service, adding complexity to this issue.

   It would seem beneficial to have a standardized specification for
   Registry Data Escrow that can be used by any Registry to submit its
   deposits.

   While the main motivation for developing this solution is rooted on
   the domain name industry, the specification has been designed to be
   as general as possible.  This allows other types of registries to use
   the base specification and develop their own specifications covering
   the objects used by other registration organizations.

   A solution to the problem at hand SHALL clearly identify the format
   and contents of the deposits a Registry has to make, such that a
   different Registry would be able to rebuild the registration services
   of the former, without its help, in a timely manner, with minimum
   disruption to its users.

   Since the details of the registration services provided vary from
   Registry to Registry, the solution SHALL provide mechanisms that

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   allow its extensibility to accommodate variations and extensions of
   the registration services.

   Given the requirement for confidentiality and the importance of
   accuracy of the information that is handled in order to offer
   registration services, the solution SHALL define confidentiality and
   integrity mechanisms for handling the registration data.

   The solution SHALL NOT include in the specification transient objects
   that can be recreated by the new Registry, particularly those of
   delicate confidentiality, e.g., DNSSEC KSK/ZSK private keys.

   Details that are a matter of policy SHOULD be identified as such for
   the benefit of the implementers.

   Non-technical issues concerning Data Escrow, such as whether to
   escrow data and under which purposes the data may be used, are
   outside of scope of this document.

4.  General Conventions

4.1.  Date and Time

   Numerous fields indicate "dates", such as the creation and expiry
   dates for objects.  These fields SHALL contain timestamps indicating
   the date and time in UTC, specified in Internet Date/Time Format (see
   [RFC3339], Section 5.6) with the time-offset specified as "Z".

5.  Protocol Description

   The following is a format for Data Escrow deposits as produced by a
   Registry.  The deposits are represented in XML.  Only the format of
   the objects deposited is defined, nothing is prescribed about the
   method used to transfer such deposits between the Registry and the
   Escrow Agent or vice versa.

   The protocol intends to be object agnostic allowing the "overload" of
   abstract elements using the "substitutionGroup" attribute to define
   the actual elements of an object to be escrowed.

5.1.  Root element <deposit>

   The container or root element for a Registry Data Escrow deposits is
   <deposit>.  This element contains the following child elements:
   watermark, deletes and contents.  This element also contains the
   following attributes:

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   o  A REQUIRED "type" attribute that is used to identify the kind of
      deposit: FULL, INCR (Incremental) or DIFF (Differential).

   o  A REQUIRED "id" attribute that is used to uniquely identify the
      escrow deposit.  Each registry is responsible for maintaining its
      own escrow deposits identifier space to ensure uniqueness, e.g.,
      using identifiers as described in Section 2.8 of [RFC5730].

   o  An OPTIONAL "prevId" attribute that can be used to identify the
      previous incremental, differential or full escrow deposit.  This
      attribute MUST be used in Differential Deposits ("DIFF" type).

   o  An OPTIONAL "resend" attribute that is incremented each time the
      escrow deposit failed the verification procedure at the receiving
      party and a new escrow deposit needs to be generated by the
      Registry for that specific date.  The first time a deposit is
      generated the attribute is either omitted or MUST be "0".  If a
      deposit needs to be generated again, the attribute MUST be set to
      "1", and so on.

   Example of root element object:

   <?xml version="1.0" encoding="UTF-8"?>
   <rde:deposit
       xmlns:rde="urn:ietf:params:xml:ns:rde-1.0"
       ...
       type="FULL"
       id="20101017001" prevId="20101010001">
       <rde:watermark>2010-10-18T00:00:00Z</rde:watermark>
       <rde:deletes>
           ...
       </rde:deletes>
       <rde:contents>
           ...
       </rde:contents>
   </rde:deposit>

5.2.  Child <watermark> element

   A REQUIRED <watermark> element contains the data-time corresponding
   to the Timeline Watermark of the deposit.

