Appendix 8 Code of Conduct and Conflict of Interest Guidelines for Service Providers

These guidelines are designed to ensure that all service providers operate with integrity, impartiality, and transparency throughout the New gTLD Program: 2026 Round application evaluation, objection, and dispute resolution processes. The following sections detail the ethical standards, conflict of interest procedures, and confidentiality requirements that service providers must adhere to, ensuring the fair and objective assessment of all applications.

A8.1 Code of Conduct and Conflict of Interest Guidelines

A number of independent experts and groups play a part in performing the various reviews in the evaluation process. These guidelines apply to the following experts and groups, known as service providers:

• Evaluation panel firms and individual persons appointed by the panel firm to conduct an evaluation.

• Dispute resolution service providers and dispute resolution expert Panelists.

• Independent objector firms and independent objectors.

A8.1.1 Code of Conduct

The New gTLD Program Code of Conduct aims to prevent conflicts of interest and unethical behavior by service providers for the New gTLD Program: 2026 Round. For purposes of clarity, “Service Providers” means in this case those entities and individuals performing services related to evaluation and dispute resolution processes such as: evaluation firms or persons appointed by evaluation firms; dispute resolution providers or expert panelists appointed by dispute resolution providers; or, independent objector firms and independent objectors appointed by independent objector firms. The Applicant Guidebook outlines the principles of this Code but does not limit the legal and ethical requirements and obligations service providers must follow.

Service providers’ legal requirements and ethical obligations begin upon acceptance of their appointments. They must act as competent, impartial professionals during the application evaluation, objection, and dispute resolution processes. Compliance with equity and high ethical standards is expected, ensuring objectivity, integrity, confidentiality, and credibility. Unethical actions, or even the appearance of conflicts of interest, are not acceptable.

If a service provider withdraws before completing the application evaluation or objection and dispute resolution processes, it must take reasonable steps to protect the interests of the involved parties, including returning evidentiary materials and maintaining confidentiality.

A8.1.1.1 Principles

Service providers are expected to be guided by the following principles in carrying out their respective responsibilities.

A8.1.1.2 Bias

Service providers shall:

• Not advance personal agendas or non-ICANN approved agendas in the evaluation of applications or objection proceedings.

• Examine facts as they exist and not be influenced by past reputation, media accounts, or unverified statements about the applications being evaluated or the matters at issue in the objection proceeding.

• Exclude themselves from participating in the evaluation of an application or an objection proceeding if, to their knowledge, there is some predisposing factor that could prejudice them with respect to such evaluation or proceeding.

• Exclude themselves from evaluation activities or objection proceedings if they are philosophically opposed to or are on record as having made criticisms about a specific type of applicant, application, or matter at issue in the evaluation or the dispute resolution proceeding.

• Conduct themselves in a way that is fair to all parties and not be swayed by outside pressure, public clamor, and fear of criticism or self-interest. Service providers should avoid conduct and statements that give the appearance of partiality toward or against any applicant, application, or party to the objection proceeding.

A8.1.1.3 Compensation/Gifts

Service providers shall not request or accept any compensation whatsoever or any gifts of substance¹ from the applicant being reviewed, anyone affiliated with the applicant, or any party or party affiliate involved in the objection proceeding. If in doubt, a service provider should err on the side of caution by declining gifts of any kind. Note, however, that during an objection proceeding, an applicant that is the Objector or Respondent is required to submit payment directly to the applicable dispute resolution service provider (DRSP) to cover the applicant’s share of administrative expenses and fees of the members of the Objection Panel. Accepting this payment does not mean an objection panelist is in violation of the Code of Conduct in this section. See the Dispute Resolution Procedures document contained in the Applicant Guidebook for more information about fees and payments.

A8.1.1.4 Conflicts of Interest

Service providers shall act in accordance with Appendix 8 Conflict of Interest Guidelines for Service Providers.

A8.1.1.5 Confidentiality

Confidentiality is crucial in application evaluations and objection proceedings. Service providers must access sensitive information to conduct these processes while ensuring confidentiality of all information from ICANN, applicants, objectors, and other sources, except when legally required or authorized by ICANN. Confidential information includes materials related to applications, evaluations, analyses, and other documents prepared by ICANN staff or evaluators, which must be kept confidential as specified in the Applicant Guidebook, unless law or judicial processes dictate otherwise (see Appendix 10 Terms and Conditions).

A8.1.1.6 Data Protection and Privacy

All service providers are required to comply with the New gTLD Program: 2026 Round’s data protection principles (see Appendix 9 New gTLD Program: 2026 Round Privacy Policy).

