Auditing Procedure FAQs
- Why does the RIPE NCC audit LIRs?
- When will a LIR be audited?
- I received this e-mail message that my LIR is
under audit. What should I do?
- I have been asked to update the contact persons
in my LIR internal registry file. The entire staff has been replaced.
What should I do?
- The person(s) who took care of the IP administration
left leaving us with no documentation. Where shall we start?
- What are overlapping assignments and how should
I fix these?
- The Audit Controller asked me to add "status
lines" in inetnum objects and/or to use the correct attribute. How should
I do that? Where can I find more information about this?
- The audit report says I have:
- I have been asked to send documentation for
a list of netnames, that have been entered in the RIPE database without
prior approval by you, but my Assignment Window (AW)
is /xx so these ranges fall within the AW. What's wrong?
- My AW is /xx but the audit report tells me I
exceeded the AW and the assignments are not valid. What's wrong?
- I found address ranges, which are not in use
with (an) End User(s) anymore. What to do with these?
- The address range is not in use with "BICYCLE"
anymore but with "MOPED". Should I update the inetnum objects?
- Should I file each and every address space request?
- Can I request address space while I am under
audit?
- I am very busy with other projects within my
LIR and audit has a low priority. What should I do?
- The auditing is going to take me a long time.
Is there a time schedule?
- What happens if I do not respond to audit reminders?
Is there a penalty?
- How can I check Whois Database inconsistencies?
Do you have tools available?
- I need a new allocation soon. To save time I
want to fix the inconsistencies first before requesting a new allocation.
Can I request audit results myself?
- My LIR has been taken over and the name/address/contacts
have changed. Where can I find more information?
- I received the audit report from RIPE NCC but
this LIR has been closed or will be closed. What is the next step?
Why does the RIPE NCC audit LIRs?
The RIPE NCC does audit LIRs to promote consistent and fair application
of assignment criteria with regard to conservation and registration of
address space and aggregation of routing information. The RIPE NCC verifies
that LIRs are applying the assignment criteria correctly.
The auditing activity will also help to identify parts of the procedures
themselves that cause problems and the findings will be reported back
to the RIPE address policy working
group for further investigation and improvement of the procedures.
At the 1996 Contributors Committee Meeting, the contributors agreed that
the RIPE NCC should significantly increase its efforts to actively check
the quality and validity of registry data. This should also include the
production of statistics on address space usage. In order to ensure a
fair address space distribution, the RIPE NCC will regularly check that
assignment guidelines are applied equally.
Please see the RIPE NCC Contributors Committee 1996 Annual Meeting minutes
and the RIPE NCC Activities & Expenditure 1997 for more
information.
When will an LIR be audited?
An LIR will be audited for the following reasons:
- On request of a RIPE NCC IPRA;
When a RIPE NCC IPRA has difficulty obtaining satisfactory answers
from an LIR, the audit can be passed on to the Consistency Checking
& Auditing Team. Also, if procedural errors are discovered, the
IPRA involved can either transfer the request to the Consistency
Checking & Auditing Team or continue the audit under its supervision.
- As reaction to an external complaint;
The Consistency Checking & Auditing Team will handle external complaints
about non-compliance with policies and procedures. It will investigate
these complaints and try to ascertain if they have any validity before
approaching the LIR against which the complaint has been lodged. Complaints
that do not have some form of collaborative evidence, either given or
discovered during research, will not be pursued. To ensure confidentiality,
the identity of the complainant will be kept confidential unless written
permission is given for disclosure. All information about the LIR being
audited will remain confidential and the outcome of the audit will not
be disclosed.
- To perform pro-active audits of LIRs with which the RIPE NCC
has little contact;
The Consistency Checking & Auditing Team will audit LIRs with whom
we have little contact. Some LIRs, due to the nature of their business
and their Assignment Window need very little coordination from the RIPE
NCC. It is useful to audit these LIRs from time to time to ensure that
they are aware of the latest policies and procedures.
- When an LIR requests a new allocation;
With every request for a new allocation, the usage of previous allocations
is monitored. The RIPE NCC will ask for the documentation on several
sample requests (usually three) to see what the LIRs based their assignment
decision on. This is important to align assignment criteria and to make
sure LIRs gather the necessary information. LIRs should have documentation
of all IP assignment requests available. When the LIR has failed to
archive requests, it may result in a delay of the allocation procedure.
