North American Numbering Council c/o Columbia Institute for Tele-Information Columbia Business School 1A Uris Hall 3022 Broadway New York, NY 10027-6902 February 15, 2005 Mr. Jeffrey Carlisle Chief, Wireline Competition Bureau Federal Communications Commission 445 Twelfth Street, S.W. Washington, D.C. 20554 Re: Recommendation for Process Flow Change Based on INC Issue 407 (CC Docket No. 99-200) Dear Mr. Carlisle: The purpose of this letter is to recommend that the Commission take whatever steps are necessary so that the process for assigning a central office code in a specific circumstance can be modified. The proposed process modification is supported by the North American Numbering Council (NANC), the Industry Numbering Committee (INC) and the North American Numbering Plan Administrator (NANPA). At the May 2004 meeting of the NANC, the INC requested input from NANC concerning the existing process flow used by service providers to request dedicated central office codes for a single customer in pooling rate centers. Specifically, the INC recommended a process change so that requests by service providers for dedicated codes to be assigned to a single customer in mandatory pooling rate centers could be processed directly through NANPA rather than through the Pooling Administrator (PA). The INC explained that this specific process change would be more efficient and expedient to both service providers and to the single customer receiving the dedicated code. However, due to wording in the Fourth Report & Order in CC Docket 99-200 (NRO IV), the INC cannot adopt the process change without regulatory approval. Paragraph 14 in NRO IV states: “In addition, we direct the NANPA to cease assignment of NXX codes to carriers after they are required to participate in pooling. Carriers required to participate in pooling must request and receive numbering resources from the national Pooling Administrator (PA).” INC Issue 407 under which the process change was discussed is attached (Attachment 1). It is currently in Initial Closure at INC and will not become Final until regulatory direction is received from either NANC or the FCC. 1 At the May 2004 NANC meeting, an Issue Management Group (IMG) was established to examine potential impacts on consumers, service providers, and, in general, on local number portability, if the INC recommendation was adopted. The IMG was composed of NANC members representing a cross-section of the industry and included representatives from state regulatory commissions. At the September 2004 NANC meeting, the IMG presented to NANC its findings on the INC’s recommendation. The IMG concluded that there were no negative impacts to the consumer, no porting impacts, and that the PA’s role in the processing of a request for a dedicated code for a single customer is essentially a “pass-through” role only. The IMG also noted that all requests for a full NXX code assignment must be processed by NANPA Code Administration using the code assignment criteria established in the INC’s guidelines regardless of whether the full code request is submitted directly to NANPA or is submitted through the PA. The IMG’s report and recommendation is attached (Attachment 2). In summary, the IMG reported that its findings were consistent with the findings of the INC and the IMG supported the INC recommendation. Also, the NANPA has reviewed the INC Issue 407 and has determined that the issue does not affect the NANP Administration System (NAS). NANPA noted that the implementation of the recommended process change does impact NANPA operations but can be implemented by NANPA at no additional cost. The complete analysis by NANPA on INC Issue 407 is documented in NANPA Change Order #4 which is attached. Based on the discussion at the INC, feedback from the IMG and the impact on NANPA, NANC endorses the recommended process change that would allow a service provider the option of submitting requests for a dedicated code for a single customer directly to NANPA. NANC requests that the FCC adopt the INC’s recommended process flow change and take the steps necessary to implement the change as quickly as possible. Please contact me if you have any questions about NANC’s recommendation. Sincerely, /Signed/ Robert C. Atkinson NANC Chair Attachment cc: NANC Members Lisa Gelb, FCC Narda Jones, FCC Cheryl Callahan, FCC Sanford Williams, FCC 2 ATTACHMENT 1 to NANC Letter INDUSTRY NUMBERING COMMITTEE (INC) ISSUE IDENTIFICATION FORM Treatment of Dedicated Codes for Single Customers in a Pooling Environment ________________________________________________________________ ____ ISSUE ORIGINATOR: Bill Shaughnessy COMPANY: BellSouth