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Draft Policies and Proposals

Recommended Draft Policy ARIN-2015-2: Modify 8.4 (Inter-RIR Transfers to Specified Recipients)
Status:
Implemented 21 February 2017  
Discussion Tracking
Mailing List:
Formal introduction on PPML on 26 May 2015

Origin - ARIN-prop-216

Draft Policy - 26 May 2015

Revised - 22 February 2016

Revised - 11 April 2016

Revised - 11 May 2016

Recommended Draft Policy - 24 May 2016

Last Call - 26 October 2016

Recommended to Board: 22 November 2016

Public Policy Mailing List
ARIN Public Policy Meeting:

ARIN PPC at NANOG 64
ARIN 36
ARIN PPC at NANOG 66
ARIN 37

ARIN 38

ARIN Advisory Council:

AC Shepherds:
Cathy Aronson, Chris Tacit

ARIN Board of Trustees: 19 December 2016
Revisions Implementation

Recommended Draft Policy ARIN 2015-2: Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 26 October 2016

AC's assessment of conformance with the Principles of Internet Number Resource Policy:

Draft Policy ARIN 2015-2 contributes to fair and impartial number resources administration by removing an impediment to the transfer of IPv4 numbering resources to other RIRs when business needs change within the first 12 months of receipt of a 24 month supply of IP addresses by an entity via the transfer market. It is technically sound in that it balances removing limits on transfers of IPv4 numbering resources to other RIRs with safeguards related to ownership and control described in the draft policy to reduce the likelihood of fraudulent transactions. There was strong community support for this draft policy at the NANOG 66 PPC and ARIN 37, subject only to some suggested editorial changes which have now been implemented in the latest version.

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 3, to read: "Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless either the source or recipient entity owns or controls the other, or both are under common ownership or control. This restriction does not include M&A transfers."

Comments: Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt. The need to move the resources does not flow from ARIN policy, but rather from the requirement of certain registries outside the ARIN region to have the resources moved in order to be used there.

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois if there is a need to move them to satisfy the rules of the other region requiring the movement of the resources to that region in order for them to be used there. Instead, the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without encouraging abuse.

a. Timetable for implementation: Immediate

b. Anything else: N/A

##########

Earlier Version

##########

Recommended Draft Policy ARIN 2015-2: Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 24 May 2016

AC's assessment of conformance with the Principles of Internet Number Resource Policy:

Draft Policy ARIN 2015-2 contributes to fair and impartial number resources administration by removing an impediment to the transfer of IPv4 numbering resources to other RIRs when business needs change within the first 12 months of receipt of a 24 month supply of IP addresses by an entity via the transfer market. It is technically sound in that it balances removing limits on transfers of IPv4 numbering resources to other RIRs with safeguards related to ownership and control described in the draft policy to reduce the likelihood of fraudulent transactions. There was strong community support for this draft policy at the NANOG 66 PPC and ARIN 37, subject only to some suggested editorial changes which have now been implemented in the latest version.

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read:

"Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless either the source or recipient entity owns or controls the other, or both are under common ownership or control. This restriction does not include M&A transfers."

Comments: Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt. The need to move the resources does not flow from ARIN policy, but rather from the requirement of certain registries outside the ARIN region to have the resources moved in order to be used there.

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois if there is a need to move them to satisfy the rules of the other region requiring the movement of the resources to that region in order for them to be used there. Instead, the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without encouraging abuse.

a. Timetable for implementation: Immediate

b. Anything else: N/A

##########

ARIN STAFF & LEGAL ASSESSMENT
Draft Policy ARIN-2015-2
MODIFY 8.4 (INTER-RIR TRANSFERS TO SPECIFIED RECIPIENTS)
https://www.arin.net/policy/proposals/2015_2.html

Date of Assessment: 17 May 2016
___
1. Summary (Staff Understanding)

Currently, organizations are unable to act as a source on an 8.4 transfer of IPv4 address space if they have received IPv4 address space in the past 12 months from ARIN's IPv4 free pool, the waiting list for unmet requests, or an 8.3 transfer. This draft policy lifts the 12-month restriction in cases when the source or recipient entity owns or controls the other, or both are under common ownership or control.
___
2. Comments

A. ARIN Staff Comments

* If this policy is implemented, ARIN staff would no longer apply a 12-month time restriction to organizations who wish to 8.4 transfer IPv4 addresses to themselves or in cases when the source or recipient entity owns or controls the other, or both are under common ownership or control.

* This policy could be implemented as written.