I got this e-mail message saying that
my LIR is under audit. What should I do?
Please contact the Consistency Checking & Auditing Team by replying
to the audit e-mail message you have received. The Consistency Checking
& Auditing Team will have created a ticket for this. We do not expect
you will fix the database inconsistencies overnight and we are willing
to look for an acceptable time schedule to get the inconsistencies fixed.
It is of the outmost importance that you reply to the message you have
received so we can work on a solution.
I have been asked to update the contact
persons in my LIR internal registry file. All staff has been replaced.
What should I do?
We require an e-mail message from the previous contacts in which they
confirm they are not working for your company anymore. If this is not
possible, we need a fax message that shows the company's stationary and
company logo. The content of the fax message should be a confirmation
from the CEO or MD of the company in which is stated that the contact
persons left the company. Please include the names and NIC handles of
the new contact persons and the name of the person who will be the contact
during the audit in your reply e-mail.
The person(s) who took care of the IP
administration left leaving us with no documentation. Where shall we start?
Please contact us and explain the situation in further detail. We will
assist you in following the correct policies and procedures to solve the
most urgent inconsistencies. You may consider to have the future administrator(s)
follow a RIPE NCC LIR Training
Course to get them up to speed with the current policies and procedures.
The LIR Assignment Window (AW) may be decreased to prevent the new contacts
from making erroneous assignments involving large amounts of address space.
The AW can again be increased once it becomes clear that the new contacts
are adhering to the policies and procedures when submitting requests.
Policies and procedures are documented in various
policy documents.
What are overlapping assignments and how
should I fix these?
Example:
OVERLAP 193.0.0.0 - 193.0.1.255 EXAMPLENET
193.0.0.0 - 193.0.0.255 EXAMPLENET1
The example shows an overlapping assignment in the audit ticket. It displays
two entries in the RIPE Database where both the address ranges are in
use. Please check which address range is actually in use and please delete
the overlapping inetnum object.
The Audit Controller asked me to add "status"
lines in inetnum objects and/or to use the correct attribute.
How should I do that? Where can I find more information about this?
Example:
Missing status line:
193.0.0.0 - 193.0.1.255 EXAMPLENET 512 (MISSING)
The "status" line in an inetnum object specifies whether
the request is Provider Aggregatable (PA) or Provider Independent (PI).
The "status" line should either say: "ASSIGNED PA" or "ASSIGNED PI". We
will ask you to add the correct "status" line in the inetnum
object and to update the inetnum object. If the addresses
are not used anymore, you may delete the object.
Please note that all objects should have a "mnt-by". Additionally a "mnt-lower"
is recommended.
The audit report says I have:
Possible error lines:
*No nic-hdl in person obj*
It may occur a person object has no (NIC-handle). If this is the case
please follow the procedure to (obtain a NIC handle)
*admin-c field not nic-hdl*
*tech-c field not nic-hdl*
In the past NIC-handles were not mandatory in Whois Database objects.
It may occur there are objects in the Whois Database which show full person
names. These person names should be replaced by NIC-handles.
NIC-handles are unique identifiers for person objects
in the RIPE NCC database. People with the same name will have different
NIC-handles and therefore cannot be confused with one another.
*Possible dupl. person obj*
Each person should only have one person object and therefore
one NIC-handle. If you have more than one person object
in the Whois Database, the IPRA may ask you to remove one or more.
Needless to say this may delay the processing of your request. If you
feel it is necessary for you to have two person objects
in the Whois Database, we would like you to discuss this with the Audit
Coordinator or a RIPE NCC IPRA.
Please note that all objects should have a "mnt-by". Additionally a "mnt-lower"
is recommended.
I have been asked to send documentation
for a list of netnames that have been entered in the RIPE database without
prior approval of you, but my Assignment Window (AW)
is /xx so these ranges fall within the Assignment window. What's wrong?
If an LIR makes more than one assignment to an End User in any 12-month
period, the total amount of address space assigned to that particular
End User should not exceed the LIRs Assignment Window (AW). This rule
does not apply to address space used by the LIR for their network infrastructure.
Information on
how to apply the AW policies.
My AW is /xx but the audit report tells
me I exceeded the AW and the assignments are not valid. What's wrong?
Although the AW for your LIR may have been raised in the past, the AW
may have been lowered. Lowering an AW may have been caused by:
- infrequent contact between the LIR and the RIPE NCC
- change of staff in the LIR
- billing issues.
