NANPA TECHNICAL REQUIREMENTS DOCUMENT (Description/Specifications) March 2008 i Table of Contents Section Page 1. Introduction .................................................................................................................... 1-1 1.1 Purpose ....................................................................................................................... 1-1 1.2 Scope .......................................................................................................................... 1-1 1.3 Background ................................................................................................................ 1-1 1.4 Attributes .................................................................................................................... 1-2 1.5 Environment ............................................................................................................... 1-4 1.5.1 Regulatory........................................................................................................ 1-4 1.5.2 Federal Advisory Committee ........................................................................... 1-4 1.5.3 Industry Activities............................................................................................ 1-5 General Requirements ........................................................................................................ 2-1 2.1 High-Level Requirements .......................................................................................... 2-1 2.1.1 Assigning and Administering NANP Resources ............................................. 2-1 2.1.2 Accommodating Current and Future Numbering Needs ................................. 2-1 2.1.3 Administrative Resources for Legal, Financial, and Technical Responsibilities .................................................................................................................................... 2-1 2.1.4 Supervision for All Services and Responsibility for Achieving Performance Objectives................................................................................................................... 2-2 2.2 Relationships .............................................................................................................. 2-2 2.2.1 United States .................................................................................................... 2-2 2.2.2 International ..................................................................................................... 2-2 2.3 Administration and Management ............................................................................... 2-2 2.3.1 Requests for Numbering Resources................................................................. 2-2 2.3.2 Service Provider and Regulator Support.......................................................... 2-3 2.3.3 Numbering Resource Optimization.................................................................. 2-3 2.4 Cost Allocation........................................................................................................... 2-3 2.5 Staffing ....................................................................................................................... 2-4 2.6 Telecommunications Requirements ........................................................................... 2-4 2.7 Daily Operations......................................................................................................... 2-4 2.7.1 Inquiry Response.............................................................................................. 2-5 2.7.2 Emergency Notifications.................................................................................. 2-5 2.7.3 Holidays ........................................................................................................... 2-5 2.8 Physical Location ....................................................................................................... 2-5 2.9 Travel.......................................................................................................................... 2-6 2.10 Modification of Guidelines ...................................................................................... 2-6 2.11 Audits ....................................................................................................................... 2-7 2.11.1 For Cause Audits of Service Providers .......................................................... 2-7 2.11.2 Other Audits of Service Providers ................................................................. 2-7 2.12 Dispute Resolution ................................................................................................... 2-7 ii 2.13 Data Security ............................................................................................................ 2-8 2.13.1 Limited Access............................................................................................... 2-8 2.13.2 Physical Security............................................................................................ 2-8 2.13.3 Site Visits ....................................................................................................... 2-9 2.13.4 Data Accessibility .......................................................................................... 2-9 2.13.5 Unauthorized Access...................................................................................... 2-9 2.14 Implementation Plan............................................................................................... 2-10 2.15 NANPA Transition to Successor............................................................................ 2-10 2.15.1 Transfer Efficiency....................................................................................... 2-10 2.15.2 Technical Support ........................................................................................ 2-10 2.15.3 Documentation ............................................................................................. 2-10 2.15.4 Transition Plan ............................................................................................. 2-10 2.16 Term of Administration.......................................................................................... 2-11 2.17 Interfaces ................................................................................................................ 2-11 2.17.1 Interface With the Pooling Administrator.................................................... 2-11 2.17.2 Interface With BIRRDS ............................................................................... 2-11 2.17.3 Interface With the Number Portability Administration ............................... 2-11 2.17.4 Interface With the Service Providers ........................................................... 2-12 2.17.5 Interface With the FCC ................................................................................ 2-12 2.17.6 Interface With the State Regulatory Agencies ............................................. 2-12 2.17.7 Interface With the Media ............................................................................. 2-12 2.17.8 Interface With the ITU Technical Standards Bureau................................... 2-13 2.17.9 Interface With the ITU Study Group 2 ........................................................ 2-13 2.18 Mobile Identification Number Block Identifier Administrator.............................. 2-13 2.18.1 MBI Resources............................................................................................. 2-13 2.18.2 NPA Splits.................................................................................................... 2-13 NANP Administration......................................................................................................... 3-1 3.1 Numbering Plan Areas (NPAs) .................................................................................. 3-1 3.2 Central Office (CO) Codes......................................................................................... 3-2 3.3 International Inbound NPA-456 NXX Codes ............................................................ 3-2 3.4 Personal Communications Service (PCS) NPA Codes .............................................. 3-2 3.5 Easily Recognizable Code (ERC) Code 900 NXX Codes ......................................... 3-2 3.6 N11 Service Codes ..................................................................................................... 3-3 3.7 Hearing Impairment Codes-800 855 XXXX Line Numbers...................................... 3-3 3.8 Information Services Codes-555 XXXX Line Numbers............................................ 3-3 3.9 Carrier Identification Codes (CICs) ........................................................................... 3-4 3.10 Vertical Service Codes (VSC).................................................................................. 3-4 3.11 Automatic Number Identification (ANI) II Digits ................................................... 3-5 Central Office Code Administration ................................................................................. 4-1 4.1 Requirements............................................................................................................... 4-1 4.2 Functional Specifications ........................................................................................... 4-1 iii 4.2.1 User Services.................................................................................................... 4-1 4.2.2 Processing ........................................................................................................ 4-2 4.2.3 Communication/Notification Functions........................................................... 4-3 4.2.4 Status Reporting............................................................................................... 4-3 4.2.5 Tracking CO Code Utilization for NPA Relief................................................ 4-3 4.2.6 Management of Jeopardy Conditions............................................................... 4-3 4.3 Management of the Code Inventory........................................................................... 4-4 4.4 Resource Reclamation................................................................................................ 4-4 NPA Relief Planning ........................................................................................................... 5-1 5.1 Key Responsibilities................................................................................................... 5-1 5.1.1 Relief Timing ................................................................................................... 5-1 5.1.2 Relief Planning Communication...................................................................... 5-1 5.1.3 Initial Planning Document (IPD) Preparation and Distribution....................... 5-1 5.1.4 Relief Planning Meetings................................................................................. 5-2 5.1.5 Relief Planning Report..................................................................................... 5-2 5.1.6 Relief Planning Consensus Building................................................................ 5-2 5.1.7 Neutral Facilitator Role.................................................................................... 5-2 5.1.8 Proactive Role in Relief Planning.................................................................... 5-2 5.1.9 Status Reporting on Relief Plans...................................................................... 5-2 5.1.10 Possible Testimony ........................................................................................ 5-2 5.1.11 New NPA Code Assignment.......................................................................... 5-2 5.1.12 Implementation Scheduling ........................................................................... 5-2 5.1.13 Industry Scheduling ....................................................................................... 5-3 5.1.14 Press Release.................................................................................................. 5-3 5.1.15 Implementation Assistance ............................................................................ 5-3 5.1.16 Compliance .................................................................................................... 5-3 5.2 User Notification ........................................................................................................ 5-4 Utilization and Forecasting................................................................................................. 6-1 6.1 Responsibilities .......................................................................................................... 6-1 6.1.1 Point of Contact................................................................................................ 6-1 6.1.2 Contact List Maintenance ................................................................................ 6-1 6.1.3 Data Requests................................................................................................... 6-1 6.1.4 Data Requests in Pooled Areas ........................................................................ 6-1 6.1.5 Data Analysis ................................................................................................... 6-2 6.1.6 Data Reporting ................................................................................................. 6-2 6.1.7 User Support..................................................................................................... 6-2 6.1.8 Data Aggregation ............................................................................................. 6-2 6.1.9 Request to Review Data................................................................................... 6-2 6.1.10 Penalties for Non-Submission........................................................................ 6-3 6.1.11 Report Anomalies........................................................................................... 6-3 6.2 Development of Tests for Anomalies and Inconsistencies......................................... 6-3 iv 6.3 NANPA Analysis of Data .......................................................................................... 6-4 6.3.1 Methodology for Projecting NPA Exhaust ...................................................... 6-4 6.3.2 Minimum Analysis Requirements.................................................................... 6-5 6.3.3 Anomalies and Trends...................................................................................... 6-5 6.4 Number Resource Utilization Form (NRUF) Submissions........................................ 6-5 Automated System Support................................................................................................ 7-1 7.1 System Characteristics................................................................................................ 7-1 7.1.1 System Availability.......................................................................................... 7-1 7.1.2 System Query Capability ................................................................................. 7-1 7.1.3 System Scalability............................................................................................ 7-2 7.2 System Capabilities .................................................................................................... 7-2 7.3 System Location ......................................................................................................... 7-2 7.3.1 Facility Characteristics..................................................................................... 