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ªauDA Suppliers Code of Practice

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ªauDA Suppliers Code of Practice

Policy No: 2002-26
Publication Date: 10/09/2002
Status: Current

.au DOMAIN NAME SUPPLIERS' CODE OF PRACTICE

1. BACKGROUND

1.1 This document sets out the auDA-endorsed Code of Practice for registrars and resellers
in the .au domain. The Code is at Schedule A of this document. It replaces the previous
Interim Code of Practice for Registrars and Resellers in the .au Domain (Policy No 2002-13).

1.2 The Code was developed by a Drafting Committee of industry and consumer representatives,
appointed by auDA in February 2002 following an open call for nominations. The Committee
released a draft version of the Code on 7 June 2002. The Committee presented the final
version of the Code to the auDA Board on 21 August 2002. The auDA Board formally endorsed
the Code on 10 September 2002.

2. COMPLIANCE WITH CODE OF PRACTICE

2.1 Compliance with the Code of Practice is mandatory for all auDA accredited registrars
and their appointed resellers. A list of registrars and resellers is available on the auDA
website at http://www.auda.org.au/registrars

2.2 auDA is responsible for enforcing the Code. Complaints about alleged breaches of the
Code will be handled in accordance with auDA's Complaints Policy (Policy No 2002-21).

3. REVIEW OF CODE OF PRACTICE

3.1 The Code will be reviewed by the Drafting Committee after 3, 6 and 12 months of
operation (in December 2002, April 2003 and September 2003). Membership of the Committee
will be open to all interested people. The review process will include public consultation.

3.2 Any suggested amendments to the Code as a result of the reviews, will be submitted
to the auDA Board for approval.

SCHEDULE A

.au DOMAIN NAME SUPPLIERS' CODE OF PRACTICE v1.2002

Background

As an integral part of the .au Domain Administration’s consultative policy development
initiatives and commitment to industry self-regulation, the Code of Practice Drafting
Committee[1], the membership of which was drawn from a wide variety of stakeholders, has
prepared this Code of Practice. The Code of Practice is a compulsory set of principles and
approaches to market conduct for auDA accredited registrars and their appointed resellers and
is to be read in conjunction with the auDA’s Registrar Agreement[2] and all applicable policies
published by auDA[3].

auDA is the Government-endorsed domain name industry self-regulatory body. auDA’s powers
of enforcement are established by legal agreements between participants in the .au domain
name registration industry. More detailed information about the Federal Government’s approach
to industry self-regulation can be found at:
http://www.noie.gov.au/projects/information_economy/domains_au/Tlabem.pdf.

The Code of Practice Committee drew on a number of codes of practice across other industries,
most notably the registered codes of the Australian Communications Industry Forum (ACIF) and
the Australian Direct Marketing Association’s Direct Marketing Code of Practice, November
2001.

Please note that this Code uses the convention of capitalising words to denote that the
Code contains a definition in Section 16 of this document.

Table of Contents

Section Title Page
1. Preamble 4
2. Objectives of Code 4
3. Implementation and Compliance 5
4. Market Conduct - Domain Name Registrations 5
5. Customer Contact 6
6. Service Offerings 8
7. Advertising Principles 9
8. Advertising Guidelines 9
9. Comparative Advertisements 11
10. Customer Information 12
11. Conduct of Employees, Agents, Contractors and Resellers 13
12. Consumer Protection 13
13. Code Enforcement 13
14. Complaints Handling Principles 14
15. Complaints Handling Rules 14
16. Definitions 18

1. Preamble

1.1 The Registrar Agreement[4] and the Code of Practice are two key elements in the industry
self-regulatory model for which auDA is responsible.

1.2 The Code of Practice sets out rules for the conduct of Domain Name Suppliers in the .au
domain name registration industry. It forms part of the Registrar Agreement (between auDA and a
Registrar) to which all auDA accredited Registrars must adhere. The Code of Practice also binds
authorised resellers of accredited Registrars through their reseller agreement with a Registrar.

1.3 The Code is intended to act as an incentive for industry participants to conduct their
business in accordance with the Code and as a non-negotiable commitment to the auDA Registrar
Agreement.

1.4 The Code establishes an industry-wide comprehensive process for dealing with complaints
by customers and other industry participants. The Code has been designed to meet customers’
expectations of international best practice for complaint handling, based on the Australian
Standard AS ® 4269.

1.5 The Code provides practical guidelines for the step by step handling of a customer
complaint plus a comprehensive set of rules for handling complaints within an organisation.