   Example of <watermark> element object:

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   <?xml version="1.0" encoding="UTF-8"?>
   <rde:deposit
       xmlns:rde="urn:ietf:params:xml:ns:rde-1.0"
       ...
       type="FULL"
       id="20101017001" prevId="20101010001">
       <rde:watermark>2010-10-18T00:00:00Z</rde:watermark>
       ...
   </rde:deposit>

5.3.  Child <rdeMenu> element

   This element contains auxiliary information of the data escrow
   deposit.

   A REQUIRED <rdeMenu> element contains the following child elements:

   o  A REQUIRED <version> element that identifies the RDE protocol
      version.

   o  One or more <objURI> elements that contain namespace URIs
      representing the <contents> and <deletes> element objects.

   Example of <rdeMenu> element object:

<?xml version="1.0" encoding="UTF-8"?>
<rde:deposit
    xmlns:rde="urn:ietf:params:xml:ns:rde-1.0"
    ...
    <rde:rdeMenu>
        <rde:version>1.0</rde:version>
        <rde:objURI>urn:ietf:params:xml:ns:rdeContact-1.0</rde:objURI>
        <rde:objURI>urn:ietf:params:xml:ns:rdeHost-1.0</rde:objURI>
        <rde:objURI>urn:ietf:params:xml:ns:rdeDomain-1.0</rde:objURI>
        <rde:objURI>urn:ietf:params:xml:ns:rdeRegistrar-1.0</rde:objURI>
        <rde:objURI>urn:ietf:params:xml:ns:rdeIDN-1.0</rde:objURI>
        <rde:objURI>urn:ietf:params:xml:ns:rdeNNDN-1.0</rde:objURI>
        <rde:objURI>urn:ietf:params:xml:ns:rdeEppParams-1.0</rde:objURI>
    </rde:rdeMenu>
    ...
</rde:deposit>

5.4.  Child <deletes> element

   This element SHOULD be present in deposits of type Incremental or
   Differential.  It contains the list of objects that were deleted
   since the base previous deposit.  Each object in this section SHALL
   contain an ID for the object deleted.

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   This section of the deposit SHOULD NOT be present in Full deposits.
   When rebuilding a registry it SHOULD be ignored if present in a Full
   deposit.

   The specification for each object to be escrowed MUST declare the
   identifier to be used to reference the object to be deleted.

   Example of <deletes> element object:

   <?xml version="1.0" encoding="UTF-8"?>
   <rde:deposit
       xmlns:rde="urn:ietf:params:xml:ns:rde-1.0"
       ...
       <rde:deletes>
           <rdeObj1:delete>
               <rdeObj1:name>foo.test</rdeObj1:name>
               <rdeObj1:name>bar.test</rdeObj1:name>
           </rdeObj1:delete>
           <rdeObj2:delete>
               <rdeObj2:id>sh8013-TEST</rdeObj2:id>
               <rdeObj2:id>co8013-TEST</rdeObj2:id>
           </rdeObj2:delete>
       </rde:deletes>
       ...
   </rde:deposit>

5.5.  Child <contents> element

   This element of the deposit contains the objects in the deposit.  It
   MUST be present in all type of deposits.  It contains the data for
   the objects to be escrowed.  The actual objects have to be specified
   individually.

   In the case of Incremental or Differential deposits, the objects
   indicate whether the object was added or modified after the base
   previous deposit.  In order to distinguish between one and the other,
   it will be sufficient to check existence of the referenced object in
   the base previous deposit.

   When applying Incremental or Differential deposits (when rebuilding
   the registry from data escrow deposits) the relative order of the
   <deletes> elements is important, as is the relative order of the
   <contents> elements.  All the <deletes> elements MUST be applied
   first, in the order that they appear.  All the <contents> elements
   MUST be applied next, in the order that they appear.

   If an object is present in the <contents> section of several Deposits
   (e.g.  Full and Differential) the registry data from the latest

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   Deposit (as defined by the Timeline Watermark) SHOULD be used when
   rebuilding the registry.