TELEPHONE #: 404-927-1364 REQUESTED RESOLUTION DATE: LNPA ISSUE #: 407 DATE SUBMITTED: 3/4/03 DATE ACCEPTED: 3/4/03 SUBCOMMITTEE ASSIGNED: CURRENT STATUS: Initial Pending RESOLUTION DATE: 1. ISSUE STATEMENT: The CO/NXX Assignment Guidelines defines a single customer as one customer requiring 10,000 consecutive telephone numbers from one central office exchange. Based on the existing Thousands Block Number (NXX-X) Pooling Administration Assignment Guidelines, when a service provider needs a dedicated code in a pooling rate center to satisfy the needs of a single customer, the service provider submits the request for full NXX to the PA who subsequently submits the request to the CO Code Administrator. Upon receipt of the NXX code assignment from the CO Code Administrator, the PA builds the BCD record for thousands-block(s). Service providers in this instance will be billed for 11 records, the "A" record and the 0 through 9 block records in BIRRDS even though this NXX will not be pooled since it is dedicated to a single customer. 2. SUGGESTED RESOLUTION OR OUTPUT/SERVICE DESIRED: BellSouth proposes that the Thousand Block Number (NXX-X) Pooling Administration guidelines be modified to show that when a service provider request a dedicated NXX for a single customer in a pooling rate center that the dedicated NXX assigned to the customer is not marked as a “pooled” code in BIRRDS. The customer will use all the numbers in the NXX and none of the thousands-blocks will be donated to the Pool, so the code should not be marked as a “pooled” code in BIRRDS. In addition, the Guidelines should be revised regarding the submission of the Part 4 for a dedicated NXX code in a pooling environment. The Service Provider who is assigned the dedicated NXX code should be allowed to submit the Part 4 Form to NANPA directly through the Code Administration System (CAS) 3 since the Service Provider is notified of the code assignment via CAS and the code will not be a pooled code. 3. OTHER IMPACTS: The CO/NXX Code Assignment Guidelines may need to be changed. 4. CONTRIBUTIONS WORKED AGAINST ISSUE: LNPA-454 LNPA-469 LNPA-476 LNPA-478 LNPA-491 5. CURRENT ACTIVITY: INC 69: Issue accepted but not discussed. INC 70: Discussed LNPA-454, and made some initial modifications to the contribution. Participants will return to their companies and ensure that all of the changes made as a result of LNPA-454 are correct and incorporate all the changes that are necessary. The issue remains in Active status. INC 71: The issue not discussed. INC 72: The issue not discussed. INC 73: The issue was discussed at the LNPA Workshop, along with new contribution, LNPA-469, Proposed Changes to the LNPA Guidelines Based on Issue 407 (BellSouth). INC agreed to accept the underlying concept of Issue 407 (and LNPA-469) and continue moving forward with its work on the issue. BellSouth agreed to bring in a new contribution which will summarize specific text changes to address the proposed process flow changes contained in Issue 407. INC 74: The issue was discussed in the LNPA Workshop, along with new contribution LNPA-476: Additional Proposed Changes to the LNPA Guidelines Based on Issue 407. It was agreed to incorporate the text changes of LNPA-476 into the TBPAG Working Document. BellSouth agreed to bring a contribution to INC 75 to address associated changes in the COCAG. INC 75: Contribution LNPA-478 (Proposed Changes to the Sections: 3.1, 4.1, 4.1.4.1, 4.3.2, 5.2, & Glossary of CO/NXX Guidelines to Address Issues 407 – Treatment of Dedicated for A Single Customer in a Pooling Environment) was discussed. It was noted that INC should only incorporate the proposed text changes in LNPA-478 which are not already covered by LNPA-481. Participants made adjustments to the text of the contribution in the following sections of the COCAG Working Document: 4.1.4.1-3; 5.2; and 8.2.2 and the following sections of the TBPAG Working Document: 3.2; 4.2.1.h); 6.1.2; 7.4.4.; 7.5.3. It was noted that the issue’s Resolution Statement should contain some indication of INC’s awareness of potential FCC-NANC policy implications involved in the closure of this issue. With this issue, INC agreed to follow the section of the new ATIS Operating Procedures which states that an issue may be placed in Initial Closure and then subsequently placed in the Initial Pending category after 21 days, since 4 the output of a regulatory body is at issue. The issue was placed in Initial Closure (to be placed in Initial Pending on 4/30/04). Friday, 4/30/04: Since no objections to the closure of this issue had been received by this date, the issue is now placed in the Initial Pending category (since there are FCC-NANC policy implications involved in the closure of this issue). INC 78: INC agreed to add text to the resolution statement’s guidelines changes which indicates that a customer letter will be required for the single customer dedicated code request. INC then placed the issue in Initial Closure, with the agreement that the issue will automatically be placed in Initial Pending 30 days after the issue form is posted. 