7-2 7.4 System Data................................................................................................................ 7-3 7.4.1 Data Integrity ................................................................................................... 7-3 7.4.2 Confidential Treatment .................................................................................... 7-3 7.4.3 Automated Submittal ....................................................................................... 7-3 7.4.4 Automated Data Output Capabilities ............................................................... 7-3 7.4.5 Mechanized Interface with the Pooling Administrator .................................... 7-3 7.4.6 Alternative Data Capabilities ........................................................................... 7-4 7.5 System Maintenance................................................................................................... 7-4 7.6 System Security.......................................................................................................... 7-4 7.7 System User Profile Application................................................................................ 7-4 7.7.1 User Logon System.......................................................................................... 7-4 7.7.2 Logon System Access ...................................................................................... 7-4 7.7.3 Logon System Approval .................................................................................. 7-4 7.7.4 Logon System Security Level .......................................................................... 7-5 7.7.5 Logon System Password .................................................................................. 7-5 7.7.6 Logon System Problems .................................................................................. 7-5 7.7.7 User Access Permission Classes ...................................................................... 7-5 7.7.8 Password Changes............................................................................................ 7-5 7.7.9 Unauthorized Client User System Access........................................................ 7-5 7.8 System Inspection....................................................................................................... 7-5 7.9.1 Report Distribution........................................................................................... 7-6 7.10 Help Desk ................................................................................................................. 7-6 7.10.1 Contact ........................................................................................................... 7-7 7.10.2 Help Desk Referrals ....................................................................................... 7-7 7.10.3 Help Desk Actions ......................................................................................... 7-7 7.11 System Generated Notifications............................................................................... 7-7 7.11.1 Customized Notifications............................................................................... 7-8 7.12 System Testing ......................................................................................................... 7-8 v 7.12.1 System Test Results ....................................................................................... 7-8 7.13 System Disaster Recovery........................................................................................ 7-8 7.14 System Backup ......................................................................................................... 7-8 7.15 System and Equipment Inventory ............................................................................ 7-9 7.16 System Documentation Plan..................................................................................... 7-9 7.17 NANP Administration System Transfer to Successor.............................................. 7-9 7.17.1 Transfer Efficacy............................................................................................ 7-9 7.17.2 System Software Source Code Escrow........................................................ 7-10 7.17.3 System and Equipment Transfer .................................................................. 7-10 7.18 Tools....................................................................................................................... 7-10 7.18.1 Exhaust Forecasting ..................................................................................... 7-10 7.18.2 CO Codes ..................................................................................................... 7-11 7.18.3 NPA Exhaust Relief Planning...................................................................... 7-11 7.18.4 Federal and State Directives/Orders............................................................. 7-11 7.18.5 Federal and State Code Conservation Data.................................................. 7-12 7.18.6 CIC Access and Usage Report Processing................................................... 7-12 7.18.7 Contact Information ..................................................................................... 7-13 7.19 Web Site ................................................................................................................. 7-13 7.19.1 Web Site Content ......................................................................................... 7-13 7.19.2 Content Posting ............................................................................................ 7-15 7.19.3 Web Site Design........................................................................................... 7-15 7.19.4 Availability and Access................................................................................ 7-15 7.19.5 System Responsiveness................................................................................ 7-15 7.19.6 Out-of-Service.............................................................................................. 7-16 7.19.7 Out-of-Service Notification ......................................................................... 7-16 7.19.8 Web Site Privacy.......................................................................................... 7-16 7.19.9 Maintenance of NANC Chair Web Site....................................................... 7-17 Reporting.............................................................................................................................. 8-1 8.1 Annual Report ............................................................................................................ 8-1 8.2 NRUF Report ............................................................................................................. 8-2 8.2.1 Data Anomalies................................................................................................ 8-2 8.2.2 Reports to Regulatory Authorities ................................................................... 8-2 8.3 NPA Relief Activity Status Report ............................................................................ 8-4 8.4 CO Code Activity Status Report ................................................................................ 8-5 8.5 Other NANP Activity and Status Reports.................................................................. 8-5 8.6 Requests for Additional Reports ................................................................................ 8-5 8.7 Reference Documentation .......................................................................................... 8-6 8.8 Standardized Reports for State Commissions ............................................................ 8-6 8.9 Summary of NANPA Technical Reports ................................................................... 8-7 8.10 Summary of NANPA Performance Reports ............................................................ 8-9 Audits and Performance Monitoring ................................................................................ 9-1 vi 9.1 Audit by FCC ............................................................................................................. 9-1 9.11 Staff Support ..................................................................................................... 9-1 9.12 Office Facilities................................................................................................. 9-1 9.13 Audit Results..................................................................................................... 9-1 9.14 Compliance ....................................................................................................... 9-1 9.2 Monitoring.................................................................................................................. 9-2 9.2.1 NANPA Client Feedback Survey..................................................................... 9-2 9.2.2 NANPA Annual Operational Review .............................................................. 9-2 9.2.3 Performance Problems and Corrective Action................................................. 9-2 9.3 Performance Monitoring ............................................................................................ 9-3 9.4 NRUF-Related Measurements ................................................................................... 9-3 9.5 Self Assessment and Reporting.................................................................................. 9-3 Contract Data Requirements List (CDRL)..................................................................... 10-1 10.1 Implementation Plan............................................................................................... 10-1 10.2 Security Plan........................................................................................................... 10-1 10.3 Disaster/Continuity of Operations Plan.................................................................. 10-1 10.4 NANP Administration System Transfer List ......................................................... 10-1 10.5 System Test Plan .................................................................................................... 10-1 10.6 Change Management Plan...................................................................................... 10-1 10.7 Contract Change Management Plan ....................................................................... 10-1 10.8 Training Plan .......................................................................................................... 10-2 10.9 System Maintenance Plan ...................................................................................... 10-2 10.10 System Documentation Plan ................................................................................ 10-2 10.11 Performance Improvement Plan........................................................................... 10-2 10.12 Transition Plan ..................................................................................................... 10-2 10.13 System Source Code............................................................................................. 10-2 Enterprise Services............................................................................................................ 10-1 11.1 Operating Principles ...................................................................................... 10-1 11.2 Required Enterprise Service .......................................................................... 10-1 11.3 Audit of Enterprise Services .......................................................................... 10-1 List of References Appendix A. Terms Appendix B. Interface Contact Information Appendix C. Index to the Binder of Decisional Principles 1-1 Section 1 Introduction 1.1 Purpose This document defines the North American Numbering Plan (NANP) Administrator’s technical, operational, and system requirements and describes the full functionality required of the designated North American Numbering Plan Administrator (NANPA). It also serves as a reference document to other resources, such as industry guidelines, United States Federal Communications Commission (FCC or Commission) orders, technical standards, and technical requirements that support the NANP. The contractor shall, at the FCC’s discretion, perform the duties of the NANPA for up to a five-year term from the date of award. 1.2 Scope This document describes the technical responsibilities of the vendor selected by the FCC to serve as the NANPA. The primary scope of this document is to define the NANPA’s performance within the United States. The NANPA’s role in the United States includes the following functional areas: overall NANP Administration, Central Office (CO) Code Administration, Numbering Plan Area (NPA) relief planning, collection and analysis of utilization and forecast data, report generation, and all other related NANP Administration functions. Each of the functions is described further in the document. 1.3 Background The NANP is the basic numbering scheme for the Public Switched Telephone Networks (PSTNs) in the following 19 countries (formerly known as World Zone 1): Anguilla, Antigua & Barbuda, Bahamas, Barbados, Bermuda, British Virgin Islands, Canada, Cayman Islands, Dominica, Dominican Republic, Grenada, Jamaica, Montserrat, St. Kitts & Nevis, St. Lucia, St. Vincent & the Grenadines, Trinidad & Tobago, Turks & Caicos Islands, and the United States (including Puerto Rico, the U.S. Virgin Islands, Guam, the Commonwealth of the Northern Mariana Islands and American Samoa). The format of the NANP is consistent with International Telecommunication Union (ITU) Recommendation E.164 “The International Public Telecommunication Numbering Plan.” The administration of the NANP was originally the responsibility of AT&T until divestiture. At that time, Bellcore was instructed to take over this administrative task. In 1997, this function was awarded to the company that is now NeuStar through a competitive bid process conducted at the direction of the FCC. The term NPA Code refers to an area code that is the first three digits of a telephone number. Each digit in a telephone number is identified by an alphabetical character in the order ABC- 1-2 DEF-GHIJ, consisting of a 3-digit NPA (ABC), a 3-digit CO Code (DEF), and a 4-digit Line Number (GHIJ). This is in the format NXX-NXX-XXXX, where: N = digits 2 to 9 and X = digits 0 to 9 (e.g., 613 is the NPA code in the NANP number 613-781-0610). There were 335 geographic NPA codes in service as of January 1, 2008. The number of new area codes assigned in the United States since 1995 is shown in the table below: Year Number Assigned 1995 14 1996 11 1997 32 1998 22 1999 43 2000 23 2001 21 2002 3 2003 1 2004 3 2005 2 2006 2 2007 3 There shall be a transition from the current administrator to the new administrator should the NANPA responsibility be awarded to a new party. 