1.6 Industry suppliers are expected to develop and enforce a comprehensive complaint handling
process within their respective organisations, as well as:

a) recognise, promote and protect customers’ rights, including the right to actively provide
feedback;

b) provide an efficient, fair and accessible mechanism for handling customer complaints;

c) provide information to customers on the complaint handling process for the services and
products of the organisation; and monitor complaints in an endeavour to improve the quality of
products and services.

1.7 The Code of Practice will be reviewed at the end of 3, 6 and 12 months after its
commencement to consider whether it:

a) fulfils its purpose; and

b) remains relevant and appropriate to the conduct of Domain Name Supplier as time goes by, and
may be amended according to the recommendations of the committee conducting each review (which
will include public consultation).

2. Objectives of Code

2.1 The Code of Practice is intended to promote the interests of the .au domain name
registration industry and registrants by:

a) supporting fair and open competition;

b) establishing minimum standards for dealings between industry participants, and particularly
with registrants;

c) ensuring that registrants receive accurate, complete and timely information concerning .au
domain name registrations, renewals and solicitations;

d) ensuring accuracy of domain name advertising and promotional material;

e) establishing minimum standards in relation to complaint handling by Domain Name Suppliers;
and

f) establishing procedures for dealing with breaches of the Code of Practice.

3. Implementation and Compliance

3.1 The Code of Practice will apply to all auDA Accredited Registrars, their appointed resellers,
and all other parties that are signatories to the Code.

3.2 A Domain Name Supplier may use an auDA Compliance Mark to indicate their signatory/compliance
status in relation to the Code that the supplier has signed.

3.3 Code signatories must provide to auDA, upon request, information about their compliance
systems associated with this code.

4. Market Conduct – Domain Name Registrations

4.1 Domain Name Suppliers must not register domain names on their own behalf for the purpose of
preventing any other domain name registration.

4.2 Subject to clause 4.4, Domain Name Suppliers must only:

a) register a domain name at the request of a registrant; and

b) renew a domain name:

(i) at the request of, or with the approval of, a registrant; and

(ii) after obtaining confirmation from the registrant that they continue to satisfy the Domain Name
Eligibility and Allocation Policy Rules for Open Second Level Domains[5] in respect of the domain name.

4.3 Domain Name Suppliers must not register or renew domain names (in advance of a request from an
eligible registrant) that are for the purpose of restricting a competitor from registering the domain
name on behalf of the registrant, or for the purpose of later offering this domain name to potential
licensees.

Examples of unacceptable conduct:

(1) Anticipating a consumer's preference for a domain name (via examining consumer activity on a website,
or by reference to other databases such as company name databases), registering that domain name using
the consumer’s details, and then offering the domain name to the consumer for a fee or in conjunction
with a bundled offering. This practice restricts the consumer's choice of Domain Name Supplier, and
may lock the consumer into service conditions (such as the need to host a website with the Domain Name
Supplier). This example is sometimes called front-running.

(2) Pre-registering domain names that may be in demand in the future (reference clause 14.2.3 and
clause 6.2.4 of Schedule B of the Registrar Agreement). This could be done to either artificially reduce
the supply of a domain name perceived as good (eg. by registering all domain names with 3 letters,
along with registering the appropriate business names to match), or with the intent to speculate on the
value of the domain name for later sale. This example is sometimes called warehousing.

4.4 A Domain Name Supplier may register domain names on its own behalf for its own use, subject to
the minimum registrant terms and conditions.

4.5 Domain Name Suppliers must only renew an expired domain name at the request of a registrant
(see also 4.3 above). The Registry will automatically delete domain names that have not been renewed,
14 days after the expiry date.

4.6 Domain Name Suppliers must only sell .au domain name licences for periods of 2 years. Where
domain name services are provided for periods longer than 2 years, the Domain Name Supplier must clearly
inform customers that the domain name licence must be renewed every 2 years.

5. Customer Contact

5.1 A registrar and a reseller of that registrar may agree (through a registrar-reseller agreement)
on procedures for contacting a registrant that has chosen the reseller as the registrant's agent. The
Registrar of Record for a domain name licence may maintain records of a registrant's current choice of
agent.

5.2 A registrar must not send a renewal notice to a registrant, or any other communication that
might reasonably be construed by a registrant to be a renewal notice, for a specific domain name
licence unless the registrar is the registrar-of-record for that domain name licence in the registry
database.

5.3 A reseller, or other Domain Name Supplier, must not send a renewal notice, or any other
communication that might reasonably be construed by a registrant to be a renewal notice, for a
specific domain name licence, unless the reseller, or other Domain Name Supplier, has been appointed
previously by the registrant to be their agent.