11/12/04: The issue was placed in Initial Pending. 6. RESOLUTION: The following text changes were made the TBPAG: Sections 3.2: A pooling SP’s requirement for an entire NXX Code (i.e., 10,000 TNs) to satisfy the numbering needs for a single customer may at the SP’s discretion be obtained either from the CO Code Administrator or from the PA (see Section 7.5.3). In either case, a customer letter is required as supporting documentation and provided to the appropriate administrator. An entire NXX code dedicated for a single customer’s use may be classified as a non-pooled code at the discretion of the SP. When an SP submits a request for a dedicated code for a single customer’s use and wants the code to be marked as non-pooled, the request shall go through NANPA. (Issue 407) The SP will be considered the CO Code Holder by leaving the pooling indicator field blank in Section 1.5 of the CO Code Part 1. In addition, the SP should write “Non-pooled code for dedicated customer” in Section 1.7 of the Part 1. Section 3.2 (last paragraph): When an SP submits a request for a dedicated code for a single customer’s use and wants the code to be marked as non-pooled, the request shall go through NANPA. Section 4.1 (last paragraph): An entire NXX code dedicated for a single customer’s use may be classified as a nonpooled code at the discretion of the SP. The SP will be considered the CO Code Holder by leaving the pooling indicator field blank in Section 1.5 of the CO Code Part 1. In addition, the SP should write “Non-pooled code for dedicated customer” in Section 1.7 of the Part 1. The CO Code Holder for a code dedicated for a single customer’s use will become a LERG Assignee when blocks from this code are donated to the Pool. Section 4.2.1 h): 5 h) be responsible for providing to the PA the CO Code Part 4 that confirms a full NXX that was obtained to meet an SP’s single customer request has been placed in service if the dedicated code is obtained from the PA. Section 6.1.2: 6.1.2 If SPs identify a significant change in their thousands-block forecast for a rate area, they should provide an updated Thousands-Block Forecast Report (Appendix 1) for that rate area as soon as possible to the PA. At the SP’s discretion, the updated forecast should also identify an SP’s need for an entire NXX code(s) (identified in thousands-blocks) to satisfy the need of a single customer. This updated forecast will completely replace the previous thousandsblock forecast for a given rate area. Section 7.4.4: Step 3 - The LERG Assignee, designated in Step 2, is responsible for completing the Central Office Code (NXX) Assignment Request - Part 1 form and submitting it to the PA. The PA will then forward that Part 1 to the CO Code Administrator. The LERG Assignee is also responsible for submitting the Thousands-Block Application Forms – Part 1A to the PA for the thousands-block(s) retained. If the SP is retaining multiple blocks and the routing information is different for those blocks, then a Part 1B must be submitted. Where the LERG Assignee has requested a dedicated NXX Code through the PA to meet a specific customer request, the LERG Assignee is responsible for completing the Thousands-Block Months to Exhaust and Utilization Certification Worksheet - TN Level (Appendix 3) and submitting it to the PA. In this instance, the LERG Assignee should not be required to submit Thousands-Blocks Forms Part 1A or Part 1B. Section 7.5.2: The PA, when applying to the CO Code Administrator for an NXX Code to a) satisfy the needs of an SP’s single customer requiring 10,000 consecutive TNs when the SP elects to submit this request through the PA or b)….. Section 7.5.3 (last paragraph): The PA will forward the CO Code Part 4 form to the CO Code Administrator. The SP to whom the NXX has been assigned is responsible for providing the CO Code Part 4 (Assignment Request and Confirmation of Code In Service) to the PA that confirms that the NXX obtained to provide an LRN for the SP or to meet an SP’s single customer request for a full NXX Code has been placed in service. 