1.4 Attributes The NANPA’s role is to serve as the neutral numbering administrator. The NANPA must comply with the statutory requirements for neutrality and meet the Commission's neutrality requirements, set forth in Commission rule 52.12, 47 C.F.R. § 52.12. Rule 52.12 states: (a)(1) Neutrality. The NANPA [ ] shall be [a] non-governmental entities that [is] impartial and not aligned with any particular telecommunication industry segment. Accordingly, while conducting [ ] operations under this section, the NANPA shall ensure that [it] compl[ies] with the following neutrality criteria: (i) The NANPA [ ] may not be an affiliate of any telecommunications service provider(s) as defined in the Telecommunications Act of 1996. “Affiliate” is a person who controls, is controlled by, or is under the direct or indirect common control with another person. A person shall be deemed to control another if such person possesses, directly or indirectly-- 1-3 (A) An equity interest by stock, partnership (general or limited) interest, joint venture participation, or member interest in the other person ten (10%) percent or more of the total outstanding equity interests in the other person, or (B) The power to vote ten (10%) percent or more of the securities (by stock, partnership (general or limited) interest, joint venture participation, or member interest) having ordinary voting power for the election of directors, general partner, or management of such other person, or (C) The power to direct or cause the direction of the management and policies of such other person, whether through the ownership of or right to vote voting rights attributable to the stock, partnership (general or limited) interest, joint venture participation, or member interest) of such other person, by contract (including but not limited to stockholder agreement, partnership (general or limited) agreement, joint venture agreement, or operating agreement), or otherwise; (ii) The NANPA [ ] and any affiliate thereof, may not issue a majority of its debt to, nor may it derive a majority of its revenues from, any telecommunications service provider. “Majority” shall mean greater than 50 percent, and ”debt” shall mean stocks, bonds, securities, notes, loans or any other instrument of indebtedness; and (iii) Notwithstanding the neutrality criteria set forth in paragraphs (a)(1) (i) and (ii) of this section, the NANPA [ ] may be determined to be or not to be subject to undue influence by parties with a vested interest in the outcome of numbering administration and activities. [ ] (2) Any subcontractor that performs-- (i) NANP Administration and central office code administration [ ] must also meet the neutrality criteria described in paragraph (a)(1). Potential bidders must demonstrate that they meet the Commission’s neutrality requirements through submission of a certificate signed by a Chief Executive Officer or President that explicitly certifies the bidder meets each requirement. The successful bidder will be required to re-certify to its compliance at the time of award. Potential bidders, as well as the successful bidder, should be prepared to provide any other documentation verifying compliance as may be requested by the Commission. The entity selected to be the NANPA must adhere to all Commission neutrality requirements, orders, and policies throughout the term of the contract. In this regard, to avoid potential disruption of national numbering administration, the successful bidder will be required to apprise the Commission of any proposed changes that may affect its neutrality sufficiently in advance to permit review of the proposed changes and Commission determination as to whether any cure would be necessary to ensure NANPA neutrality. Such changes might be, but are not limited to, changes to organizational or ownership structure, investors, Board of Directors, etc. 1-4 The NANPA is the designated independent, neutral entity responsible for assigning and administering NANP resources in an efficient, effective, fair, unbiased, and non- discriminatory manner consistent with regulatory directives and industry guidelines, and is required to comply with state regulatory decisions, rules and orders, as applicable, as long as they are not in conflict with FCC decisions, orders, and rules. The NANPA shall also ensure that numbering administration in the United States is effective, while using the expertise and innovation of industry to promote number optimization. It also shall support efforts to accommodate current and future numbering needs, and to advise the industry and regulators relative to numbering issues (e.g., potential resource exhaust). 1.5 Environment 1.5.1 Regulatory The FCC has authority over numbering within the United States. The other NANP member nations exercise similar regulatory jurisdiction. The FCC has delegated specific authority to state regulatory agencies in the United States. All states have been delegated authority over NPA Relief. In addition, some states have been given authority to trial certain number conservation measures. They have also been granted authority to obtain data, reclaim resources, and establish and enforce number allocation standards. In the future, regulatory authorities may issue rules, requirements or policy directives, which may increase, decrease or otherwise affect the functions to be performed by the NANPA. 1.5.2 Federal Advisory Committee The North American Numbering Council (NANC) is a Federal Advisory Committee established pursuant to the United States Federal Advisory Committee Act, 5 U.S.C., App. 2 (1988) (FACA). The NANC was established to advise the FCC on issues related to NANP Administration, and to advise the Commission on local number portability (LNP) administration issues. The NANC develops policy recommendations on numbering issues, initially resolves disputes, and provides guidance to the numbering administrators. The NANC’s charter under the FACA provides that, in carrying out its responsibilities, the NANC shall ensure that NANP Administration supports identified policy objectives. The NANC shall ensure that the NANPA: · Facilitates entry into the communications marketplace by making numbering resources available on an efficient, timely basis to communications service providers. · Does not unduly favor or disfavor any particular industry segment or group of consumers. · Does not unduly favor one technology over another. · Gives consumers easy access to the public switched telephone network. 1-5 · Ensures that the interests of all NANP member countries are addressed fairly and efficiently, fostering continued integration of the NANP across NANP member countries. 1.5.3 Industry Activities The industry develops number administration guidelines for the United States based on industry consensus and regulatory direction. The Industry Numbering Committee (INC), operating under the auspices of the Alliance for Telecommunications Industry Solutions (ATIS), is the industry forum established to develop such guidelines. The mission of the INC is to provide a forum to address and resolve industry-wide technical issues associated with the planning, administration, allocation, assignment and use of numbering resources and related dialing considerations for public telecommunications within the NANP area. INC guidelines incorporate federal regulatory requirements with technical and operational principals. The guidelines also recognize the existence of specific regulations in states where FCC-delegated authority has been granted. Industry guidelines and regulatory directives are subject to change throughout the NANPA’s Term of Administration. 2-1 Section 2 General Requirements This section describes the functions to be performed by the NANPA. The scope of this document reflects the NANPA’s functions, along with FCC rules, FCC orders, state regulatory directives made under FCC-delegated authority, and industry guidelines. This document describes the functional requirements, administrative tasks, and components of the responsibilities and duties of the NANPA. The bidders shall also refer to related regulatory orders issued by the FCC and states with delegated authority, industry guidelines, technical standards, and NANC-related documentation. A List of References follows Section 11 in this document. 2.1 High-Level Requirements The four high level requirements of the NANPA are indicated below. 2.1.1 Assigning and Administering NANP Resources In accordance with 47 C.F.R. § 52.13(b), the NANPA shall assign and administer NANP resources in an efficient, effective, fair, unbiased, and non-discriminatory manner consistent with regulatory directives and industry guidelines. 2.1.2 Accommodating Current and Future Numbering Needs The NANPA shall participate in industry efforts to accommodate current and future numbering needs at the NPA level and the NANP level. The NANPA shall advise the regulators and industry relative to numbering issues, potential resource exhaust, and all routing and rating issues that may affect service to users. In addition to its many day-to-day numbering resource assignment and administrative activities, the NANPA shall provide sufficient focus on long-term planning to ensure the continued viability of the NANP. The NANPA shall update its processes, procedures, systems, and forms to reflect regulatory orders, rules, and directives. The NANPA shall implement a planned approach utilizing effective forecasting and management tools in order to make everyone aware of the availability of numbering resources to meet current and future needs. Critical components of NANP Administration include NPA relief planning and providing systems and tools for managing number administration. 2.1.3 Administrative Resources for Legal, Financial, and Technical Responsibilities The NANPA shall maintain necessary administrative resources to handle the legal, financial, and technical responsibilities required to manage all numbering resources. 2-2 2.1.4 Supervision for All Services and Responsibility for Achieving Performance Objectives The NANPA shall provide management supervision for all of the services it provides, including responsibility for achieving performance objectives. The establishment of these objectives is a collaborative effort between the NANPA, the FCC, state commissions, the NANC, and the INC. 2.2 Relationships 2.2.1 United States The NANPA shall establish and maintain relationships within the United States with entities such as the FCC, other federal agencies, and state regulatory authorities, as appropriate. The NANPA shall cooperate with and actively participate in policy and technical numbering bodies and industry forums, such as the NANC and its subtending groups, and the INC. 2.2.2 International The NANPA shall develop and maintain communications with all other NANP member countries to ensure that their numbering needs are met. The NANPA shall attend U.S. Department of State Study Group A meetings. In addition, the NANPA shall maintain a working knowledge of ITU Study Group 2 activities for the benefit of the U.S. telecommunications industry. Attendance at international meetings is not covered by the scope of this contract. 2.3 Administration and Management The NANPA shall manage the NANP in accordance with the most current regulatory directives and policies and published industry guidelines. Occasions may arise where decisions and interpretations are required on issues that have not yet been addressed. The NANPA shall have the knowledge and capability to recognize these instances and refer them to the appropriate body for resolution. The NANPA shall perform as the steward of the numbering resources. In this capacity, the NANPA shall monitor the status of resources in all areas of the NANP and take appropriate action to ensure the timely availability of numbering resources. 2.3.1 Requests for Numbering Resources Applications for numbering resources shall be submitted to the NANPA by service providers via the Internet, facsimile, or the U.S. Mail. The NANPA shall use a standard electronic format for application transmissions. All applications received by the NANPA shall, in turn, generate a confirmation back to the submitting service provider. The NANPA shall review requests for numbering resources (e.g., NPAs, central office codes) for accuracy and appropriateness per FCC requirements and industry guidelines. 2-3 2.3.2 Service Provider and Regulator Support The NANPA shall serve as the information resource for regulatory bodies and the industry concerning numbering resource issues related to NANP Administration (e.g., ITU E.164 Recommendation, NANP, NANP Administration, regulatory issues affecting numbering, number resource assignment guidelines, CO Code administration, and relief planning and relevant international numbering issues). The NANPA shall respond to inquiries about the numbering plan. The NANPA shall provide, upon request, information on how to obtain current documents and forms related to NANP Administration (including application for automated access to its systems and all other materials needed to properly request the assignment or disconnect of numbering resources, or change of numbering data) by referring requesters to specific NANPA web pages where they can download electronic copies or other sources as appropriate (e.g., to the FCC, state commissions, the INC). The NANPA shall provide copies of documents it generates by facsimile or U.S. Mail if the document is not available via the Internet. A list of documents related to NANP Administration is provided in the List of References following Section 11 in this document. 2.3.3 Numbering Resource Optimization The NANPA shall provide assistance to users of numbering resources and suggest alternatives, when possible, that shall optimize numbering resource utilization. The NANPA shall coordinate its numbering resource activities with the Canadian Number Administrator and other NANP member countries’ administrators to ensure efficient and effective management of NANP numbering resources. The NANPA shall be knowledgeable regarding numbering resource optimization methods (e.g., rate center consolidation, individual telephone number pooling, thousands- block number pooling) and the potential impact upon the NANP itself. The NANPA shall remain completely neutral and shall not take a position that favors one numbering resource optimization method over another. The NANPA shall not take independent action with respect to adoption of optimization methods that are not within existing guidelines or regulatory directives. However, the NANPA shall recognize optimization opportunities and bring this information to the attention of the appropriate body for consideration. The NANPA shall remain cognizant of its obligation to remain neutral. 2.4 Cost Allocation The Billing and Collection Agent shall determine the final allocation methodology for sharing costs between NANP countries in accordance with the Billing and Collection Agent Requirements Document, or appropriate regulatory documentation. Should cost allocation disputes arise, the Billing and Collection Agent shall request FCC guidance. In no circumstances shall the NANPA decide on its own the cost methodology or allocation between and among NANP member countries. 2-4 2.5 Staffing The NANPA shall maintain the necessary staffing levels to support industry and regulatory work relevant to the management of all NANP numbering resources. The NANPA shall maintain necessary administrative resources to handle the legal, financial, and technical responsibilities connected with the management of all numbering resources. The NANPA shall maintain the necessary equipment (e.g., inventory systems, facilities, and proper billing arrangements associated with day-to-day management of numbering resources) to support this staff. All employees and subcontractors of the NANPA who have access to a service provider’s confidential information shall execute a non-disclosure agreement that remains in effect following the termination of employment. Subcontractors may be used to perform work under this, or subsequent, Terms of Administration. 2.6 Telecommunications Requirements The NANPA shall have voice and data capabilities in order to communicate with all clients and the public concerning NANP Administration. Each NANPA staff member who has responsibilities for interfacing with clients shall be reachable directly by those clients. The telephone system shall provide the capability to allow a caller to easily leave a message. This may be accomplished by an electronic messaging system that allows the caller to leave a message for the person called. The NANPA shall maintain read/write access to routing and rating databases.1 This can be accomplished through a GUI interface. The NANPA shall also have access to the information contained in the Local Exchange Routing Guide (LERG) or an equivalent. The NANPA shall maintain access to Number Portability Administration Center (NPAC) data the NANPA needs to perform its responsibilities. The data shall be obtained from the NPAC administrator per the details defined by the North American Portability Management, Limited Liability Corporation (LLC) that oversees the vendor of the local number portability systems and administration or as otherwise provided by FCC requirements. 