B. ARIN General Counsel – Legal Assessment

Concerns raised by the GC regarding previous versions of this policy have been satisfactorily addressed in the current draft. The current proposed draft does not create material legal issues for ARIN. In order to determine when entities are under common ownership or control, traditional legal standards will be applied by ARIN.
___
3. Resource Impact

Implementation of this policy would have minimal resource impact. It is estimated that implementation would occur within 3 months after ratification by the ARIN Board of Trustees. The following would be needed in order to implement:

* Updated guidelines and internal procedures

* Staff training
___
4. Proposal / Draft Policy Text Assessed

Draft Policy ARIN 2015-2: Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 11 May 2016

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read: "Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless either the source or recipient entity owns or controls the other, or both are under common ownership or control. This restriction does not include M&A transfers."

Comments: Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt. The need to move the resources does not flow from ARIN policy, but rather from the requirement of certain registries outside the ARIN region to have the resources moved in order to be used there.

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois if there is a need to move them to satisfy the rules of the other region requiring the movement of the resources to that region in order for them to be used there. Instead, the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without encouraging abuse.

a. Timetable for implementation: Immediate

b. Anything else: N/A

##### END

Earlier Version

##########

ARIN STAFF & LEGAL ASSESSMENT
Draft Policy ARIN-2015-2: MODIFY 8.4 (INTER-RIR TRANSFERS TO SPECIFIED RECIPIENTS)
https://www.arin.net/policy/proposals/2015_2.html

Date of Assessment: 18 April 2016

___
1. Summary (Staff Understanding)

Currently, organizations are unable to act as a source on an 8.4 transfer of IPv4 address space if they have received IPv4 address space in the past 12 months from ARIN's IPv4 free pool, the waiting list for unmet requests, or an 8.3 transfer. This draft policy lifts the 12-month restriction in cases when the source and recipient entities own or control each other or are under common ownership or control.

___
2. Comments

A. ARIN Staff Comments

* If this policy is implemented, ARIN staff would no longer apply a 12-month time restriction to organizations who wish to 8.4 transfer IPv4 addresses to themselves or in cases when the source and recipient entities own or control each other or are under common ownership or control.

* This policy could be implemented as written.

B. ARIN General Counsel – Legal Assessment

Concerns raised by the GC regarding previous versions of this policy have been satisfactorily addressed in the current draft. The current proposed draft does not create material legal issues for ARIN. In order to determine when entities are under common ownership or control, traditional legal standards will be applied by ARIN.

___
3. Resource Impact

Implementation of this policy would have minimal resource impact. It is estimated that implementation would occur within 3 months after ratification by the ARIN Board of Trustees. The following would be needed in order to implement:

* Updated guidelines and internal procedures

* Staff training

___
4. Proposal / Draft Policy Text Assessed

Draft Policy ARIN 2015-2
Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 11 April 2016

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read:
"Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless either the source and recipient entities own or control each other or are under common ownership or control. This restriction does not include M&A transfers."

Comments:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt. The need to move the resources does not flow from ARIN policy, but rather from the requirement of certain registries outside the ARIN region to have the resources moved in order to be used there.

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois if there is a need to move them to satisfy the rules of the other region requiring the movement of the resources to that region in order for them to be used there. Instead, the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without encouraging abuse.

a. Timetable for implementation: Immediate
b. Anything else: N/A

#####

 

Draft Policy ARIN 2015-2
Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 11 April 2016

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read:
"Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless either the source and recipient entities own or control each other or are under common ownership or control. This restriction does not include M&A transfers."

Comments:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt. The need to move the resources does not flow from ARIN policy, but rather from the requirement of certain registries outside the ARIN region to have the resources moved in order to be used there.

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois if there is a need to move them to satisfy the rules of the other region requiring the movement of the resources to that region in order for them to be used there. Instead, the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without encouraging abuse.

a. Timetable for implementation: Immediate
b. Anything else: N/A

 

#####

Earlier version

Draft Policy ARIN 2015-2
Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 22 February 2016

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read:

"Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless the source entities are affiliated with the recipient entities outside the ARIN region. This restriction does not include M&A transfers."

Add new section 2.17 that reads:

The term "affiliated" means that an entity that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with another entity.

Add new section 2.18 that reads:

The term "control" means the possession, directly or indirectly, through the ownership of voting securities, by contract, arrangement, understanding, relationship or otherwise, of the power to direct or cause the direction of the management and policies of a person. The beneficial ownership of more than 50 percent of a corporation's voting shares shall be deemed to constitute control.

Comments: The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois; the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without encouraging abuse.

a. Timetable for implementation: Immediate

b. Anything else: N/A

 

#####

ARIN STAFF & LEGAL ASSESSMENT
Draft Policy ARIN-2015-2
MODIFY 8.4 (INTER-RIR TRANSFERS TO SPECIFIED RECIPIENTS)
https://www.arin.net/policy/proposals/2015_2.html

Date of Assessment: 15 March 2016

___
1. Summary (Staff Understanding)

Currently, organizations are unable to act as a source on an 8.4 transfer of IPv4 address space if they have received IPv4 address space in the past 12 months from ARIN's IPv4 free pool, the waiting list for unmet requests, or an 8.3 transfer. This draft policy lifts the 12-month restriction in cases the organization is acting as a source in an 8.4 transfer when the recipient in the other region is either the same organization, or an affiliated organization they have over 50 percent control. It is noted this draft also includes two new additions to Section 2 of NRPM defining "affiliated" and "control".