6 The following text changes were made to the COCAG: Section 3.1: CO codes (NXXs) are assigned to entities for use at a Switching Entity or Point of Interconnection they own or control. Where thousands-block number pooling has been implemented, an entity assigned a CO Code is designated as the “LERG Assignee.” However, an entire NXX code dedicated for a single customer’s use may be classified as a non-pooled code at the discretion of the SP. In either case, a customer letter is required as supporting documentation and provided to the appropriate administrator. In that event, the SP will be considered the CO Code Holder by leaving the pooling indicator field blank in Section 1.5 of the CO Code Part 1. In addition, the SP should write “Non-pooled code for dedicated customer” in Section 1.7 of the Part 1. Section: 4.1: CO codes (NXXs) are assigned to entities for use at a Switching Entity or Point of Interconnection they own or control. Where thousands-block number pooling has been implemented, an entity assigned a CO Code is designated as the “LERG Assignee”, except for an entire NXX code that is dedicated for a single customer’s use and is designated as a non-pooled code by the code assignee. In that exception case the SP assigned the dedicated code will be considered the CO Code Holder. Assignment of the initial code(s) will be to the extent required to terminate PSTN traffic as authorized or permitted by the appropriate regulatory or governmental authorities, and provided all the criteria in Sections 4.1.1 through 4.1.3 are met. An initial code assignment will be based on a unique rate center consistent with regulatory restriction. Section 4.1.4.1 3): 3) to request an entire NXX code (i.e., 10,000 numbers) to satisfy the numbering needs for a service provider’s single customer when the SP requires that the code be marked as pooled. A single customer is defined as one customer requiring 10,000 consecutive telephone numbers from one central office exchange. Section 4.3.2: The PA when applying to the CO Code Administrator for an NXX Code to a) satisfy the needs of an SP’s single customer requiring 10,000 consecutive TNs when the SP submits this code request to the PA, or b) be assigned for LRN purposes, will certify the need by providing the CO Code Administrator a copy of the “Thousands-Block Number Pooling Months To Exhaust Certification Worksheet - TN Level” [Thousands-Block Number (NXX-X) Pooling Administration Guidelines, Appendix 3] that is supplied to the PA by the requesting SP in accordance with the Thousands-Block Number (NXX) Pooling Administration Guidelines which covers: 7 Section 5.2: 5.2 Receive and process applications (CO Code (NXX) Assignment Request Form Part 1) for CO codes (NXX) within the geographic NPA(s) for which the CO Code Administrator is responsible. For rate centers transitioning to pooling: The CO Code Administrator will only process NXX requests received at least 33 calendar days prior to the Pool Start Date. Within the 33 calendar days prior to Pool Start Date, applications for codes/blocks will not be accepted. However within this 33-day interval, the NANPA will continue to process code applications for: CO codes awarded via lottery; LRN requests; full CO code request for a single customer; CO code expedite requests; petition/safety valve requests; any requests from non-pooling capable carriers; and PA requests to the NANPA. After Pool Start Date, all pooling-capable carriers will apply to the PA for all codes or blocks marked as pooled. Section 8.2.2: 8.2.2 If a Part 4 has not been received by the Administrator during the first five months following the original effective date returned on the Part 3 and entered on the ACD screen in BIRRDS, then the Administrator will send, via facsimile/electronic mail, a reminder notice to the code assignee. The notice will be sent no later than one month prior to the end of the 6th month, and will direct the assignee to do one of the following by the end of the sixth month after the original effective date returned on the Part 3 and entered on the ACD screen in BIRRDS: If the code is in a non-pooling NPA, submit a Part 4 to NANPA If the code is in a pooling NPA, and the code was assigned prior to the implementation of pooling in the NPA, submit the Part 4 to NANPA If the code is in a pooling NPA, and the code was assigned to a pooling carrier after pooling was implemented in the NPA, submit the Part 4 to the PA. If the code is in a pooling NPA but is marked non-pooled, submit the Part 4 to NANPA. If the code is no longer needed or not in service, return the code by submitting a Part 1. Updated: 10/22/04 8 ATTACHMENT 2 to NANC Letter NANC IMG Analysis On INC Issue 407 NANC Action Item: The IMG will review INC’s Issue 407 with respect to consumer impact, procedure and other implications and