A8.1.1.7 Affirmation

All service providers must read and certify in writing their understanding and agreement to comply with this Code before participating in any evaluation or objection proceeding.

A8.2 Conflict of Interest Guidelines for Service Providers

Service providers may employ numerous staff across various countries and serve many clients, some of whom are prominent within the registry and registrar community. To prevent inappropriate influence and ensure objective evaluations, ICANN has implemented Conflict of Interest guidelines and procedures for service providers. Service providers must ensure that all appointed entities and individuals:

• Acknowledge and understand the Conflict of Interest guidelines.

• Agree to comply with these guidelines.

• Disclose any business relationships related to ICANN’s New gTLD Program: 2026 Round from the past six months.

Where possible, ICANN will identify and secure primary and backup providers for evaluation and dispute resolution. In conjunction with service providers, ICANN will identify conflicts and re-assign applications as appropriate to secondary or contingent third-party providers to perform the reviews.

A8.2.1 Guidelines

Service providers must adhere to the following minimum standards.² A fundamental principle is that they must remain impartial and independent of the applications, applicants, and involved parties from the time they accept their appointment throughout the application evaluation or objection processes.

A service provider should decline an appointment or, if the evaluation or objection proceeding has already begun, refuse to continue to act if there are any doubts regarding their impartiality or independence, whether these doubts existed prior to or arose after their appointment.

If there are facts or circumstances that cast doubt on a service provider’s impartiality or independence, they must disclose these, as applicable, to ICANN, the applicants or the panel firm prior to accepting the appointment or as soon as they learn of them. Any doubt as to whether any service provider should disclose certain facts or circumstances should be resolved in favor of disclosure.

While it is impossible to anticipate all potential conflicts of interest, a service provider should evaluate whether the existing facts and circumstances would lead a reasonable person to conclude that there is an actual or potential conflict of interest. If conflicts of interest are found to exist, ICANN will work with service providers to reassign applications as appropriate.

The following text outlines boundaries set for service providers and their immediate family members.

Service providers and Immediate family members:

• Must not be under contract, have or be included in a current proposal to provide professional services for or on behalf of the relevant applicants or any parties to an objection proceeding during the compliance period, which begins upon acceptance of the appointment.

• Must not currently hold or be committed to acquire any interest in a privately-held applicant or any parties to an objection proceeding.

• Must not currently hold or be committed to acquire more than 1% of any publicly listed applicant’s or any parties to an objection proceeding outstanding equity securities or other ownership interests.

• Must not be involved or have an interest in a joint venture, partnership or other business arrangement with the applicant or any parties to an objection proceeding.

• Must not have been named in a lawsuit with or against the applicant or any parties to an objection proceeding.

• Must not be a:

  • Director, officer, or employee, or in any capacity equivalent to that of a member of management of the applicant or any parties to an objection proceeding.

  • Promoter, underwriter, or voting trustee of the applicant or any parties to an objection proceeding.

  • Trustee for any pension or profit-sharing trust of the applicant or any parties to an objection proceeding.

Service providers also maintain their own conflict of interest procedures with which Panelists are required to comply.³

A8.2.3 Definitions

Panelist: An evaluation panelist or a DRSP-appointed panelist is any primary, secondary, and contingent third-party panelist engaged by a service provider to review a new gTLD application or consider any objections relating to a new gTLD application.

Immediate Family Member: Immediate family member is a spouse, spousal equivalent, or dependent (whether or not related) of an evaluation panelist, a DRSP-appointed panelist, or an independent objector.

Professional Services: Professional services include legal services, financial audit, financial planning and investment, outsourced services, and consulting services such as business, management, internal audit, tax, information technology, and registry and registrar services.

Service Providers: Individuals and entities providing services or supporting processes for the New gTLD Program: 2026 Round, including but not limited to the application evaluation or objection processes.⁴

A8.2.4. Code of Conduct Violations

Any breaches of the Code of Conduct by service providers, whether intentional or not, shall be reviewed by ICANN. If necessary, ICANN may recommend corrective actions. Such breaches could lead to the removal of the individual or provider responsible, in accordance with relevant contractual provisions.

If ICANN determines that a service provider has failed to comply with the Code of Conduct, the results of that provider’s review for all assigned applications may be discarded. Consequently, the affected applications will be reassigned for review by new service providers.

Applicants with concerns about service providers should communicate through the defined support channels (see Section 2.1 Resources and Help). Members of the general public with concerns regarding the Code of Conduct (that is, non-applicants) can raise them via ICANN’s Global Support Center (globalsupport@icann.org).⁵