2.7 Daily Operations The NANPA shall be available a minimum of five business days per week (Monday through Friday), eight hours per day during the business hours of its clients. However, since the NANP service area covers several time zones, the NANPA shall provide a mechanism (e.g., 1 The Business Integrated Routing and Rating Database System, BIRRDS, is a Telcordia system that the industry uses to provide input access to the LERG. The LERG is the Local Exchange Routing Guide that contains the rating and routing information for assigned CO Codes. 2-5 voicemail, e-mail, facsimile) to be accessible on a 24-hour basis in order to meet the needs of all of its clients. The NANPA shall maintain a log of all client contacts for review by the Auditor and other parties as designated by the FCC. 2.7.1 Inquiry Response The NANPA shall respond within the next business day (to be defined in the time zone where the inquiry was originated) to general inquires or questions. The NANPA shall monitor and report on its customer response rates. This report shall be furnished upon request and used to review the NANPA’s customer service activities per the annual performance review process. 2.7.2 Emergency Notifications The NANPA shall be called upon to provide industry notification outside of the accepted timeframes defined in industry guidelines. These notifications shall be issued as appropriate and necessary depending on the circumstances. 2.7.3 Holidays The NANPA shall observe U.S. holidays. The following is a list of holidays that the NANPA shall observe: · New Year’s Day · Memorial Day · Independence Day · Labor Day · Thanksgiving Day · Day after Thanksgiving* · Christmas Day * Not open for business but the Help Desk shall be open and this shall be considered a business day for day counts on processing. NANPA shall be open for business on all other business days. On an annual basis, the NANPA shall post a list of the holidays observed and the calendar dates of those holidays on the NANPA web site. 2.8 Physical Location The physical location of the NANPA facility(s) is at the discretion of the contractor. The NANPA shall notify clients and the public, by appropriate means, prior to any facility relocation or telephone number change. 2-6 2.9 Travel NANPA staff shall travel, when necessary, to meet the needs of the NANPA (e.g., to NANC meetings, INC meetings, NPA jeopardy situations, NPA relief planning meetings, or as otherwise necessary to comply with FCC requirements). 2.10 Modification of Guidelines The NANPA shall participate in the development and modification of guidelines and procedures, which may affect the performance of the NANPA functions. These changes may come from regulatory directives and/or modifications to guidelines. In addition, new guidelines may be developed as appropriate to comply with regulatory directives. The NANPA shall adopt and implement any changes that are consistent with regulatory directives after they are officially adopted, recognizing that some may constitute a change in the scope of work. The NANPA shall: · Provide, in real time, technical guidance to ensure processes and procedures are effective in meeting the goals of the change. · Assess and share in real time the cost implications and administrative impact upon the NANPA duties and responsibilities. · Provide contributions, describing how the change benefits the NANP and how the change shall affect the NANPA’s duties, obligations or accountability. Within seven days of a change, the NANPA shall provide its interpretation of the change, its impact upon service, the date the new change is proposed to become effective, what steps in current procedures need to change and when any new forms or procedures will be required. The NANPA shall provide this information to the FCC and the NANC. When the INC places any changes to its guidelines in initial closure, the NANPA shall submit an assessment regarding the impact of scope of work, time and costs to the INC, the NANC and the FCC within 30 days. The NANPA shall post changes in procedures on its web site prior to the change taking effect. The NANC shall be consulted at the FCC’s discretion regarding the suggested implementation date to determine the likely impact on service provider processes and systems (i.e., whether it would be unduly burdensome or would unfairly disadvantage any service provider or group of service providers per the NANPA’s obligations and NANP administrative principles). Specifically, the NANPA shall: · Notify all interested parties when guidelines have changed. · Interpret guideline changes and impact upon processes. · Identify implementation date or effective date. · Provide notification of new forms or tools that may be required. · Identify a Single Point of Contact (SPOC) within the NANPA to answer questions. 2-7 · Accept, process, and verify the accuracy of applications for CO Codes in accordance with regulatory requirements and industry guidelines. · Contact code applicant as necessary to gain clarification or additional information in order to process the application when first submitted. · Review entire application, identifying all errors and omissions when first submitted. · Provide information or location of tools and contacts to assist applicants in properly completing applications for connects, changes and disconnects. 2.11 Audits The NANPA and service providers shall be subject to audits to verify their compliance with guidelines and regulations relating to all applicable areas of number administration. 2.11.1 For Cause Audits of Service Providers In the performance of its numbering administration duties and in meeting its responsibilities, the NANPA may encounter situations that may alert it to a service provider’s possible noncompliance with the industry guidelines. This noncompliance warrants the need for a “For Cause” audit. In these situations, the NANPA shall document its observations and forward relevant information to the FCC, service provider, and appropriate state commission. The NANPA shall maintain the confidentiality of all requested information throughout the auditing process. 2.11.2 Other Audits of Service Providers The NANPA shall be required to provide specific data to an auditor in order to facilitate the audit of a service provider. 2.12 Dispute Resolution The NANPA may be involved with dispute resolution. These disputes could arise from the performance of NANPA activities, from industry forum activities, or from conflicting government or regulatory policy directives. The extent of involvement of the NANPA in the resolution of disputes shall depend on the nature and origin of the dispute. A Dispute Resolution process, established by the NANC, shall be followed for determination of the controversy. The NANPA shall assign numbering resources based on regulatory directives and industry guidelines. A disagreement may arise when the NANPA is assigning or denying the assignment of a resource, and the NANPA shall be required, based on the relevant regulatory directives, assignment guidelines, and the NANC Dispute Resolution process, to address and, if possible, resolve the disagreement. In addition, disputes may arise between regulatory authorities of NANP member countries and the NANPA may be required to participate in the resolution of the issue between the countries involved. 2-8 The NANPA shall interpret and apply relevant guidelines, directives, and Orders, including those listed in the Index to the Binder of Decisional Principals (see Appendix C), to resolve a disagreement when assigning or denying the assignment of a numbering resource. Disputes may also arise within industry numbering activities. When this occurs, the NANPA may be requested to participate in dispute resolution by providing guidance and/or historical data. The NANPA shall abide by the NANC dispute resolution process. The NANPA shall provide any information it has relative to the dispute to the appropriate group responsible for resolving the dispute. For all disputes, concerns, complaints, and issues raised by clients, oral or written, the NANPA shall prepare a document that contains: · Description of the dispute, concern, complaint, or issue (recorded within one business day) · Plan of action (recorded within one business day) · The resolution and reasoning (recorded within one business day of resolution) · Business days passing before referred to appropriate state or federal regulators · Business days passing before resolution accepted by complainant 2.13 Data Security The NANPA shall be responsible for maintaining the security, reliability, performance and flexibility of the NANP Administration systems. The systems shall protect the sensitive nature of any information provided by service providers, the Pooling Administrator (PA) or any other source of proprietary or confidential information. The NANPA shall protect any service provider-specific data designated as confidential unless otherwise directed by that service provider or the FCC. 2.13.1 Limited Access All work areas shall have limited access and secured record retention practices to ensure that service provider-specific data is afforded the level of security required to maintain its designated security status. NANP Administration Systems shall have, at a minimum, security measures that are in conformance with the FCC Computer Security Program (FCC INST 1479.2). Systems shall include appropriate security measures for confidential data and accessibility for all service providers to their own information through an appropriately secured mechanism. The NANPA shall provide state commissions limited password-protected access to the CO Code administration database. 2.13.2 Physical Security The NANPA shall provide suitable security for any and all computer systems that contain assignment information and proprietary applicant information. This includes any system that is connected to any telecommunications network. The NANPA shall maintain and enforce 2-9 physical security procedures that conform to the requirement to maintain confidential and proprietary information. The NANPA shall also be responsible for the activities of any subcontractors to ensure the security of all systems and data, including requiring all subcontractors to execute a nondisclosure agreement. The NANPA shall ensure that any data requested by a non-NANPA entity is protected as confidential by that entity through applicable law or another documented nondisclosure mechanism. 2.13.3 Site Visits The FCC, with or without notice to the NANPA, shall have the right to make visits to NANP Administration and data centers to review safety/security requirements. If the safety and physical security procedures do not comply with those specified, the NANPA shall correct such noncompliance within ten business days. In the event of non-compliance the NANPA shall implement corrective measures and give notice of such implementation to the FCC, and the FCC may make one or more follow-up visits to the affected site, as necessary, to confirm that the deficiency has been rectified. The FCC’s rights under this paragraph shall not in any way limit the FCC’s ability to visit any site for reasons other than a safety/security visit. Inspections shall include, but not be limited to, the facilities of subcontractors, telecommuting employees of the NANPA or subcontractors, NANPA or subcontractor maintenance organizations, or individuals on traveling status with access to NANPA’s systems. 2.13.4 Data Accessibility Systems shall have logon ID and password access. Formal access shall be initiated upon receipt of a completed logon ID request form having the proper signature approvals from the requesting organization. The user’s security requirement sets the correct level of record access and system capabilities. For forms and reports requiring an applicant signature, a valid logon ID and password shall be considered tantamount to an applicant signature. 2.13.5 Unauthorized Access In the event that the NANPA becomes aware of an unauthorized access to its systems or user or service provider data, the NANPA shall immediately notify the FCC and the applicable user(s) by e-mail, investigate the unauthorized access, and provide the FCC and its designees with reasonable access to all resources and information in the NANPA’s possession as may be necessary to investigate the unauthorized access. The FCC shall have the right to conduct and control any investigation relating to unauthorized access that it determines is appropriate. 2-10 2.14 Implementation Plan The NANPA shall provide an Implementation Plan to the FCC within 30 days of contract award and an update of the Plan 30 days prior to the takeover of NANP Administration. The objective of this Implementation Plan shall be to achieve a seamless continuance of NANPA services across Terms of Administration. 2.15 NANPA Transition to Successor The NANPA shall transfer, in the case of termination or at the expiration of the Term of Administration, to the FCC or designee all hardware, software, and rights to software contracts and other intellectual property as outlined in the Transition Plan. This NANPA transition is additionally subject to the termination and continuity provisions in Section H of the Solicitation. All bidders should identify transition-related costs separately, including costs for transition from its predecessor and costs for transition to a successor. Any other equipment or contracts associated with NANPA day-to-day operation shall transfer. This shall include but is not limited to: · The systems and all supporting documentation · All software · All hardware · Computers and related equipment · Other peripheral devices · All NANPA records both current and stored 2.15.1 Transfer Efficiency The transfer of all property shall be performed in a manner that shall ensure an efficient and orderly transition of the NANP Administration System and associated equipment to a successor’s environment in a fully operational state. 2.15.2 Technical Support The NANPA shall provide at least 15 working days, but up to 45 working days over a 6- month period, if required, of technical support to ensure a smooth transition of the system. 2.15.3 Documentation The contractor shall provide the FCC with copies of all documentation specified in the System Documentation Plan. 2.15.4 Transition Plan The NANPA shall, 180 calendar days prior to contract termination, provide a detailed plan for an efficient and orderly transition. This transition plan shall follow the format, as applicable, of Reference 28, Software Transition Plan (STrP). 2-11 2.16 Term of Administration The NANPA shall serve for an initial period of up to five years. At any time prior to the termination of the initial Term of Administration, the Term of Administration may be renewed up to five years in length with the approval of the NANPA and the FCC. 2.17 Interfaces The NANPA shall interact with the PA, the NPAC, the LERG, state, Federal and NANP member country regulatory authorities, as well as with service providers. The NANPA shall also interact with the news media concerned with numbering matters. Information and data shared with the news media shall be factual in nature, publicly available and previously made known to the industry and regulators prior to media disclosure. At this writing, NeuStar is both the PA vendor and the NPAC vendor. Telcordia maintains the LERG. Service providers, federal and state regulators, and NANP member countries are responsible for establishing mutually-agreed upon communication interfaces with the NANPA that meet their individual equipment requirements. 