5.4 A reseller, or other Domain Name Supplier, must advise the registrant if there will be a
transfer to a new domain name licence with a different registrar-of-record, associated with accepting
a renewal offer (this may occur when either a reseller becomes a registrar, or when a reseller chooses
to use a different registrar).

5.5 A Domain Name Supplier for a specific domain name licence, must not send a renewal notice any
earlier than 90 days prior to the expiry date, and should make reasonable commercial efforts to advise
the registrant of the need to renew at least 30 days prior to expiry.

5.6 A Domain Name Supplier (including a registrar and a reseller) may make an offer to a registrant
for domain name services (other than as described in clauses 5.1-5.5 above), provided:

a) it is clearly identified as a solicitation for business;

b) there is no mention of a specific domain name or related information such as expiry dates;

c) it includes a statement that the registrant is under no obligation to respond, and may choose to
renew their domain name licence through the registrar-of-record in the registry database, or their
existing agent (who may be a reseller of the registrar-of-record);

d) it is clearly explained that acceptance of the offer may require the registrant to either transfer
between agents (resellers) within the databases of the registrar-of-record, or transfer to a new domain
name licence with a different registrar-of-record;

e) the offer is not sent as email, unless the Domain Name Supplier has an existing relationship with
the registrant, or the registrant has requested to opt-in for marketing information from the Domain
Name Supplier. Any such email must include a simple and effective opt-out mechanism;

f) the contact information for the registrant is not obtained from the Registry or auDA's centralised
WHOIS service (see clause 13 of the Registrar Agreement);

g) it cannot reasonably be construed as a renewal notice.

Examples of unacceptable conduct:

(1) Sending an invoice (or anything that appears to be an invoice) to a registrant for domain name
renewal, where the domain is presently registered through another registrar or reseller.

(2) Sending a renewal advice for a specific domain with an expiry date (eg. "xyz.com.au expires on
1/6/2002 - renew it now at our website"), where the domain is presently registered through another
registrar or reseller.

(3) Sending a notice addressed to "accounts payable", requesting payment for the renewal of a specific
domain name with an expiry date, where the domain is presently registered through another registrar
or reseller.

5.7 If a complaint is made about the accuracy of WHOIS data, then the registrar-of-record must
make reasonable commercial efforts to contact the registrant to arrange for the information to be
corrected. The registrar-of-record may delegate this responsibility to a reseller via the terms of a
registrar-reseller agreement.

6. Service Offerings

6.1 If a Domain Name Supplier provides bundled services to its customers (which include the
provision of services relating to Domain Names), then the Domain Name Supplier must specify the
unbundled price of each Domain Name Licence.

Examples:

(1) A registrar that sells ".com.au" for $150, and ".net.au" for $150, may make an offer as: ".com.au
and net.au for $150 each, or register both a com.au and net.au name for a special price of $250".

(2) A registrar that sells ".com.au" for $150 for 2 years, and web hosting for $500 for 2 years, may
express an offer as follows: "com.au registration for $150, web hosting for $500 for two years. If
you register a com.au domain name for $150, you will get a 10% discount off our standard prices for
web hosting associated with that domain name (i.e. total package price of $600)."

6.2 Where a Domain Name Supplier presents domain name services in Advertising Materials
as being provided as part of a bundled offering, the Domain Name Supplier must make it clear which
domain name services depicted in the Advertising Material are supplied under the bundled offer.

Guideline:

(1) If a website is illustrated together with both a com.au and id.au domain name, and the com.au
domain name is not part of the bundled offering, the advertisement could state "com.au domain name
services not included in the offer".

6.3 Where a Domain Name Supplier represents that domain name services in Advertising Materials
are provided under a bundled offering, the Domain Name Supplier must be in a position to supply
those domain name services unless a disclaimer to the contrary effect is included.

Guideline:

(1) If a Domain Name Supplier offers registration in second level ".au" domains as part of a domain
name offer, the supplier must either supply services in all second level domains, or include a
disclaimer to the contrary (such as offer does not include registration in csiro.au).

6.4 Where Advertising Materials indicate the price of a component domain name service of a
bundled offering, a supplier must include in the Advertising Materials a statement of the minimum
total charge of the bundled offering and indicate any conditions that may apply to obtain the
component domain name service at the stated price.

Guidelines:

(1) A Domain Name Supplier may offer domain name services at $10 per month, but for a minimum licence
period of 2 years - thus a minimum total price of $240 over the 2-year licence period.