recommend whether NANC should urge the FCC to initiate an NPRM to implement the INC recommendation. Relevant Cite: Paragraph 14 in NRO IV (paragraph 14) In addition, we direct the NANPA to cease assignment of NXX codes to carriers after they are required to participate in pooling. Carriers required to participate in pooling must request and receive numbering resources from the national Pooling Administrator (PA). Findings: 1. Porting Impact: Many NANC members questioned whether INC issue 407 would have an impact on porting. There are no porting impacts.. Regardless if the carrier makes the dedicated code request to the PA or directly to NANPA Code Administration, the existing service provider portability procedures or processes remain the same. The existing process flows still apply if a service provider received a request to port a single TN or multiple TNs from a NXX code dedicated to a single customer. 2. Customer Impact: Adherence to paragraph 14 in NRO IV could lead to a delay of up to 14 calendar days for a dedicated code to be obtained for an end customer. The INC resolution to issue 407 would potentially speed up delivery time of a new code to the customer by eliminating the up to 14 day interval that is required for the PA to be involved in the processing of the code request (See attached document describing steps). There are no negative impacts to the end customer. The code assignment process is transparent to the end customer other than the time interval required to be assigned a code. 3. Service Provider Impact: The requirement to submit a request for a dedicated code for a single customer in a pooling environment as required by paragraph 14 adds up to 14 calendar days to an already lengthy process for obtaining a code. In addition, the exchange of forms between the Service Provider (SP) and PA/NANPA would be significantly reduced if the dedicated code request was made directly to NANPA and would also be significantly reduced when modifications are made to the dedicated code. (See Table Below). The requirement to submit the dedicated code request through the PA also prevents the usage of the NANP Administration System (NAS) to electronically submit the Part 1 request to NANPA. The PA’s role in the processing of a request for a dedicated code for a single customer is essentially a “pass-through” role only. The IMG notes that all requests for a full NXX code assignment must be processed by NANPA Code Administration using the assignment criteria established in the INC’s guidelines regardless of whether the full code request is submitted directly to NANPA or is submitted through the PA. 9 Summary of Required Forms NEW CODE REQUESTS NEW CODE W PA 1 Part 1B 1 MTE (SP) (if growth) 1 Part 1 (SP) 1 Part 3 (PA suspension to SP) 1 Part 3 (NANPA to SP and PA) 10 Part 3 (PA to SP for blocks) 1 Part 4 (SP) 1 Evidence of Certification (SP) (if initial) 1 Evidence of Facilities readiness (SP) (if initial) Total: Up to 16 Forms & 11 BIRRDS Records if code is growth and marked pooled; Up to 17 Forms & 11 BIRRDS Records if code is initial and marked pooled. If code is marked as non-pooled, on form, then only 1 BIRRDS record. NEW CODE W/O PA 1 Part 1 (SP) 1 MTE (SP) (if growth) 1 Part 3 (NANPA) 1 Part 4 (SP) 1 Evidence of Certification (if initial) 1 Evidence of Facilities readiness (if initial) Total Up to 4 Forms & 1 BIRRDS Record if code is growth; Up to 5 Forms & 1 BIRRDS Record if code is initial. MODIFICATIONS REQUESTS CODE MODIFICATION W PA CODE MODIFICATION W/O PA 1 Part 1 (SP) 1 Part 1 (SP) 10 Part 1A (SP) 1 Part 3 (NANPA) 10 Part 1B (SP) 1 Part 3 (PA suspension to SP) 10 Part 3 (PA to SP for blocks) 1 Part 3 (NANPA to SP and PA) Total: 33 Forms & 11 BIRRDS Record changes Total 2 Forms & 1 BIRRDS Record change 10 State Regulatory Concerns: 1. State commissions that currently review copies of Part 1 code requests for a dedicated code may not have sufficient time to review the application due to the shortening of the process interval. Some states stated the need for at least 10 business days to review the Part 1. Problems cited in reviewing the Part 1 for dedicated codes is that service providers do not submit the Part 1 to the state commission or do not provide sufficient information to determine that the dedicated code request is legitimate. Analysis: The IMG notes that a limited number of state commissions review Part 1 code requests while the PA and/or NANPA processes the dedicated code request. The IMG also notes that the standard interval for NANPA to process any NXX code request is 10 business days. If a state commission that is reviewing a request for a dedicated code has not received