___
2. Comments

A. ARIN Staff Comments

* If this policy is implemented, ARIN staff would no longer apply a 12-month time restriction to organizations who wish to 8.4 transfer IPv4 addresses to themselves or one of their affiliates in other regions, as detailed in the draft policy language.

* ARIN staff would not consider the new NRPM definition for "control" applicable in any way to 8.2 transfer cases, as the definition could potentially conflict with staff responsibility to ensure fully researched and vetted chain of authority documentation for merger and acquisition transfers.

* This policy could be implemented as written.

B. ARIN General Counsel – Legal Assessment

* The policy draft proposes two new definitions for 'affiliated' and 'control' that might have a material impact on the entire NPRM. Accordingly, I have reviewed them carefully, and am suggesting alternative definitions for consideration that may be simpler and of value. I am not completely comfortable the AC's current draft's proposed definitions are the best possible, given that they need to work in a number of legal systems.

2.17 Affiliated
The term "affiliated" means that an entity that directly, or indirectly through one or more intermediaries, owns or controls or, is owned or controlled by, or is under common control with another entity.

2.18 Control
Ownership of more than 50 percent of a corporation 's voting shares shall be deemed to constitute control. The term "control" also means the ownership possession, directly or indirectly, through the ownership of voting securities, by contract, arrangement, understanding, relationship or otherwise, of an affiliated entity.

ARIN policy does not require number resources to be transferred to another registry in order to be used outside the region and the policy draft may lead to confusion as it implies a defect in ARIN policy in this regard. The need to transfer resources to an affiliate that is outside of the ARIN region arises from other registries requirements and this should be clarified in the policy draft.

___
3. Resource Impact
Implementation of this policy would have minimal resource impact. It is estimated that implementation would occur within 3 months after ratification by the ARIN Board of Trustees. The following would be needed in order to implement:

* Updated guidelines and internal procedures
* Staff training

___
4. Proposal / Draft Policy Text Assessed

Draft Policy ARIN-2015-2: Modify 8.4 (Inter-RIR Transfers to Specified Recipients)
Date: 22 February 2016

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read:

"Source entities within the ARIN region must not have received a transfer, allocation, or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request, unless the source entities are affiliated with the recipient entities outside the ARIN region. This restriction does not include M&A transfers."

Add new section 2.17 that reads:

The term "affiliated" means that an entity that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with another entity.

Add new section 2.18 that reads:

The term "control" means the possession, directly or indirectly, through the ownership of voting securities, by contract, arrangement, understanding, relationship or otherwise, of the power to direct or cause the direction of the management and policies of a person. The beneficial ownership of more than 50 percent of a corporation's voting shares shall be deemed to constitute control.

Comments:

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer
regardless of the date transferred to ARIN. A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois; the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval.

The proposal also introduces a requirement for an affiliation relationship between the source and recipient entity, based on established corporate law principles, so as to make it reasonably likely that eliminating the 12 month anti-flip period in that situation will meet the needs of organizations that operate networks in more than one region without
encouraging abuse.

a. Timetable for implementation: Immediate

b. Anything else: N/A

 

 

#####

Earlier version

Draft Policy ARIN-2015-2
Modify 8.4 (Inter-RIR Transfers to Specified Recipients)

Date: 26 May 2015

Problem Statement:

Organizations that obtain a 24 month supply of IP addresses via the transfer market and then have an unexpected change in business plan are unable to move IP addresses to the proper RIR within the first 12 months of receipt.

Policy statement:

Replace 8.4, bullet 4, to read:

"Source entities within the ARIN region must not have received an allocation or assignment of IPv4 number resources from ARIN for the 12 months prior to the approval of a transfer request."

Comments:

The intention of this change is to allow organizations to perform inter-RIR transfers of space received via an 8.3 transfer regardless of the date transferred to ARIN . A common example is that an organization acquires a block located in the ARIN region, transfers it to ARIN, then 3 months later, the organization announces that it wants to launch new services out of region. Under current policy, the organization is prohibited from moving some or all of those addresses to that region's Whois; the numbers are locked in ARIN's Whois. It's important to note that 8.3 transfers are approved for a 24 month supply, and it would not be unheard of for a business model to change within the first 12 months after approval. In addition this will not affect the assignments and allocations issued by ARIN they will still be subject to the 12 month restriction.

a. Timetable for implementation: Immediate

b. Anything else

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