(2) A Domain Name Supplier may offer a 10-year domain name service for $750, which requires the
Domain Name Supplier to renew the licence every 2 years. The Domain Name Supplier must state that
the domain name licence will be subject to the registrant confirming that they continue to be
eligible for the licence every 2 years.

7. Advertising Principles

7.1 Domain Name Suppliers must comply with all legislation and published standards applicable
to advertising of any domain name product or service.

7.2 Domain Name Suppliers must provide customers with information about .au domain name services
that is:

a) clear;

b) accurate;

c) complete; and

d) not confusing, misleading or deceptive.

7.3 Domain Name Suppliers must give customers information, which avoids unnecessary complexity,
is in simple and straightforward language; and is readily understandable by the target audience.

8. Advertising Guidelines

8.1 Disclaimers

a) A Domain Name Supplier must clearly state any Disclaimers to an offer next to the offer, or
linked to the offer by an asterisked footnote in proximity to the offer, or for television and
radio Advertising Material, as part of the advertisement.

Guideline:

For example, "$100 per year domain name registration fee (minimum contract period 2 years)" or
"$200 per year domain name registration fee with free website*" * "Up to 3 webpages containing
up to 20 Mbytes of content".

b) A Domain Name Supplier must ensure that Disclaimers used in Advertising Materials are clearly
indicated, and readily understandable having regard to the nature of the advertisement including
the size of the text in the Body Copy, the medium used to convey it and its likely audience.

Guideline:

(1) For printed Advertising Materials, a Domain Name Supplier should ensure that the font size
of a Disclaimer is at least 10 point, where the Advertising Material is A4 size or greater, or
8 point, where the Advertising Material is less than A4 size but larger than an 8cm x 6cm
advertisement 6 point where the Advertising Material is of a size equal to 8cm x 6cm or smaller,
by reference to the font size of Times New Roman or equivalent.

(2) For billboards, a Domain Name Supplier must ensure that any Disclaimer used is sufficiently
clear and prominent to be clearly read by the intended audience.

(3) For radio and television, a Domain Name Supplier must ensure that any verbal Disclaimer
used is stated at a speed and volume which is clearly discernable by the average listener.

c) A Domain Name Supplier must ensure that a Disclaimer used in printed Advertising Materials
appears in text which contrasts sufficiently in colour with its background to be clearly read,
and is positioned as a statement horizontal to the principal text to which the Disclaimer relates.

d) A Domain Name Supplier must not use a Disclaimer to negate the principal messages of the
Advertising Materials.

8.2 If certain offers for domain name services are promoted in Advertising Material but are
only available to a sub-group of people who see or hear the Advertising Materials, a Domain Name
Supplier must make clear the eligibility requirements.

Guideline:

(1) “Available only to those customers with 10 domains or more" or "Available only to the first
50 customers that respond to this advertisement" or "Available only to customers that respond
within 72 hours to this offer”.

8.3 A Domain Name Supplier must state in Advertising Material any applicable time limits on
availability of an offer promoted in the Advertising Materials.

Guideline:

(1) "Available until 30 June"

8.4 A Domain Name Supplier must not make a savings claim in any Advertising Materials unless
it is true and each reasonable inference from the Advertising Materials as to savings can be
substantiated.

8.5 A Domain Name Supplier must make clear in Advertising Materials the basis for any savings
claim made.

Guideline:

(1) When making a claim such as "saves up to 50%" it must be apparent what the basis is for the
savings claim, for example "save up to 50% off company A's recommended retail price", "save up to
50% off our normal price", "save up to 50% off our previous rates", "save up to 50% this weekend
on our normal domain name registration fee".

8.6 If it is possible some customers with particular usage patterns would not save, a Domain
Name Supplier must qualify a savings claim.

8.7 A Domain Name Supplier must only use general savings claims, eg. "save money", "you will
save" or "our rates are cheaper", if all customers would save under the offer. Otherwise a Domain
Name Supplier could use savings claims, such as the examples below:

Guideline:

(1) "you could save", "we are cheaper for many customers", "you may save", "many customers will
save".

8.8 If access to a domain name service is promoted in any advertising as provided for free or
below market price, but additional charges apply to use the domain name service, a Domain Name
Supplier must disclose the additional charges.

Guideline:

(1) "free net.au domain name registration (charges apply for delegation)"

8.9 A Domain Name Supplier must not advertise domain name services as "free" that may accompany
a domain name registration unless the principal terms and conditions of the free offer as they
relate to fees and charges are disclosed in the Advertising Material, and the prices for domain
name services accompanying the offer are not inflated to cover some or all of the cost of the free
offers.