2.17.1 Interface With the Pooling Administrator The interface between the PA and the NANPA shall be used to exchange information on the status of pooling and to solicit data that is relevant to the daily functions of each administrator. NANPA shall maintain a mechanized interface between the NANP Administration System (NAS) and the Pooling Administration System (PAS) to permit the flow of information pertaining to applications for central office code assignments. 2.17.2 Interface With BIRRDS The NANPA shall maintain access to the BIRRDS (Business Integrated Rating and Routing Database) and LERG to perform both its administrative functions and the required Enterprise Service. The BIRRDS interface consists of a gui interface. The interface shall be used to enter data into the BIRRDS database for central office code assignments. (Telcordia maintains the BIRRDS database, which is used to produce the LERG.) The NANPA shall arrange directly with Telcordia for LERG access. 2.17.3 Interface With the Number Portability Administration The interface shall be used to request information from the NPAC about NXXs that are about to be reclaimed by NANPA to ensure that there are no ported Telephone Numbers (TNs) contained within the NXX targeted for reclamation. If the NANPA finds that there are ported TNs within the targeted NXX, the NANPA shall refer to the appropriate guideline for alternative reclamation processing steps. 2-12 2.17.4 Interface With the Service Providers The Service Provider (SP) interface shall be used to receive NANP resource applications and to send assignments, in a relay between the NANPA and a service provider. Any or all of the following interfaces also may be necessary, depending on the particular service provider with which interaction is taking place: system-to-system (FTP), web site, e- mail, facsimile, and U.S. Mail. For example, these interfaces shall be used to receive requests and to send assignments. They are also used for Number Resource Utilization and Forecasting (NRUF) form submissions and to return a confirmation receipt to the service provider after an application and/or form has been accepted by the NANP Administration System for processing. NANPA is responsible for ensuring the availability of these interfaces. 2.17.5 Interface With the FCC This interface shall be used to obtain the information necessary to conform to the FCC rule found at 47 C.F.R. §1.1910 and commonly referred to as the “red light rule.” This rule provides that anyone filing an application or seeking a benefit from the Commission or one of its components (including the Universal Service Administrative Corporation, the Telecommunications Relay Service, or the North American Numbering Plan Administrator) who is delinquent in debts owed to the Commission will be barred from receiving a license or other benefit until the delinquency has been resolved. Under this rule, when an application or request for benefit is filed, the FCC Registration Number (FRN) will be checked to determine if the entity or person is delinquent in debt owed to the Commission. If the NANPA finds the applicant appears on the FCC’s Red Light List, they will withhold numbering resources from that entity. 2.17.6 Interface With the State Regulatory Agencies This interface shall support state regulatory access as appropriate to forms and applications filed by service providers. It may also be necessary to fulfill a data request by voice, facsimile or U.S. Mail. For example, the interface shall be used to provide a regulator forecast and utilization data for an NPA within its jurisdiction. The NANPA may be called upon to testify in regulatory hearings. In these cases the NANPA shall ensure that its testimony is specific to the scope and requirements of this contract. Testimony in regulatory hearings shall be treated as an enterprise service (see Section 11). The NANPA shall also be responsible for interfacing with regulatory authorities in person, when requested by such authority. The nature of these meetings may be educational or informational depending on the circumstances and issues identified. 2.17.7 Interface With the Media The NANPA shall also be required to communicate with the press. 2-13 The NANPA shall prepare press releases and speak to the public in matters relating to all aspects of administration and management of NANP resources. 2.17.8 Interface With the ITU Technical Standards Bureau The NANPA shall interface with the ITU-Technical Standards Bureau (TSB) when required to provide information regarding the NANP. This information shall consist of the latest web links, contact individuals and timely information on the NANP, and any changes to the NANP (e.g., the introduction of new NPAs) as required from national numbering administrators per ITU Recommendations. 2.17.9 Interface With the ITU Study Group 2 The NANPA shall interface with the U.S. State Department and participating service providers through their attendance at ITU Study Group 2 meetings and activities. The NANPA’s role shall be to advise the participants as to whether international issues and conflicts shall have an impact on the management and availability of NANP resources. 2.18 Mobile Identification Number Block Identifier Administrator The NANPA shall be required in the United States to work with the neutral third party Mobile Block Identifier (MBI) administrator, for the Mobile Identification Number (MIN) administration for wireless LNP and thousands-block number pooling. MIN-based wireless providers register existing MBIs and obtain new ones through the MBI Administrator. NANPA shall interface with the MBI Administrator on, among other issues, MBI Resources and NPA splits. 2.18.1 MBI Resources MBI Administration needs to continually add MBI resources to its database. The MBI Administration Guidelines and Procedures, developed by Cellular Telephone Industries Association (CTIA) and the MBI Oversight Council, state that ”MBI Administration shall monitor the assignment of central office codes on an ongoing and timely basis.” The NANPA shall provide the MBI Administrator information on the resources that are available as assignable MBIs. 2.18.2 NPA Splits In an NPA split situation, the wireless providers retain the MINs of the old NPA, even if their Mobile Directory Numbers (MDNs) change because of the split. The MDNs associated with the MINs may have a different NPA and may become available for assignment in the old NPA, but the MINs or MBIs remain the same so that customers do not have to bring in their handsets to be reprogrammed. If an NPA-NXX combination becomes available for assignment of MDNs in the old NPA, that corresponding MIN bloc should already show up in the MBI administrator’s database as ”assigned” and the corresponding MINs shall not be assigned again to a different carrier. In addition, the MBI Guidelines state that the MBI administrator shall not assign the corresponding MBIs for unassigned CO Codes in order to 2-14 accommodate non-LNP capable carriers. This is true for all NPAs. If, however, the MBI has already been assigned before the split and now the corresponding NPA-NXX becomes available for MDN assignment in the old NPA, it creates a need for communication with the NANPA so that the NANPA does not assign newly available or ”freed-up” NPA-NXX combinations to non-LNP wireless carriers. This is because the corresponding MBI would already be assigned and would not be available. 3-1 Section 3 NANP Administration The NANPA is responsible for management, administration, and assignment of all designated numbering resources within the NANP. The following list identifies NANP numbering resources that fall under the NANPA’s direct responsibility and management: · NPA Codes; · CO (NXX) Codes ; · International Inbound NPA 456 NXX Codes ; · Personal Communications Service (PCS)/NPA-NXX Codes ; · Easily Recognizable Code (ERC) 900 NXX Codes; · N11 Service Codes (reporting only); · Hearing Impairment Codes 800 855-XXXX line numbers; · Information Services Codes 555-XXXX line numbers; · Carrier Identification Codes (CICs); · Vertical Service Codes (VSCs); · Automatic Number Identification Information Integers (ANI II) Digits; and · Additional numbering resources, as may be defined. The sections that follow describe each resource, and summarize the NANPA’s responsibilities. The NANPA is also required to report the status of each resource. 3.1 Numbering Plan Areas (NPAs) NPA refers to an area code that is the first three digits of a telephone number. NPAs are classified as either geographic or non-geographic: · Geographic NPAs are NPAs that correspond to discrete geographic areas within the NANP area. · Non-geographic NPAs are NPAs that do not correspond to discrete geographic areas, but which are instead assigned for services with attributes, functions, or requirements that transcend specific geographic boundaries. States within the United States have been delegated area code relief authority and may have unique directives and legal requirements associated with approval and implementation of any NPA relief activity. The NANPA is responsible for assigning NPAs when the criteria for such an assignment have been met. The NANPA shall ensure that an NPA assignment conforms to regulatory directives and NPA relief plans (from the FCC and state commissions) and industry guidelines (e.g., from the INC). 3-2 3.2 Central Office (CO) Codes The three digits after the NPA are referred to as the CO Code. The NANPA shall monitor the actual and forecasted assignment of CO Codes through the Months-to-Exhaust (MTE) form filed with each CO Code application. In addition, forecast and utilization data are submitted to the NANPA by reporting service providers in the NRUF Report. This information is used to plan for the assignment of new NPA codes when existing NPA codes near exhaust (i.e., additional telephone numbers are required to serve projected demand). The NANP Administration function also includes consultation with affected service providers and state commission when the depletion of central office codes necessitates relief. 3.3 International Inbound NPA-456 NXX Codes The 456 NPA and its associated NXXs enable the routing of inbound international calls for carrier specific services, particular to that service provider's network. The NANPA shall assign the NXXs within this NPA. The procedures and guidelines are described in International Inbound NPA (INT/NPA/NXX) Assignment Guidelines (ATIS-0300049). 3.4 Personal Communications Service (PCS) NPA Codes A PCS NPA-NXX is a non-geographic numbering resource that offers the user a set of capabilities that allows some combination of personal mobility, terminal mobility, and service profile management. A PCS NPA-NXX-XXXX number enables each PCS service user to participate in a user-defined set of subscribed services, and to initiate and/or receive calls on the basis of some combination of a personal number, terminal number, and a service profile across multiple networks at any terminal, fixed or mobile, irrespective of geographic location. Service is limited only by terminal and network capabilities and restrictions imposed by the personal communications service provider. The NANPA shall manage, assign and administer NXX codes in the PCS NPA pursuant to regulatory directives and INC assignment guidelines. The NANPA shall reclaim PCS NPA-NXX codes assigned to entities that fail to meet the terms specified in the assignment guidelines and /or by directives from the appropriate regulatory authorities. 3.5 Easily Recognizable Code (ERC) Code 900 NXX Codes The 900 NPA is an ERC used for information services in which the caller pays for call setup and the specific services associated with the 900 call. The 900 NXX codes shall be assigned and used only for pay-per-call information services. The codes, referred to as “Pay-Per- Calls,” may be accessed by the public over the PSTN using the dialing format 900-NXX- XXXX. 3-3 The NANPA shall reclaim 900 NXX codes assigned to entities that fail to meet the terms specified in the assignment guidelines and/or by directives from the appropriate regulatory authorities. 3.6 N11 Service Codes Codes in the N11 format (e.g., 911) are referred to as Service Codes. There are eight N11 service codes available in the NANP. The FCC determines the uses of N11 codes, which have been assigned as follows: 211 Community Information and Referral Services 311 Non-emergency Police and Other Governmental Services 511 Traffic and Transportation Information 711 Telecommunications Relay Service (TRS) 811 Access to One Call Services to Protect Pipeline and Utilities from Excavation Damage (US); Non-Urgent Health Teletriage Services (Canada) 911 Emergency The 411 and 611 codes have not been assigned by the FCC. Carriers, however, use the 411 and 611 codes for access to their directory assistance and repair services respectively. Unassigned codes may also be assigned locally with the understanding that a local assignment shall be discontinued, on short notice, if the unassigned codes are requested for nationally assigned purposes. Some U.S. states have permitted local use of certain N11 codes, pending FCC designated assignments. In Canada, the assignment of the N11 codes is generally consistent with the table above, except for code 511 which has been assigned for weather and traveler information services and 811 for non-urgent healthcare telephone triage service. Other NANP member countries may in the future designate specific uses for N11 codes within their jurisdictions. 3.7 Hearing Impairment Codes-800 855 XXXX Line Numbers Line numbers from the 800 855-XXXX are used for assisting persons with hearing impairments. These numbers are assigned individually at the line level. The NANPA shall administer line numbers within the 800-855-XXXX resource with respect to services for persons with hearing impairments. Other NANP member countries may designate specific uses for 800-855-XXXX line numbers in the future. 3.8 Information Services Codes-555 XXXX Line Numbers The 555 NXX code appears (referred to as “555 numbers” in the form NPA-555-XXXX) in all geographic NPAs for access to information services. The guidelines permit a subscriber 3-4 to dial a 555-XXXX number in any NPA in North America using either a 7-digit or a 10- digit format. Line numbers from the 555 NXX are assigned either on a national or non-national basis. National assignment means that the number is assigned exclusively to a single entity to be used in at least 30% of the available NPAs or states or provinces in the NANP serving area. Non-national assignment means that the number is assigned to an entity for use in a specific geographic area or areas (NPAs, states, or provinces) to be used in fewer than 30% of the available NPAs or states or provinces in the NANP serving area. ”Non-national” numbers are available for assignment to multiple entities, allowing those entities to use the ”non- national” number in different geographic areas. The NANPA shall reclaim 555 NXX codes assigned to entities that fail to meet the terms specified in the assignment guidelines and /or by directives from the appropriate regulatory authorities. 