Please check your past and current status of the AW using your LIR Portal account,
or with the RIPE NCC IPRAs.
I found address ranges, which are not
in use with (an) End User(s) anymore. What to do with these?
Please make sure if the End User still uses the addresses or if the addresses
are still in use for your network infrastructure. If the addresses are
not in use anymore, please delete the inetnum
object
The address range is not in use with
"BICYCLE" anymore but with "MOPED". Should I update the inetnum
objects?
Please update the inetnum object. This
can be done on-line by the maintainer of the object through webupdates or via the LIR Portal.
Should I file each and every address-space
request? Why?
Yes. LIRs must maintain proper records about all registry activities.
Every LIR should keep all information collected from its end Users in
the process of making a request for an IP address space assignment. This
data is needed for the evaluation of subsequent requests for the same
End Users, for audits by the RIPE NCC, and for the resolution of any issues
regarding assignments. The records must include:
- The original request;
- All supporting documentation;
- All related correspondence between the registry and the End User;
- The assignment decision, including:
- Reasons behind any unusual decision
- The person responsible for making the decision.
It should be clear from the records what the chronology of events is
and who the persons responsible persons are. In order to facilitate the
exchange of information, it is highly recommended that documents are kept
electronically and that they are readily accessible. Any of this information
should be made available to the RIPE NCC in English, if requested.
Can I request address space while I
am under audit?
Allocations:
If a delay is likely and the LIR urgently needs additional address space
to serve customers, the RIPE NCC may decide to allocate a small range
of address space to the LIR so that they can continue business during
the audit procedure.
Assignments:
Please discuss the assignment of address space to your customers with
the Audit Coordinator or the RIPE NCC IPRA.
I am very busy with other projects within
my LIR and audit has a low priority. What should I do?
We wish to have the inconsistencies fixed and the audit completed as
soon as possible. However, we understand you may be very busy within your
organisation with other projects. Please contact the Audit Controller
or the RIPE NCC IPRAs to arrange a time schedule.
This is going to take a long time to
get this all done. Is there a time schedule?
There is no time schedule. Any LIR that is audited will be given ample
opportunity to show that they are following the correct procedures. We
wish to have the audit completed as soon as possible. The auditing of
LIRs will be performed in such a way that registries that adhere to the
policies and procedures will have as little disturbance to their business
as possible. Impartiality, quality and confidentiality will be of highest
priority. Please contact the Audit Coordinator or the RIPE NCC IPRAs
for further information.
What happens if I do not respond to
audit reminders? Is there a penalty?
If no reply is being received to the audit reports, various forms of
action can be taken including the lowering of the LIR's AW. Lowering an
AW is meant to help you to get more acquainted with the current policies.
At times, it will be necessary for the Consistency Checking & Auditing
Team to suspend the allocation of a new block to a LIR that is being audited,
or to make a small temporary allocation and allocate the rest of the block
later, when certain conditions have been met. Making a small temporary
allocation will allow the RIPE NCC to better monitor the assignments made
by the LIR.
If a LIR consistently violates the policies established by IANA or within the RIPE
community, in spite of multiple warnings and if other corrective measures
fail, then it may be closed by the RIPE NCC
How can I check Whois Database inconsistencies?
Do you have tools available?
The Web Asused
can be used to run a check on your registry's allocations in the RIPE
Whois Database.
Various other tools
are available to check Whois Database inconsistencies.
I need a new allocation soon. To save
time I want to fix the inconsistencies first before requesting a new allocation.
Can I request audit results myself?
Yes. We encourage LIRs to do this. This will show you how the address
space is in use. You may find out that some address ranges are no longer
in use, that End Users actually use more address space etc. This gives
both the LIR and the RIPE NCC the opportunity to keep track of the right
use of address space.
The Web Asused
can be used to run a check on your registry's allocations in the RIPE
Whois Database.
Various other tools
are available to run checks on allocated address blocks for your LIR.
We encourage LIRs to do this regularly.
My LIR has been taken over and the name/address/contacts
have changed. Where can I find more information?
Please refer to the RIPE Document "Mergers, Acquisitions,
Takeovers and Closures of Organisations Operating an LIR".
I received the audit report from RIPE
NCC but this LIR has been closed or will be closed. What is the next step?
Please refer to the RIPE Document "Mergers, Acquisitions,
Takeovers and Closures of Organisations Operating an LIR" .
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