   Example of <contents> element object:

   <?xml version="1.0" encoding="UTF-8"?>
   <rde:deposit
       xmlns:rde="urn:ietf:params:xml:ns:rde-1.0"
       ...
       <rde:contents>
           ...
           <rdeObj1:contents>
               <rdeObj1:element1>
                   <rdeObj1:child1>Object1 specific.</rdeObj1:child1>
                   ...
               </rdeObj1:element1>
               <rdeObj2:element2>
                   <rdeObj2:field1>Object2 specific.</rdeObj2:field1>
                   ...
               </rdeObj2:element2>
           </rdeObj1:contents>
           ...
       </rde:contents>
       ...
   </rde:deposit>

6.  Formal Syntax

6.1.  RDE Schema

   Copyright (c) 2011 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

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      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
  <?xml version="1.0" encoding="UTF-8"?>
  <schema targetNamespace="urn:ietf:params:xml:ns:rde-1.0"
    xmlns:rde="urn:ietf:params:xml:ns:rde-1.0"
    xmlns:eppcom="urn:ietf:params:xml:ns:eppcom-1.0"
    xmlns="http://www.w3.org/2001/XMLSchema"
    elementFormDefault="qualified">

    <annotation>
      <documentation>
        Registry Data Escrow schema
      </documentation>
    </annotation>

    <import namespace="urn:ietf:params:xml:ns:eppcom-1.0"/>

    <!-- Root element -->
    <element name="deposit" type="rde:escrowDepositType"/>

    <!-- RDE types -->
    <complexType name="escrowDepositType">
      <sequence>
        <element name="watermark" type="dateTime"/>
        <element name="rdeMenu" type="rde:rdeMenuType"/>
        <element name="deletes" type="rde:deletesType" minOccurs="0"/>
        <element name="contents" type="rde:contentsType"/>
      </sequence>
      <attribute name="type" type="rde:depositTypeType" use="required"/>
      <attribute name="id" type="rde:depositIdType" use="required"/>
      <attribute name="prevId" type="rde:depositIdType"/>
      <attribute name="resend" type="unsignedShort" default="0"/>
    </complexType>

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    <!-- Menu type -->
    <complexType name="rdeMenuType">
      <sequence>
        <element name="version" type="rde:versionType"/>
        <element name="objURI" type="anyURI" maxOccurs="unbounded"/>
      </sequence>
    </complexType>

    <!-- Deletes Type -->
    <complexType name="deletesType">
      <sequence minOccurs="0" maxOccurs="unbounded">
        <element ref="rde:delete"/>
      </sequence>
    </complexType>

    <element name="delete" type="rde:deleteType" abstract="true" />
    <complexType name="deleteType">
      <complexContent>
        <restriction base="anyType"/>
      </complexContent>
    </complexType>

    <!-- Contents Type -->
    <complexType name="contentsType">
      <sequence maxOccurs="unbounded">
        <element ref="rde:content"/>
      </sequence>
    </complexType>

    <element name="content" type="rde:contentType" abstract="true" />
    <complexType name="contentType">
      <complexContent>
        <restriction base="anyType"/>
      </complexContent>
    </complexType>

    <!-- Type of deposit -->
    <simpleType name="depositTypeType">
      <restriction base="token">
        <enumeration value="FULL"/>
        <enumeration value="INCR"/>
        <enumeration value="DIFF"/>
      </restriction>
    </simpleType>

    <!-- Deposit identifier type -->
    <simpleType name="depositIdType">
      <restriction base="token">

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        <pattern value="\w{1,13}"/>
      </restriction>
    </simpleType>

    <!-- A RDE version number is a dotted pair of decimal numbers -->
    <simpleType name="versionType">
      <restriction base="token">
        <pattern value="[1-9]+\.[0-9]+"/>
        <enumeration value="1.0"/>
      </restriction>
    </simpleType>