3.9 Carrier Identification Codes (CICs) A CIC is a 4-digit numeric code primarily used to uniquely identify an access customer who has purchased access such as Feature Group B (FGB) and/or Feature Group D (FGD) access services. These types of CICs are primarily used for routing from a local network to the access purchaser and for billing between the local network and the access purchaser. In addition, as the result of a 2002 directive to NANPA from the FCC, switchless resellers may also be assigned CICs without the requirement to first purchase direct FG D truck access. Also, pursuant to agreement reached by the Industry Numbering Committee (INC) in 2006, Billing and Collection Clearinghouses that provide third-party bill aggregation services on behalf of access purchasers may also be assigned CICs as identifiers only when the use of an ABEC (Alternate Billing Entity Code) is not technically feasible. The NANPA shall manage and assign CICs. The NANPA shall reclaim CIC codes assigned to entities that fail to meet the terms specified in the assignment guidelines and/or by directives from the appropriate regulatory authorities. Reclamation occurs most often because the entity to which the CIC has been assigned does not obtain access within the six- month period specified in the assignment guidelines. 3.10 Vertical Service Codes (VSC) VSC are standardized codes dialed by customers to access network features and services (e.g., call forwarding) provided by network service providers. These codes appear in the *XX or *2XX format. The NANPA shall assign, manage, and approve new VSC assignment requests. 3-5 3.11 Automatic Number Identification (ANI) II Digits ANI II digits are two digits that are sent with the originating telephone number identifying the type of originating station (e.g., Plain Old Telephone Service (POTS), hotel/motel). The NANPA shall assign the digits and track the assignments. ANI II digits are assigned by the NANPA at the request of the INC. The assignment of an ANI II digit does not imply its ubiquitous availability. 4-1 Section 4 Central Office Code Administration 4.1 Requirements The NANPA shall manage the CO Code resource in accordance with federal regulatory requirements and the latest version of the published Central Office Code (NXX) Assignment Guidelines (ATIS-0300051). The NANPA shall perform the CO Code administration that encompasses the following major functional categories: · User2 Services · Processing · Client and Internal Communication / Notification Functions · Status Reporting · Tracking CO Code Utilization for NPA relief · Managing jeopardy conditions The NANPA, in order to perform CO Code Administration functions, shall maintain considerable knowledge of local/regional environments including geography, demographics, growth patterns, local dialing plans, and eligibility requirements. This knowledge shall be applied to each CO Code assignment. Local conditions for each NPA shall be posted to the NANPA web site. The NANPA shall create a Change Management Plan for adapting the CO Code assignment practices in accordance with updates and modifications to the CO Code (NXX) Assignment Guidelines and regulatory directives. When there are changes, the NANPA shall institute a training program to educate all CO Code Administration staff in order to ensure consistent application. Training shall be completed within five business days before the date the change to the guidelines becomes effective. 4.2 Functional Specifications CO Code administration activities include the key functional requirements detailed below. 4.2.1 User Services The NANPA shall produce and make available information regarding CO Code Administration processes, guidelines, procedures, interfaces, and services. Upon request, the NANPA shall provide information on how to obtain current documents related to CO Code Administration. The NANPA may refer users to web sites where information can be located and downloaded. These documents currently include: 2 User represents code applicants, code holders, regulatory agencies, and the general public. 4-2 · CO Code (NXX) Assignment Guidelines · NPA Code Relief Planning Guidelines · Industry Notification of NPA Relief Activity Guidelines · NPA Allocation Plan and Assignment Guidelines · Recommended Notification Procedures to Industry for Changes in Access Network Architectures The NANPA shall provide assistance to all entities who use numbering resources and suggest alternatives, when possible, that may assist users with numbering resource optimization and utilization issues. The NANPA shall maintain working knowledge of applicable state regulations and local dialing plans. The NANPA shall assist Code Applicants with understanding and completing all forms and appendices associated with INC Guidelines. The NANPA shall educate users. Such education may include, but is not limited to, providing job aides and providing necessary forms and instructions on the NANPA web site. The NANPA shall notify its users and interested parties when industry guidelines or applicable regulatory directives have changed. The NANPA shall provide electronic notification of administrative process and procedural changes within five business days of the change being identified by the NANPA. Implementation of these changes shall include a transition period before the new process or procedure becomes effective. The NANPA shall respond to inquiries regarding available and assigned CO Codes. Such response may consist of referring the user to a specific page on the NANPA web site. 4.2.2 Processing The NANPA shall receive and verify applications for CO Codes in accordance with FCC directives and CO Code (NXX) Assignment Guidelines. If a state commission has not yet chosen a relief method and established a relief date, the NANPA, as CO Code administrator, and the industry shall devise the jeopardy conservation or rationing measures, consistent with the industry guidelines. As CO Code Administrator, the NANPA shall be aware of and adhere to any limits on code assignments as ordered by state commissions or agreed to by industry, as well as any other provisions of rationing plans such as prioritization of applications. The NANPA shall apply CO Code optimization practices in accordance with FCC directives and the CO Code (NXX) Assignment Guidelines, as appropriate. The NANPA shall also: · Maintain a CO code conflict database and publish on the NANPA’s web page CO codes by NPA that are “unavailable for assignment” due to dialing, routing and/or rating conflicts. · Include in this list CO codes that are unavailable due to permissible services identified by the state tariff, CO codes that are used for testing, and CO codes that are used for unique call routing/rating arrangements. 4-3 · Consult, providing details of local/regional environments including, for example, geography, demographics, growth patterns, local dialing plans, and eligibility requirements. 4.2.3 Communication/Notification Functions The NANPA shall post daily on its web site the NXXs assigned and the NXXs available in each NPA. This information shall be updated daily as changes occur. Other means of distributing reports shall be available as necessary. The NANPA shall follow the CO Code (NXX) Assignment Guidelines for notification of CO Code assignments. The NANPA shall enter data directly into the BIRRDS database. The NANPA shall have the capability to input rating and routing data into the BIRRDS database as an enterprise service to a code holder. The NANPA shall issue notification of all CO Code jeopardy situations and other pertinent CO Code administration activities to the appropriate regulatory agencies and the affected industry members. 4.2.4 Status Reporting For CO Code Administration, the NANPA shall monitor and report the status of NXXs in each NPA. These reports shall be generated and posted to the NANPA web site each business day. 4.2.5 Tracking CO Code Utilization for NPA Relief The NANPA shall fulfill the process responsibilities in accordance with the NPA relief guidelines and regulatory directives, including the following: · Determine when to initiate NPA Relief by continually monitoring CO Code growth and projecting exhaust. · Upon the identification of a potential exhaust situation, notify appropriate regulatory authorities and affected parties within the NPA. · If necessary, immediately organize a relief-planning meeting to obtain local industry consensus and subsequent regulatory direction for a relief implementation plan. 4.2.6 Management of Jeopardy Conditions The NANPA shall: · Declare a jeopardy NPA condition within any NPA that meets the conditions established in the appropriate industry guidelines and regulatory orders. · Monitor CO Code growth and projected exhaust. · Notify appropriate regulatory authorities and affected parties within the NPA. · Notify the industry that jeopardy code rationing is available if so desired, or may be specified in a pending state commission order if the industry does not come to consensus on a rationing plan. 4-4 · Implement NPA-specific conservation measures as a part of CO Code application processing, if necessary, subject to local industry consensus or regulatory direction. 4.3 Management of the Code Inventory The NANPA shall track and monitor MTE, forecast, and utilization reports so that it shall be able to forecast demand and anticipate the need for relief to avoid premature exhaust of each NPA and the NANP. 4.4 Resource Reclamation In accordance with paragraph 237 of the FCC Report and Order and Further Notice of Proposed Rule Making, March 31, 2000 (FCC NRO Order), the NANPA shall reclaim numbering resources assigned to entities that fail to meet the terms specified in the assignment guidelines. The NANPA shall receive and process Part 4 confirmations from code holders during the six-month period following the published LERG effective date of the code. Receipt of a Part 4 from a code holder certifies that the code has been placed in service. The NANPA shall acknowledge its Part 4 receipt by issuing the code holder a Part 5 Administrator’s Part 4 Receipt/Confirmation verifying the code holder’s use. The NANPA shall maintain a tracking system for receipt of Part 4s and return notification of Part 5 Forms. No further action is required of the code holder once a Part 4 has been submitted. Not later than one month prior to the end of the six-month period, the NANPA shall send a reminder notice to code holders that no Part 4 Form has been posted for the code now assigned to them. If requested, the NANPA shall submit lists of service providers who are delinquent in the return of the Part 4 forms to state regulators. If a code holder fails to submit a Part 4 within the time-frame specified by the FCC, the NANPA shall initiate the reclamation procedures, keeping accurate and complete records for each action taken. The NANPA shall obtain either state or FCC regulatory approval prior to initiating the reclamation process. The NANPA shall maintain a current point of contact list for CO Code reclamation. Regulators and service providers are to be included on the list. In addition, a contact list for all other NANP members shall be maintained, if necessary. The NANPA shall provide a confirmation in response to every CO Code application received. 5-1 Section 5 NPA Relief Planning The NANPA shall perform the area code (NPA) relief functions specified in the INC NPA Code Relief Planning Guidelines. The NANPA shall be prepared to work with state regulatory authorities that may choose to assume any of these responsibilities, pursuant to FCC orders. The NANPA, in order to effectively perform its NPA relief functions, shall maintain considerable knowledge of local/regional environments including geography, demographics, communities of interest, growth patterns, local dialing plans, and operating/certified service providers. The NANPA shall determine NPAs in need of relief and appropriately manage the relief efforts through the implementation of a new area code. The NANPA shall notify all affected CO Code holders with regard to NPAs in need of relief, and any associated meeting information. In addition to notification, the NANPA shall forward the Initial Planning Documents (IPD) a minimum of four weeks before any scheduled NPA relief-planning meeting and the NANPA shall facilitate the meeting. The NANPA shall post to its web site all NPA relief meeting announcements and preliminary planning information. Accordingly, the NANPA shall continue to update the local/regional information and contact information to meet the level of NPA relief expected in any given year during its Term of Administration. 5.1 Key Responsibilities Key NANPA NPA relief responsibilities consist of the items noted below. 5.1.1 Relief Timing The NANPA shall determine the need for and identify the timing of NPA Relief in accordance with CO Code (NXX) Assignment Guidelines and NPA Code Relief Planning Guidelines. One of the tools for performing this task utilizes NRUF Report data. 5.1.2 Relief Planning Communication The NANPA shall promptly communicate with all affected industry members and appropriate state regulatory authorities to advise them of the need for relief planning to occur. 5.1.3 Initial Planning Document (IPD) Preparation and Distribution The NANPA shall prepare and distribute to industry members and state regulatory authorities an IPD for each NPA projected to exhaust over the forecast period, as identified in the NRUF Report. The IPD shall describe and assess possible relief options and include detailed historical information regarding prior years’ forecasts, versus the actual assignment of codes. 5-2 5.1.4 Relief Planning Meetings The NANPA shall schedule initial NPA relief planning meeting(s) per the NPA Code Relief Planning & Notification Guidelines. This meeting shall be 36 months in advance of the projected NPA exhaust date to permit the timely planning and implementation of NPA relief. 5.1.5 Relief Planning Report The NANPA shall provide a report to the NANC, once per quarter, on its success or failure in meeting this Performance Measurement. 5.1.6 Relief Planning Consensus Building The NANPA shall notify interested industry and state regulatory authorities of NPA Relief Planning meeting(s) and conduct the meeting(s) with the objective of gaining consensus on a relief plan. 5.1.7 Neutral Facilitator Role The NANPA shall act as neutral facilitator for all relief planning meeting(s) (i.e., issuing meeting announcements, coordinating meeting arrangements, setting an agenda, leading the meeting, issuing meeting minutes, and other duties necessary to conduct the meeting). 5.1.8 Proactive Role in Relief Planning The NANPA shall ensure state regulatory authorities have appropriate information necessary to endorse industry-consensus relief plans or develop their own plan if they desire. The NANPA shall proactively work with the state regulatory authorities to achieve endorsement of a relief plan by the date established to allow the industry appropriate time for implementation. 5.1.9 Status Reporting on Relief Plans The NANPA shall track and report on the status of pending relief plans to the FCC and the NANC each month. 5.1.10 Possible Testimony The NANPA may be requested to provide testimony to the state regulatory authorities regarding the relief plan, as necessary. This service shall be treated as an enterprise service (see Section 11). 5.1.11 New NPA Code Assignment The NANPA shall, prior to the NPA relief date, assign a new NPA code(s) in accordance with the approved relief plan. 5.1.12 Implementation Scheduling The NANPA shall schedule the first implementation meeting once a form of relief has been selected and ordered by a state regulator. 5-3 5.1.13 Industry Scheduling The NANPA shall provide industry notification of NPA code relief implementation activities (e.g., adequate advance notice, public announcements, test number and testing period, new boundary maps, new dialing procedures, Line Information Database (LIDB), the BIRRDS database, LERG, LIDB Access Routing Guide (LARG), relief date, permissive dialing period, mandatory dialing date, ANI records). The NANPA shall also provide notifications of any subsequent changes made by state commissions to relief dates, permissive dialing periods, or mandatory dialing dates. 