Example of unacceptable conduct:

(1) "Free net.au domain name, when you purchase a com.au domain name for $1000", if a Domain Name
Supplier normally charges$150 for a com.au domain name, without the free offer.

9. Comparative Advertisements

9.1 A comparative advertisement means an advertisement which makes comparisons directly or by
implication between Domain Name Suppliers, or particular domain name services and related products
("preferred services") and other domain name services and related products ("compared services") for
the purposes of encouraging the customer to select a particular Domain Name Supplier or the preferred
services.

Guideline:

(1) For the sake of clarity, any comparison between Preferred services and Compared services includes
a comparison between the prices, terms and conditions of the services.

9.2 If a comparative advertisement is comparing particular domain name services, a Domain Name
Supplier must make it clear what the preferred services are being compared with.

Guideline:

(1) When comparing customer service response times, the Advertising Materials should indicate the
time of day and day of the week on which the comparison is based.

9.3 A Domain Name Supplier must ensure that Preferred Products are broadly comparable with
Compared Products, having regard to any claims made in the Comparative Advertisement.

Guideline:

When considering whether Preferred Products are broadly comparable with Compared Products, a Supplier
should have regard to any claims made in the comparative advertisement and to:

a) the respective purpose or purposes for which the Preferred services and the Compared Services are
ordinarily to be used;

b) the respective pertinent features of the Preferred services and the Compared Services; and

c) whether, in relation to the Compared Product, other goods or services offered by the Domain Name
Supplier would afford a more appropriate comparison.

9.4 If the Preferred services are not broadly comparable with the Compared Products, then a Domain
Name Supplier must ensure that the comparison is not misleading.

9.5 A Domain Name Supplier must ensure that any Disclaimer used in a Comparative advertisement is:

a) clearly indicated; and

b) readily understandable, having regard to the nature of the advertisement, the medium used to convey
it and its likely audience.

9.6 A Domain Name Supplier must use current information in a comparative advertisement.

10. Customer Information

10.1 Domain Name Suppliers must fully disclose to a registrant the following minimum level of
information:

a) Identification of the Domain Name Supplier including:

(i) the legal name of the business and the name under which the business trades (including the
Australian Business Number);

(ii) address of registered office or principal place of business;

(iii) email address or other electronic means of contact, or telephone number

b) Identity of the accredited Registrar being used by the Domain Name Supplier if the Domain Name
Supplier is NOT an accredited registrar including:

(i) the trading name shown in the auDA list of Registrars;

(ii) contact information for the registrar including telephone number in office hours, facsimile
number, website address and email address;

(iii) address of registered office of principal place of business;

c) terms and conditions of the domain name licence; and

d) processing time for domain name registrations, customer support contact information and web address
link to this code of practice.

10.2 Domain Name Suppliers must inform registrants about material changes to Domain Name Policy that
directly affect their domain name licence.

11. Conduct of Employees, Agents, Contractors and Resellers

11.1 Each Domain Name Supplier must use reasonable efforts to achieve compliance by its employees,
agents, contractors, and resellers with the provisions of the Code.

11.2 Each Domain Name Supplier must undertake reasonable measures to develop a culture of compliance
with this Code in their employees, agents, contractors, and resellers.

11.3 If a Domain Name Supplier becomes aware of any activities which are in contravention of this
Code by its employees in the course of their employment or by its agents, contractors, or resellers
in the course of performing their functions as agents, contractors or resellers, the Domain Name
Supplier must take such action which may be reasonably available to it to prevent or discourage
continuation of the breach of this code.

12. Consumer Protection

12.1 Domain Name Suppliers must:

a) comply with the National Privacy Principles of the Privacy Act (Cth) 1988 in all dealings with
registrants (www.privacy.gov.au) and observe the provisions of this Code of Practice in relation to
registrant transfers and complaints;

b) publish and observe a written complaints handling process which is available to all registrants at
no charge;

c) provide a web address to auDA for Consumer information, including Consumer Guide and FAQ;

d) comply with their obligations to consumers pursuant to the Trade Practices Act (Cth) 1974, and the
Disability Discrimination Act (Cth) 1992;

e) comply with any other relevant consumer related laws and codes of the Commonwealth, States and
Territories of Australia; and

f) gain consent of registrants to change terms and conditions of an existing licence.