sufficient information from the service provider requesting the code, the state commission can request the NANPA to suspend the request until sufficient information is provided or until the state commission can review the Part 1 request. Also, the INC has reached agreement that, if requested, they will draft appropriate guideline modifications that might result from the NANC’s recommendation regarding this issue such modifications that might result from the NANC/FCC decision on this issue. Such guideline modifications could include adding a requirement that a service provider requesting a dedicated code for a single customer must submit a letter from that customer documenting the customer’s need for a dedicated NXX. The IMG notes Issue 407 was not intended to address any concerns related to ensuring that dedicated code requests are legitimate. Such concerns will exist regardless of whether the code request is submitted through the PA or directly to NANPA. These concerns should be addressed through appropriate guideline modifications to require additional supporting documentation from the service provider in order for a dedicated code to be assigned. 2. The definition of a “dedicated customer” code is not well defined in the guidelines. Analysis: Section 4.1.4.1.3 of the Central Office Code Assignment Guidelines addresses requests for an entire NXX code (i.e., 10,000 numbers) to satisfy the numbering needs for a service provider’s single customer. A single customer is defined as one customer requiring 10,000 consecutive telephone numbers from one central office exchange. A “single customer” is the same as a “dedicated customer.” Conclusion: Based on the analysis above, this IMG recommends that, in mandatory pooling areas, a service provider have the option to submit requests for a dedicated code for a single customer directly to NANPA. This would allow for a more efficient and expedient assignment process and would allow needed numbers to be provided to end customers up to 14 calendar days sooner. In addition, this would have no impact on the porting of numbers from the dedicated code and would have no negative impacts on end customers. The findings in our independent review are consistent with the findings of the INC on this issue. 12 Even though the Pooling Administrator participated in the IMG, the Pooling Administrator takes no position in the conclusion of the IMG’s recommendation. However, the Pooling Administrator does not, at this time, anticipate any impact on their operations. In addition, NANPA indicated that the IMG recommendation would have minimal, or no impact on their processing of dedicated code requests. . Open Issue: If the IMG recommendation is approved, the IMG does not believe it is within their purview to determine how the FCC should implement the change to paragraph 14 in NRO IV. The IMG leaves that decision to the FCC. 13 STEPS FOR DEDICATED CODE ASSIGNMENT 1. DEDICATED CODE REQUEST SUBMITTED TO THE PA A Service Provider (the code applicant) submits Part 1 Code Request and supporting documentation to the Pooling Administrator (PA) The PA receives the Code Request and forwards it to NANPA CO Code Administration if the request meets the code assignment criteria. The PA has 7 calendar days from receipt of the request to process the request and provide a Part 3 PA’s Response Form to the code applicant NANPA CO Code Administration has 14 calendar days from receipt of the dedicated code request from the PA to review and process the request and issue the CO Code Administrator’s Part 3 Response Form to both the PA and the code applicant Within 7 calendar days of the receipt of the NXX code assignment from the CO Code Administrator, the PA informs the code applicant of the NXX code and thousandblocks assigned using the PA’s Part 3 Response Form The dedicated code assignment is made by NANPA CO Code Administration and the PA is not directly involved with the assignment of the code 2. DEDICATED CODE REQUEST SUBMITTED TO NANPA CO CODE ADMINISTRATION A Service Provider (the code applicant) submits Part 1 Code Request and supporting documentation to NANPA CO Code Administration NANPA CO Code Administration has 14 calendar days from receipt of the dedicated code request from the applicant to review and process the request and issue the CO Code Administrator’s Part 3 Response Form to the code applicant NANPA CO Code Administration uses the code assignment criteria documented in the Central Office Code Assignment Guidelines to determine whether the dedicated code should be assigned regardless of whether the code request came through the PA or was submitted directly to CO Code Administration