5.1.14 Press Release The NANPA shall, with the input and approval of the state regulatory authorities and industry, prepare and issue a press release to inform the public of the approved Relief Plan and respond to requests from the media and public for information. 5.1.15 Implementation Assistance The NANPA shall assist NPA Relief implementation teams and the Number Administration Service Center (NASC), as necessary, with modifications to the toll-free database. If necessary, the NANPA shall declare a code in jeopardy based upon the INC definition of a jeopardy situation and implement an NXX code-rationing plan agreed to by the industry. If there is no industry consensus on an NXX code-rationing plan, the NANPA shall implement a state approved rationing plan after the state commission orders NPA relief. After a state regulatory authority orders a specific form of area code relief and has established an implementation date, the NANPA shall adopt and implement that plan as ordered by the state regulatory authority. 5.1.16 Compliance The NANPA shall: · Comply with CO Code (NXX) Assignment Guidelines, NPA Allocation Plan and Assignment Guidelines, and NPA Code Relief Planning Guidelines. · Implement a planned approach using effective forecasting and management tools and skills in order to ensure the availability of numbering resources. · Facilitate the timely planning and implementation of NPA relief. · Proactively work with state regulatory authorities to achieve selection of a relief plan by the requested date to allow the industry appropriate time for implementation. If a relief plan has not been approved by 90 days prior to industry requested approval date, then the NANPA shall notify the state commission in writing of the date the relief plan approval was requested – a copy of which shall be sent to the NANC Chair. If the state regulatory authorities have not ordered an NPA relief plan on or before the industry requested approval date, the NANPA shall notify the FCC and the NANC in writing and provide the date by which an order is required to avoid jeopardizing the timely implementation of NPA relief. 5-4 5.2 User Notification The NANPA shall maintain an electronic document distribution system, which NPA relief planners shall use to notify affected users of the need for an NPA relief meeting and to keep all users informed of final relief plans and implementation processes. The document notification system shall also be used to distribute additional details and data deemed necessary to keep clients informed of the status of any relief activity that has experienced a delay in implementation. 6-1 Section 6 Utilization and Forecasting The NRUF Report is filed twice annually by service providers in accordance with FCC orders and regulations. Each service provider shall complete the NRUF Report and submit it to the NANPA on or before February 1st and August 1st of each year. The NANPA shall compile, examine, and analyze the data gathered from these reports and submit its analysis to the NANC, the FCC and state regulatory commissions that have requested it, semi-annually on the last business day of April and October of each year, unless otherwise directed by the FCC. 6.1 Responsibilities The following is a list of the functional areas that fall within the NANPA’s data collection, processing and NRUF reporting responsibilities: 6.1.1 Point of Contact The NANPA shall be the point of contact for collecting forecast and utilization data. Forms shall be submitted electronically unless utilizing the Enterprise Service provided by NANPA as described in Section 11.2. The NANPA shall assist carriers in completing the NRUF forms by clarifying the service provider requirements to report and correctly understand the NRUF process. 6.1.2 Contact List Maintenance The NANPA shall maintain a list of the individuals within each reporting entity identified on the last NRUF report submitted by that entity as the contact person. The NANPA shall periodically remind reporting entities in writing of the need to keep the list of contacts current and accurate. 6.1.3 Data Requests The NANPA shall request the NRUF data from all Service Providers within the U.S. Such data shall be requested for submission on February 1st and August 1st of each year. All NRUF data shall be aggregated from within the same timeframe. Data from U.S. service providers shall be processed separately, and then aggregated with all other reported data to obtain a complete picture of the status of the NANP. Canada and the Caribbean will provide exhaust projections to the NANPA. 6.1.4 Data Requests in Pooled Areas In pooled rate centers within an NPA, the NANPA shall receive forecast data in thousands- block increments. The PA shall provide aggregated NRUF forecast data to the NANPA. 6-2 6.1.5 Data Analysis The NANPA shall compile, examine and analyze all the data obtained from the semi-annual NRUF Report. The results of this analysis shall be made available by the NANPA on the last business day of April and October of each year. The NANPA shall compare actual NPA exhaust and current exhaust forecasts with the past five exhaust projections. The NANPA shall summarize the accuracy of its forecast outlining (1) contributing factors, (2) changes required, (3) the outcome if no change is made, (4) the parties who shall participate in the changes, and (5) a description of the activity each party shall take to realize the desired outcome. The NANPA shall provide an analysis of the accuracy of its forecasting tool as an NPA reaches exhaust prior to the beginning of each forecast cycle. 6.1.6 Data Reporting The NANPA shall produce a semi-annual report that summarizes the projections of exhaust of each NPA and the NANP as a whole. The report shall at a minimum, be similar in format and content to the NANP and NPA Exhaust Analysis report, currently provided to the NANC. The NANPA shall highlight significant anomalies, for example, those NPAs whose projected exhaust date changes by more than six months from one report to another, and provide a brief explanation for the change. 6.1.7 User Support The NANPA shall be available to its users to answer questions pertaining to any aspect of the NRUF Report process (e.g., forms, instructions, analysis, data assumptions, etc.). 6.1.8 Data Aggregation The NANPA shall also compile, examine, and analyze the forecast and utilization data submitted by reporting service providers between reporting periods. If it appears that the life of an NPA or the NANP shall be significantly affected by an updated NRUF Report submitted by a service provider(s), the NANPA shall report those results within 30 days of receiving the data submissions from the service provider(s). In the event that NANP exhaust is affected by an updated NRUF submission, the NANPA shall send the results to the appropriate regulatory authority in NANP member countries and the NANC. In cases that only involve NPA exhaust, the NANPA shall forward the results to the appropriate regulatory commission. 6.1.9 Request to Review Data At the request of a U.S. state regulatory authority and upon receipt by the NANPA of a written statement that the state regulatory authority has confidentiality procedures in place to protect the data, the NANPA shall, within ten business days, provide a single report containing disaggregated data to any requesting state that is reported by service providers in that state, so long as the request is made 30 days after the deadline for NRUF reporting and 6-3 before the subsequent NRUF reporting deadline. Regulators shall also have access to the NRUF data for the NPAs in their respective states via NAS. The NANPA shall provide reports to state regulatory authorities per their initial request and delivery schedule. State regulatory authorities shall provide the NANPA with requested delivery schedule changes and report content changes at least 30 days prior to the effective date of the change. Requests of this nature shall be provided without an additional charge to the state commission 6.1.10 Penalties for Non-Submission If an NRUF Report has not been submitted by a service provider, the NANPA shall withhold future numbering requests from that service provider within the NPA for which the NRUF data has not been supplied. Once the NRUF data has been submitted, the NANPA shall process the request. 6.1.11 Report Anomalies If the NANPA identifies any significant inconsistencies or anomalies in a service provider’s data, the NANPA shall inform the submitting service provider of its findings, provide the specific data relevant to document the significant inconsistency or anomaly in the service provider report, and request a review and confirmation (written or oral) from the service provider. The NANPA shall allow the service provider five business days to provide that confirmation, or to resubmit the data. If, after the discussions with the provider, the NANPA still believes that the provider’s data contains inconsistencies or anomalies, then the NANPA shall report its findings to the appropriate regulatory bodies (e.g., state commissions, the FCC).3 The NANPA shall assign no additional numbering resources to such service providers until the appropriate state commission instructs it to do so. Where the state commission has chosen not to exercise this delegated authority, the NANPA shall seek instruction from the FCC. 6.2 Development of Tests for Anomalies and Inconsistencies The NANPA shall examine the NRUF report submitted by each service provider for inconsistencies or anomalies. The NANPA shall design the tests and algorithms that it shall use to test the utilization and forecast data submitted by service providers prior to actually performing any tests. The NANPA shall provide a detailed description of the actual methodology employed to identify inconsistencies and anomalies. The description shall include a list of all assumptions and rationales incorporated into the methodology tests, as well as any mathematical formulas that are used. The NANPA shall also work with the NANC to form criteria for determining what types of submissions shall be deemed inconsistent or anomalous. It is expected that the NANPA shall 3 U.S. telecommunications providers only. 6-4 continually refine this process and remain mindful of the changing telecommunications landscape to ensure that its methods and assumptions are current and valid. 6.3 NANPA Analysis of Data The NANPA shall accumulate and analyze forecast and utilization data from each service provider and the PA according to the schedule detailed in the First FCC NRO Order. The NANPA shall use this information along with historical and other data possessed by the NANPA to create a forecast that is as accurate as possible. 6.3.1 Methodology for Projecting NPA Exhaust The NANPA shall project the potential exhaust of NPA codes. Although the NRUF data shall be the primary source of information for any analysis, the NANPA shall incorporate other relevant data elements into its analysis in determining the projected exhaust time frame of each geographic NPA. Some of the additional data elements are noted below. 6.3.1.1 NRUF Survey Responses Once the tests for inconsistencies and anomalies have been performed and the responses deemed acceptable by the NANPA, these responses shall be the primary input to any analysis of NANP and NPA exhaust. 6.3.1.2 Historical CO Code Assignment Data The historical CO Code data includes NXX code assignments over at least the two years immediately preceding the date of the NRUF for all industry segments, e.g., Incumbent Local Exchange Carrier (ILEC), Competitive Local Exchange Carrier (CLEC), two-way Commercial Mobile Radio Service (CMRS) Carrier, and Paging Carrier. 6.3.1.3 CO Code Rationing After jeopardy has been declared, the rationed amount shall have a significant and direct effect on the life of the NPA, regardless of forecasted demand. In such cases, all other elements may be rendered irrelevant. 6.3.1.4 CO Code Assignments as of the Data Collection Date A single recent event can affect the life span of an NPA, and thus CO code assignments as of the data collection date should be factored into the exhaust projections. 6.3.1.5 Total Number of Codes Available for Assignment If relief has been applied since the last reporting period, the environment will have changed and the analysis must reflect the change. 6.3.1.6 Rate Centers Per NPA 6-5 The effects of any rate center consolidation or split within an NPA may have a significant impact on CO Code demand. 6.3.1.7 Expanded Local Calling Areas The inclusion of additional carriers in expanded local calling areas may also have an impact on CO Code demand. 6.3.1.8 Pooling The impact of thousands-block number pooling on CO Code demand, where it has been implemented, must also be taken into account. 6.3.2 Minimum Analysis Requirements Prior to performing the analysis, the NANPA shall provide to the NANC a detailed description of the actual methodology employed. The description shall include a list of all assumptions and rationales incorporated into the methodology, as well as any mathematical formulas that are used. The NANC shall have the opportunity to provide advice and consent to the analysis methods and assumptions the NANPA uses to perform its analysis of the NRUF results. Continuous methodology refinement is expected and encouraged. At a minimum, the analysis shall begin with a determination of the quantity of available NXXs within each NPA. Using the aggregated service provider forecasts and the tests developed by the NANPA to identify inconsistencies and anomalies, the NANPA shall determine the quarterly NXX demand for each NPA. The actual adjustments applied shall be consistent with, and fully explained in, the NANPA’s description of assumptions and rationales. 6.3.3 Anomalies and Trends The NANPA shall identify anomalies and trends in numbering usage for all NANP resources. The NANPA shall assist users in assessing the results shown and the action required to achieve numbering optimization goals. On an annual basis, the NANPA shall provide a report to the FCC reporting any anomalies and trends affecting the NANP. 6.4 Number Resource Utilization Form (NRUF) Submissions The FCC requires U.S. service providers to submit NRUF data electronically unless utilizing the Enterprise Service provided by NANPA as described in Section 11.2. The NANPA shall support three alternative methods for NRUF submission data collection: electronic file transfer (EFT), spreadsheet attachment to e-mail, and online entry. 7-1 Section 7 Automated System Support This section describes key requirements of the existing NANP Administration System (NAS) and its capabilities. The system shall provide NANPA employees and clients’ access to all necessary information required for NANP numbering resource management. The NANPA shall maintain the NAS to ensure that the system is capable of supporting the requirements and functionality acknowledged within this document. In addition, the NAS shall be upgraded to ensure sufficient capacity to support current and future resources and users. This system shall include security measures for maintaining confidential data and provide accessibility for all users to their own information through an appropriately secured mechanism. In addition, a user class shall be maintained that allows specific users (e.g., state regulatory authorities) to access selected, appropriate geographic data submitted by other users. 7.1 System Characteristics The NAS shall utilize standard electronic commerce type functionality that allows efficient user interaction and data file transfer. Data file transfer shall be simple and easy to understand. 