13. Code Enforcement

13.1 The Code is intended to act as an incentive for industry participants to conduct their business
in accordance with the Code and as a non-negotiable commitment to the Registrar Agreement.

13.2 Any person including a consumer, reseller, registrar or the registry, may bring a complaint
under this Code of Practice.

13.3 Alleged breaches of this Code of Practice by a Domain Name Supplier, will be dealt with,
by auDA under their published Complaints Policy[6].

13.4 Notwithstanding the process outlined above, a Complainant is entitled to seek redress under
relevant legislation (eg. action under the Trade Practices Act for false and misleading conduct).

14. Complaints Handling Principles

14.1 Domain Name Suppliers must:

a) provide an:

(i) efficient;

(ii) fair (both to the subject of the complaint, and the Complainant whether an organisation or
individual); and

(iii) accessible;

mechanism for handling customer and other complaints;

b) demonstrate a commitment to the right of customers to complain; and

c) regard complaints as an opportunity to improve products and services.

14.2 Domain Name Suppliers must provide adequate resources for complaint handling with sufficient
delegated levels of authority.

14.3 Domain Name Suppliers’ complaint handling processes must have the capacity to determine and
implement remedies to achieve resolution.

14.4 Complaints must be dealt with in 30 days where possible, and Complainants treated with
courtesy.

15. Complaints Handling Rules

15.1 General

a) These rules refer to the processing of verbal and written Complaints.

b) Domain Name Suppliers must implement processes and procedures based on the Complaint Handling
Principles and Code rules provided in this Code below.

15.2 Visibility and Accessibility

a) Domain Name Suppliers’ Complaint handling processes must:

(i) be publicised to Customers and staff;

(ii) include information to Customers about their right to complain; and

(iii) specify how the Domain Name Supplier can be contacted in order to make a Complaint.

15.3 It is recommended that Domain Name Suppliers provide easily understood information about
their complaint process in as many mediums and formats as reasonably practicable. Examples may include,
but not be limited to, telephone directory listings, information printed on accounts, service
guarantee or product/service brochures, Advertising Material, customer service guides, Internet pages.

15.4 Domain Name Suppliers’ Complaint handling policies must be in writing and be made available
upon request.

15.5 Domain Name Suppliers must provide sufficient information so that Customers can readily identify
the area point of contact, which handles Customer Complaints.

15.6 It is recommended that Domain Name Suppliers take any necessary steps to ensure that Customers
can easily identify the area where a Complaint may be lodged. The more specific reference to "customer
service" or “complaints” is recommended in preference to “general inquiries”.

15.7 Domain Name Suppliers must ensure their complaint handling process is reasonably accessible to
all Customers, including people with disabilities and from non-English speaking backgrounds.

15.8 Domain Name Suppliers are encouraged to make adequate provisions to ensure that people with
disabilities or from non-English speaking backgrounds are able to access their Complaint handling
process. This may include, but not be limited to, the provision of an enquiry line, including direct
TTY access via a local call or toll free number, and the provision of language and sign language
interpreters. Domain Name Suppliers should also ensure Customers can be easily represented by their
Authorised Representative and/or Advocate in order to make a Complaint, providing a means of authorisation
can be easily established and verified.

15.9 Domain Name Suppliers must provide information on how, when and where to make a Complaint. This
may include information about the Complaint lodging process, hours of operation and offices or locations
at which Complaints can be lodged. This information must be simple, in plain English, and reasonably
accessible to all Customers. It is recommended that appropriate services be included to meet the needs
of people with disabilities and from non-English speaking backgrounds.

15.10 Domain Name Suppliers must ensure that Customers have access to free or low cost and flexible
methods for lodging Complaints.

Example:

(1) To ensure that Customers are not discouraged from making a Complaint, Domain Name Suppliers should
consider the provision of a toll free or local access number. Other alternatives for low cost access
include e-mail, free-call/local call fax, street address, mailing address or Internet web page form.

15.11 Where requested, Domain Name Suppliers must provide Customers with reasonable assistance in
formulating and lodging Complaints.

Example:

(1) In cases where Customers specifically request assistance in lodging Complaints, Domain Name
Suppliers are encouraged to provide reasonable assistance to the Customer. There may be a number
of reasons for the request, e.g. language problems or physical disability. This may also take the
form of providing information on what the Domain Name Supplier requires the Customer to provide to
progress the Complaint, but does not extend to providing resources to compile compensation claims on
behalf of the Customer.