    <complexType name="rrType">
      <simpleContent>
        <extension base="eppcom:clIDType">
          <attribute name="client" type="eppcom:clIDType"/>
        </extension>
      </simpleContent>
    </complexType>
  </schema>
                          END

7.  Internationalization Considerations

   Data Escrow deposits are represented in XML, which provides native
   support for encoding information using the Unicode character set and
   its more compact representations including UTF-8.  Conformant XML
   processors recognize both UTF-8 and UTF-16.  Though XML includes
   provisions to identify and use other character encodings through use
   of an "encoding" attribute in an <?xml?> declaration, use of UTF-8 is
   RECOMMENDED.

8.  IANA Considerations

   This document uses URNs to describe XML namespaces and XML schemas
   conforming to a registry mechanism described in [RFC3688].  Two URI
   assignments have been registered by the IANA.

   Registration request for the RDE namespace:

      URI: urn:ietf:params:xml:ns:rde-1.0

      Registrant Contact: See the "Author's Address" section of this
      document.

      XML: None.  Namespace URIs do not represent an XML specification.

   Registration request for the RDE XML schema:

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      URI: urn:ietf:params:xml:schema:rde-1.0

      Registrant Contact: See the "Author's Address" section of this
      document.

      See the "Formal Syntax" section of this document.

9.  Security Considerations

   This specification does not define the security mechanisms to be used
   in the transmission of the data escrow deposits, since it only
   specifies the minimum necessary to enable the rebuilding of a
   Registry from deposits without intervention from the original
   Registry.

   Depending on local policies, some elements or most likely, the whole
   deposit will be considered confidential.  As such the Registry
   transmitting the data to the Escrow Agent must take all the necessary
   precautions like encrypting the data itself and/or the transport
   channel to avoid inadvertent disclosure of private data.

   Mutual authentication of both parties passing data escrow deposit
   files is of the utmost importance.  The Escrow Agent should properly
   authenticate the identity of the Registry before accepting data
   escrow deposits.  In a similar manner, the Registry should
   authenticate the identity of the Escrow Agent before submitting any
   data.

   Additionally, the Registry and the Escrow Agent should use integrity
   checking mechanisms to ensure the data transmitted is what the source
   intended.  It is recommended that specifications defining format and
   semantics for particular business models define an algorithm that
   Escrow Agents and Third-Party Beneficiaries could use to validate the
   contents of the data escrow deposit.

10.  Acknowledgments

   Special suggestions that have been incorporated into this document
   were provided by James Gould, Edward Lewis, Jaap Akkerhuis, Lawrence
   Conroy, Marc Groeneweg, Michael Young, Chris Wright, Patrick Mevzek,
   Stephen Morris, Scott Hollenbeck, Stephane Bortzmeyer, Warren Kumari,
   Paul Hoffman, Vika Mpisane, Bernie Hoeneisen, Jim Galvin, Andrew
   Sullivan, Hiro Hotta, Christopher Browne, Daniel Kalchev, David
   Conrad, James Mitchell, Francisco Obispo, Bhadresh Modi and Alexander
   Mayrhofer.

   Shoji Noguchi and Francisco Arias participated as co-authors until
   version 07 providing invaluable support for this document.