7.1.1 System Availability The NAS shall be available within the timeframes outlined within the FCC approved transition plan. The NAS shall be seamlessly available for input, processing, and downloads during users’ normal business hours. Scheduled maintenance shall occur outside of normal business hours and users shall be notified no less than 30 days in advance of any scheduled event 7.1.2 System Query Capability For the purpose of this document, a query is defined as the ability to request and retrieve data stored in the system. The system shall: · Support users’ needs to retrieve their data through a query capability. · Support a user authorization level that identifies the range and scope of the data access of each user, including identification notice of approved access to their data by other users. · Be capable of querying and retrieving one or multiple records using any stored data fields. 7-2 7.1.3 System Scalability The NAS shall continue to be expandable and flexible so that it can easily expand its capacity and number of users. Examples include: · Addition of new NPAs · Additional users · The addition of new resource, and data elements · Expansion of the NANP 7.2 System Capabilities The NAS is designed for high reliability, possess data integrity features, and allow for economical and efficient system expansion. The NAS design shall provide for the following capabilities: · Capture all relevant applicant and user information. · Facilitate the application and data filing process and the capture of required data in the database. · Provide for generation of user information notices. · Possess the ability to track status of all NANP resources. · Support ad hoc query capabilities as well as production of predefined reports. · Assist with NANP Administration document management. · Possess the ability to track the status of a user’s NANP resource application or data filing and the generation of reports regarding the tracking status of each application or data filing. · Maintain data integrity. If the system becomes unavailable for normal operations due to any reason, users shall be notified of the system unavailability within five minutes of any outage. When possible, such notification shall be made via electronic capabilities. When this is not possible the NANPA shall notify all users via identified contact information by prearranged method (e.g. fax, telephone). When the system is restored to normal operations, users shall be notified of the system’s availability via electronic broadcast message within five minutes of system restoration. 7.3 System Location The physical location of NAS facility is at the discretion of the NANPA. The only limitation is that the facility shall be within the continental United States. Identification of the proposed system location must be included in the Bidder’s proposal. 7.3.1 Facility Characteristics Space allocated for the NAS shall have the following characteristics: · Be a distinguishable area with secure access points. 7-3 · Be contiguous space where personnel are physically located within the same area. · Provide sufficient backup power to maintain operation through electrical outages for at least eight hours. 7.4 System Data NANP numbering resource data and information shall be stored in the NAS in accordance with the categories and formats that correspond to those currently used and/or as may be defined in the future by regulatory directives and industry guidelines. 7.4.1 Data Integrity The NANPA shall ensure that all data stored is accurate and take commercially reasonable steps to confirm that data processed is accurate. 7.4.2 Confidential Treatment All individual user-specific data submitted to the NANPA, in any form, shall be treated as confidential. Any data that contains proprietary user information shall not be accessible by the public on the NANPA web site, or published by the NANPA. The NANPA shall only publish and distribute aggregated data. 7.4.3 Automated Submittal The NANPA shall use the data interface protocols previously adopted and in use between service providers and the current NANPA vendor. Except as noted, the NAS shall offer a web interface and/or allow for automated data input via EFT for applications and data forecast reports, as well as support an e-mail attachment transfer capability. The EFT capability shall permit users to forward data in a predetermined format, which the NANPA shall then use to initiate processing within the NAS. 7.4.4 Automated Data Output Capabilities The NANPA shall also accommodate automated data output via EFT when transmitting responses and other industry forms/data or reports to users per the appropriate industry guidelines. 7.4.5 Mechanized Interface with the Pooling Administrator The NANPA will maintain a functional, mechanized interface between NAS and Pooling Administration System (PAS) that allows for the passing of information between the two administration systems and where appropriate, from SPs to the NANPA via the PAS and vice versa. This information includes the Part 1, Months-to-Exhaust Forms, Part 3, Part 4 and Part 4A. 7-4 7.4.6 Alternative Data Capabilities The NANPA shall also support fax and e-mail submissions of user documentation (e.g., applications, forms, forecast reports). 7.5 System Maintenance The details of a proposed system maintenance schedule shall be provided in the NANPA’s System Maintenance Plan. 7.6 System Security The NANPA shall maintain and enforce system safety and physical security procedures in accordance with the FCC Computer Security Program (Reference 25). The NANPA shall maintain confidential and proprietary information and institute any physical and safety procedures required. Following contract award, the NANPA shall prepare a NANPA Security Plan following, as appropriate, the National Institute of Standards and Technology (NIST) Guide for Developing Security Plans for Information Technology Systems (Reference 30). 7.7 System User Profile Application The NANPA shall develop and maintain a User Profile application process for the NAS to ensure that there is a mechanism to distinguish one system user from another. The NANPA shall maintain the capability to reach all service providers by maintaining automated and up- to-date lists of addresses corresponding to all contacts. The NANPA shall update the list of contacts quarterly. The contact list shall be automated, facilitating mailing via U.S. Mail or electronically via e-mail. The User Profile application shall contain at a minimum the contact information for each client, and other relevant identifying factors such as service provider operating company number (OCN) and FCC Registration Number (FRN). The NANPA is not responsible for assigning the OCN. 7.7.1 User Logon System The system shall be able to support access to the NAS data with a unique logon ID and password upon receipt and approval by the NANPA of a request form. 7.7.2 Logon System Access Access is initiated upon receipt by the NANPA of a completed logon ID request form having the proper signature approvals from the requesting organization. 7.7.3 Logon System Approval After access approval, the NANPA shall assign the unique logon ID and appropriate security level corresponding to the type of user requesting access. 7-5 7.7.4 Logon System Security Level The user’s security clearance sets the correct level of record access and system capabilities. 7.7.5 Logon System Password After the logon is initialized and entered into the system by the NANPA, the users shall be informed of the logon activation, and a completed logon ID request form shall be sent back to the requestor for its records. 7.7.6 Logon System Problems Users experiencing problems in obtaining a logon ID shall contact the NANPA for resolution. The NANPA shall resolve all logon problems within one business day. 7.7.7 User Access Permission Classes The NAS is responsible for assigning new users the appropriate security permission class. The NANPA shall control access to all records. 7.7.8 Password Changes All user passwords shall be changed every 180 days. If an individual ends employment with the user, the NANPA shall be immediately notified and a new password assigned. 7.7.9 Unauthorized Client User System Access In the event the NANPA becomes aware of an unauthorized access to the NAS or user data, the NANPA shall immediately: · Notify the FCC, and the applicable user(s) electronically. · Report to the NANC that a breach has occurred and that the affected party has been notified. · Subject to reasonable access, security, and confidentiality requirements, provide the FCC, affected users, and their respective designees with reasonable access to all resources and information in the NANPA’s possession as may be necessary to investigate the unauthorized access. The FCC, or its designee, shall have the right to conduct and control any investigation relating to the unauthorized access as it determines is appropriate. 7.8 System Inspection Subject to the NANPA’s reasonable access, security, and confidentiality requirements, a NANP member country or a designee, upon notice to the NANPA, shall have the right to make visits to the NAS facilities to review safety/security applications. However, the NANPA is not required to support more than four visits in any 12-month period (excluding any follow-up visits referred to in the following sentence). 7-6 If any of the safety and physical security procedures as stated in the selected vendor’s proposal are not implemented and maintained throughout its Term of Administration, the vendor shall be deemed noncompliant. Failure to correct such noncompliance within ten days shall subject the vendor to termination. The NANPA shall: · Implement corrective measures. · Give notice of such implementation in preparation for one or more follow-up visits to the affected facility, as necessary, to confirm that the deficiency has been rectified. 7.9 System Report Administration The NAS shall be capable of generating and distributing reports upon request. All reports, except individual user-specific data, shall be available and accessible electronically on the NANPA web site. All individual user-specific data submitted to the NANPA, in any form, shall be treated as confidential. Any data that contains proprietary user information shall not be accessible by the public on the NANPA web site, or published by the NANPA. The NANPA shall only publish and distribute aggregated data. 7.9.1 Report Distribution Reports generated by the NAS shall be capable of being distributed and updated automatically. The report distribution system shall support an exploder list for automatic signup for updated report notification. The NANPA shall distribute via the NANPA web site all summaries and comprehensive reports made known to the NANPA or produced by the NANPA or its affiliate contractor(s) performing NANPA duties in part or whole. Reports shall be distributed by paper (including via U.S. Mail) and facsimile when requested. The Bidder shall describe its report distribution mechanism in its response. 7.10 Help Desk The NANPA shall maintain a help desk that is accessible during the NANPA’s regularly scheduled business hours. The Help Desk shall be available to assist users with the input and the interpretation of system-generated reports. The NANPA shall: · Report problems with the web site, facsimile, voice mail or e-mail; for each problem the Help Desk will open a trouble ticket. · Receive and transmit trouble tickets concerning communications problems with other vendors. · Require that each trouble ticket be time stamped with minute accuracy and stored for recall for up to two years. · Require that once a trouble ticket is closed, the originator of the trouble ticket shall be notified of disposition of the problem. 7-7 · Summarize the quantity and type of trouble tickets opened and closed during the year in the annual report. · Require the help desk to assist customers to fill out applications or reports or to gain access to other authorized FCC or industry information. · Require that if out-of-service conditions exists, the time stamped on the trouble ticket shall be used as the time for the start of the out-of-service period; when the out-of- service condition has been cleared and the originator of the trouble ticket notified, the time stamped on the last update of the trouble ticket shall be used as the end of the out- of-service period. 7.10.1 Contact The telephone number for the Help Desk shall be posted on the NANPA web site along with other relevant contact information to help users. The NANPA shall provide mechanisms; e.g., web, voicemail, e-mail, and facsimile, to be accessible on a 24-hour basis. With e-mail, the NANPA shall have the capability of transmitting and receiving e-mail messages with and without attached files. The NANPA shall provide “firewall” protective screening of all incoming e-mail messages and attachments based on a security profile established by the NANPA and approved by the FCC. The NANPA shall additionally provide virus protection software on all devices that receive e-mail. The NANPA shall maintain the most recently updated version of virus software as defined by the software provider. With facsimile, the NANPA shall provide the capability of transmitting and receiving ITU G.3 and G.4 facsimiles. 7.10.2 Help Desk Referrals Response to user inquiries for assistance shall include, where appropriate, referral to a NANPA Subject Matter Expert. 7.10.3 Help Desk Actions Any frequently asked questions (FAQs) and their answers shall be added to the FAQ page on the web site on at least a monthly basis. Responses shall be provided within one business day of the request being sent to the NANPA. 7.11 System Generated Notifications The NAS shall support an email distribution list that both registered and non-registered NAS users can apply to and receive system generated notifications. Such email distribution list may be used to send a general notice to all users, both registered and non-registered. 7-8 7.11.1 Customized Notifications The NAS shall allow users to customize notices by geographical location (e.g., NPA relief planning by NPA or state) and/or resource type that allows users to select categories of notices they want to receive. The following subjects shall warrant customized notification support: · Instructions for users to subscribe to lists on www.NANPA.com. · Topic and geography specific notifications. · NPA relief planning, guideline changes, regulatory directives, NANPA process changes. · NPA exhaust notification and relief planning. · General broadcast of system availability. · User education opportunities. · New items on the web site. · New personnel announcements. · International activities impacting the NANP. · Data related to the status of resources associated with state conservation deliberation. 7.12 System Testing Prior to any new system functionality and feature implementation and turn up, the NANPA shall provide a System Test Plan to the FCC. This plan shall contain the selection criteria for users to participate in system testing and the timeline and specific NAS elements to be tested. The System Test Plan shall follow the format, where applicable, of Reference 26, IEEE Standard for Software Test Documentation. 7.12.1 System Test Results Upon completion of the NAS test, the NANPA shall publish the results of said test. These results shall be readily available to all interested parties. 7.13 System Disaster Recovery A disaster recovery process shall be developed to restore the NAS within two business days. The NANPA shall develop and implement a detailed Disaster/Continuity of Operations Plan, following the format, where applicable, of Reference 27, NFPA 1600 Standard on Disaster/Emergency Management and Business Continuity Programs. In the event of a disaster, the NANPA shall cover all costs associated with