15.12 Responsiveness

a) A Domain Name Supplier must acknowledge written Complaints within 5 working days of receipt of
the Complaint. A Domain Name Supplier can elect to do this either verbally or in writing, unless
the Complainant specifies one or the other method.

b) Verbal Complaints will be taken as acknowledged at the time the Complaint is made.

c) Wherever possible, a Domain Name Supplier must advise Customers when they make a Complaint, or
within 5 working days, of the complexity of the investigation and a timeframe for the possible final
determination of the Complaint. The timeframe for finalisation should not exceed 30 calendar days
unless Clause 13.3 or 13.4 applies.

d) In certain cases it will not be possible for a Complaint to be handled within the 30-day
timeframe due to the complexity or circumstances of the Complaint. A Domain Name Supplier must
provide regular updates to the Customer in these circumstances and the Complainant must be kept
informed as to the Complaint’s progress and likely timeframe for finalisation.

e) The complexity or circumstances of a Complaint may include where the Domain Name Supplier is
relying on another Domain Name Supplier for the provision of information to enable further
investigation of the Complaint, or for another Domain Name Supplier to provide information on the
resolution or determination of the Complaint.

f) Domain Name Suppliers must provide Customers with sufficient information to ensure they can
effectively inquire on the progress of the Complaint and be advised if this information changes.

g) Sufficient information may take the form of advising the Customer to quote their name, telephone
number, complaint reference number or other identifier in order to facilitate a timely and accurate
response to the Customer on subsequent enquiries by them.

h) Domain Name Suppliers must advise Customers of the outcome of the investigation of their Complaint.
This can be in a written format, if requested by the Customer.

i) Domain Name Suppliers must not impose Complaint handling charges on Complainants, except where the
investigative/handling process is sufficiently onerous to justify the levying of a Complaint handling
charge.

Example of onerous circumstances:

Where a Customer instigates a complaint process that requires the retrieval of archival records more
than two years old.

j) Where the outcome of a Complaint is upheld in favour of the Customer, a Domain Name Supplier must
refund any complaint handling fees paid by the Customer for that Complaint.

k) Where a Domain Name Supplier considers that the investigative/ handling process is sufficiently
onerous to justify the levying of a Complaint handling charge, a Domain Name Supplier must not
impose the charge without reference to, and discussion with, the Customer. In cases where a charge
is to be imposed, the Domain Name Supplier must inform the Customer of such charges in writing.

l) Where the Domain Name Supplier deems the Complaint frivolous or vexatious, the Domain Name
Supplier must:

(i) where appropriate, use internal processes to escalate the Complaint;

(ii) inform the Customer of the reasons for the decision not to investigate; and

(iii) inform the Customer of the availability of external options for complaint handling,
eg. auDA.

15.13 Escalation and Further Recourse

a) Where appropriate, a Domain Name Supplier’s complaint handling process must include an
escalation process.

b) Unresolved Complaints should be dealt with according to any escalation processes, which the
Domain Name Supplier may have.

c) Domain Name Suppliers must advise Customers of their avenues of recourse, including their
internal options and/or external options, in all instances where the Customer indicates to the
Domain Name Supplier that they remain dissatisfied with the outcome of a Complaint.

15.14 Recording Customer Complaints

a) A Domain Name Supplier’s procedures must provide for appropriate and systematic record
keeping of Complaints and their outcomes.

15.15 Disputed Amounts

a) A Domain Name Supplier must not demand payment of justifiably disputed amounts whilst the
Complaint is being investigated.

15.16 Internal Data Collection and Analysis

a) Domain Name Suppliers must have appropriate systems to record Complaints and their outcomes.
These systems must enable the Domain Name Supplier to collect and analyse Complaints in order to
identify Systemic Problems and provide the basis for Complaint reporting required under the
regulatory and the self-regulatory regimes.

b) Domain Name Suppliers must ensure that data collected is categorised and analysed at least
every six months to allow for the identification and rectification of Systemic and recurring
problems.

15.17 Review

a) Domain Name Suppliers must review their complaint handling process at least every two years
to ensure that it is delivering fair and reasonable outcomes. Any necessary amendments must be
made to the complaint handling process based on these reviews.

15.19 Changes to Complaint Handling Policies and Processes

a) Domain Name Suppliers must update any information regarding their Complaint handling process
to reflect any variations to the process.

b) Where significant variations are made that affect Customers’ access to the process, Domain
Name Suppliers must inform Customers of the changes.

15.20 Retention of Records

a) A Domain Name Supplier must retain material collected and recorded throughout the complaint
handling process for a minimum period of two years following the closure of a Complaint.