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11.  Change History

11.1.  Changes from version 00 to 01

   1.   Included DNSSEC elements as part of the basic <domain> element
        as defined in RFC 5910.

   2.   Included RGP elements as part of the basic <domain> element as
        defined in RFC 3915.

   3.   Added support for IDNs and IDN variants.

   4.   Eliminated the <summary> element and all its subordinate
        objects, except <watermarkDate>.

   5.   Renamed <watermarkDate> to <watermark> and included it directly
        under root element.

   6.   Renamed root element to <deposit>.

   7.   Added <authinfo> element under <registrar> element.

   8.   Added <roid> element under <registrar> element.

   9.   Reversed the order of the <deletes> and <contents> elements.

   10.  Removed <rdeDomain:status> minOccurs="0".

   11.  Added <extension> element under root element.

   12.  Added <extension> element under <contact> element.

   13.  Removed <period> element from <domain> element.

   14.  Populated the "Security Considerations" section.

   15.  Populated the "Internationalization Considerations" section.

   16.  Populated the "Extension Example" section.

   17.  Added <deDate> element under <domain> element.

   18.  Added <icannID> element under <registrar> element.

   19.  Added <eppParams> element under root element.

   20.  Fixed some typographical errors and omissions.

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11.2.  Changes from version 01 to 02

   1.  Added definition for "canonical" in the "IDN variants Handling"
       section.

   2.  Clarified that "blocked" and "reserved" IDN variants are
       optional.

   3.  Made <rdeRegistrar:authInfo> optional.

   4.  Introduced substitutionGroup as the mechanism for extending the
       protocol.

   5.  Moved <eppParams> element to be child of <contents>

   6.  Text improvements in the Introduction, Terminology, and Problem
       Scope per Jay's suggestion.

   7.  Removed <trDate> from <rdeDomain> and added <trnData> instead,
       which include all the data from the last (pending/processed)
       transfer request

   8.  Removed <trDate> from <rdeContact> and added <trnData> instead,
       which include all the data from the last (pending/processed)
       transfer request

   9.  Fixed some typographical errors and omissions.

11.3.  Changes from version 02 to 03

   1.  Separated domain name objects from protocol.

   2.  Moved <extension> elements to be child of <deletes> and
       <contents>, additionally removed <extension> element from
       <rdeDomain>,<rdeHost>, <rdeContact>,<rdeRegistrar> and <rdeIDN>
       elements.

   3.  Modified the definition of <rde:id> and <rde:prevId>.

   4.  Added <rdeMenu> element under <deposit> element.

   5.  Fixed some typographical errors and omissions.

11.4.  Changes from version 03 to 04

   1.  Removed <eppParams> objects.

   2.  Populated the "Extension Guidelines" section.

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   3.  Fixed some typographical errors and omissions.

11.5.  Changes from version 04 to 05

   1.  Fixes to the XSD

   2.  Extension Guidelines moved to dnrd-mappings draft

   3.  Fixed some typographical errors and omissions.

11.6.  Changes from version 05 to 06

   1.  Fix resend definition.

11.7.  Changes from version 06 to 07

   1.  Editorial updates.

   2.  schemaLocation removed from RDE Schema.

11.8.  Changes from version 07 to 08

   1.  Ping update

11.9.  Changes from version 08 to 09

   1.  Ping update.

12.  References

12.1.  Normative References

   [RFC2119]  Bradner, S., "Key words for use in RFCs to Indicate
              Requirement Levels", BCP 14, RFC 2119,
              DOI 10.17487/RFC2119, March 1997,
              <https://www.rfc-editor.org/info/rfc2119>.

   [RFC3339]  Klyne, G. and C. Newman, "Date and Time on the Internet:
              Timestamps", RFC 3339, DOI 10.17487/RFC3339, July 2002,
              <https://www.rfc-editor.org/info/rfc3339>.

12.2.  Informative References

   [RFC3688]  Mealling, M., "The IETF XML Registry", BCP 81, RFC 3688,
              DOI 10.17487/RFC3688, January 2004,
              <https://www.rfc-editor.org/info/rfc3688>.

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   [RFC5730]  Hollenbeck, S., "Extensible Provisioning Protocol (EPP)",
              STD 69, RFC 5730, DOI 10.17487/RFC5730, August 2009,
              <https://www.rfc-editor.org/info/rfc5730>.

Author's Address

   Gustavo Lozano
   Internet Corporation for Assigned Names and Numbers
   12025 Waterfront Drive, Suite 300
   Los Angeles  90292
   United States of America

   Phone: +1.310.823.9358
   Email: gustavo.lozano@icann.org

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