16. Definitions

Term Definition

2LD Means a .au second level domain, that is, a name at the
second level of the .au domain name hierarchy (for example,
.com.au)
Advertising Material Means but is not limited to: Television; radio; press and
magazine advertisements; direct mail; posters; brochures;
packaging; price tags; billboards; cinema advertisements;
advertorials; infomercials; promotional videos; website
materials; signage; media releases; electronic mail;
electronic news groups; bill messages and inserts; and
other point of sale material. (From ACIF Code:C521 OCTOBER 2001)
Advocate Means an attendant care worker, family member, friend,
other person nominated by a Customer, with a disability,
non-English speaking background, or other special need to
assist the Customer. An Advocate is not authorised to make
changes to the Customer’s account or domain name services
unless the Customer as an Authorised Representative also
nominates them.
Authorised Representative Means a person who is authorised to act on behalf of a Customer
on matters associated with a Supplier’s domain name activity or
associated products and services. Wherever the term Customer
is used in this Code, the term Authorised Representative should
also be read.
ccTLD Means country code top level domain in the domain name hierarchy
(for example, .au in Australia, .uk in the United Kingdom)
Complainant Means a person or organisation making a complaint.
Complaint Means any expression of dissatisfaction or grievance made to a
Domain Name Supplier by a Customer or member of the public with
any domain name related activity of that Supplier, but does not
include a request for information.
Customer Means a person or entity who:
a) has a contract including standard forms of agreement, with a
Domain Name Supplier for the supply of a domain name product or
service; or
b) is eligible under the criteria set by a Domain Name Supplier
to enter into a contract for the supply of the domain name product
or service;
c) is the holder of a Domain Name Licence; or
d) is a Domain Name Applicant.
Domain Name Means a domain name in a designated 2LD in .au
Domain Name Applicant Means an individual or entity that applies for a Domain Name Licence,
or for renewal of their existing Domain Name Licence.
Domain Name Licence Means the licence to use a domain name for a specified period of time.
Domain Name Supplier Means a Registrar, Reseller or Agent.
Front-running Means using a process designed to anticipate a consumer’s preference
for a domain name (via sniffing of WHOIS database or other process),
or otherwise obtaining specific information regarding such preference,
with the intent of registering such domain name on behalf of the
registrar or reseller
Product Means a domain name good or service offered by a Domain Name Supplier.
Published Policies Means those specifications and policies established and published by
auDA from time to time, as the self-regulatory body responsible for
the administration of the .au ccTLD, in accordance with its constitution
Registrant Means an entity or individual that holds a domain name licence in one
of the 2LDs.
NB: references to “Registrant” in this document include both existing and
potential registrants and its agents.
Registrant Agreement Means the agreement to be entered into, or renewed, between the Registrar
and a Registrant in relation to an approved Domain Name.
Registrar Means an entity that registers domain names for customers and who is
accredited under the auDA Registrar’s Accreditation rules.
Registrar-of-Record Means the registrar that is listed in the registry database as being
responsible for the administration of a domain name.
Registry / Registry database Means a database consisting of primary and secondary name-servers and
WHOIS servers, containing the Registry data and a mechanism for accessing
that data, in relation to a designated 2LD.
Reseller or Agent Means a person or entity appointed by a Registrar to sell domain name
services and provide customer services to Registrants on behalf of the
Registrar and any person who is characterised as a reseller under auDA
Policy #2002-16[7].
Systemic Problem Means the failure of a system, process or practice of a Domain Name Supplier,
which causes detriment to a significant number or class of Customer.
The Domain Name Supplier following the receipt and investigation of multiple
Complaints of a similar nature may identify a Systemic Problem.
Alternatively, the Domain Name Supplier because of the investigation of
a single Complaint may identify a Systemic Problem.
Warehousing Means the pre-registration of domain names not on behalf of a registrant,
but knowingly for the express purpose of resale at a later date.
WHOIS service Means the protocol used to provide a public information service in relation
to data in a registry.
WHOIS data Means the set of data to be disclosed on a WHOIS service under auDA Policy
#2002-06[8].

[1] http://www.auda.org.au/policy/code-committee-2002/
[2] http://www.auda.org.au/registrars
[3] http://www.auda.org.au/policy/policy-index.html
[4] http://www.auda.org.au/registrars
[5] http://www.auda.org.au/policy
[6] http://www.auda.org.au/docs/auda-2002-21.txt
[7] http://www.auda.org.au/docs/auda-2002-16.pdf
[8] http://www.auda.org.au/docs/auda-2002-06.pdf