[Federal Register Volume 62, Number 205 (Thursday, October 23, 1997)]
[Rules and Regulations]
[Pages 55179-55183]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-27946]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 52
[CC Docket No. 92-237, CC Docket No. 95-155; FCC 97-372]
Administration of the North American Numbering Plan; Toll Free
Service Access Codes
AGENCY: Federal Communications Commission.
ACTION: Final rule.
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SUMMARY: On October 9, 1997, the Commission released a Third Report and
Order in CC Docket No. 92-237 adopting various measures related to
numbering administration for telecommunications service and to billing
and collection to support numbering administration activities. The
Third Report and Order is intended to ensure the impartial allocation
and administration of numbering resources. The Commission also released
a Third Report and Order in CC Docket No. 95-155 adopting measures
related to numbering administration for toll free numbers. The Third
Report and Order is intended to ensure the impartial allocation and
administration of toll free numbering resources.
EFFECTIVE DATE: November 24, 1997.
FOR FURTHER INFORMATION CONTACT: Marian Gordon or Erin Duffy, Network
Services Division, Common Carrier Bureau, (202) 418-2320.
SUPPLEMENTARY INFORMATION: This summarizes the Commission's Third
Report and Order in CC Docket No. 92-237, In the Matter of
Administration of the North American Numbering Plan, FCC 97-372,
adopted October 9, 1997, and released October 9, 1997. The Commission
concurrently released a Third Report and Order in CC Docket No. 95-155,
In the Matter of Toll Free Service Access Codes. The file is available
for inspection and copying during the weekday hours of 9 a.m. to 4:30
p.m. in the Commission's Reference Center, room 239, 1919 M St., N.W.,
Washington D.C., or copies may be purchased from the Commission's
duplicating contractor, ITS, Inc. 2100 M St., N.W., Suite 140,
Washington, D.C. 20037, phone (202) 857-3800.
Analysis of Proceeding
1. In the Third Report and Order in CC Docket No. 92-237, the
Commission takes several actions to ensure the impartial administration
and allocation of numbering resources. The Commission accepts the
recommendation of the North American Numbering Council (NANC) and
selects Lockheed IMS as the North American Numbering Plan Administrator
(NANPA). The Commission accepts the NANC's recommendation and selects
the National Exchange Carriers Association (NECA) as the NANPA Billing
and Collection Agent (B&C Agent), subject to a specific neutrality
cure. The Commission accepts NANC's proposed rules for governance of
the NANPA and the B&C Agent, with minor modifications. In order to
provide solutions to numbering disputes when time is critical, the
Commission streamlines its administrative processes of review of NANC's
initial resolution of numbering disputes.
2. The Commission imposes two conditions, recommended by the NANC,
that Lockheed must follow. First, Lockheed must perform the numbering
administration functions currently performed by Bellcore, and the
central office code administration functions currently performed by the
eleven central office code administrators, at the price agreed to at
the time of its selection. The new NANPA may request from the NANC,
with approval by the Commission, an adjustment in this price if the
actual number of central office code assignments made per year, the
number of area codes requiring relief per year, or the number of area
code relief meetings per area code exceeds 120% of Lockheed's stated
assumptions at the time of its selection. Second, Lockheed must make
available any and all intellectual property and associated hardware
resulting from its activities as numbering administrator including, but
not limited to, systems and the data contained therein, software,
interface specifications and supporting documentation, and make such
property available to whomever the NANC directs free of charge.
3. In the Third Report and Order in CC Docket No. 95-155, the
Commission takes action to ensure the impartial administration and
allocation of toll free numbering resources. The Commission concludes
that toll free numbering administration, as currently structured, is
inconsistent with section 251(e) of the Communications Act. The
Commission directs the NANC to examine the issue of toll free numbering
administration and make a recommendation to the Commission regarding
what entity would be an appropriate administrator for the toll free
database within 120 days of the effective date of the NANP Order.
4. It is ordered, pursuant to Sections 1, 4(i), 201-205, 218, and
251 of the Communications Act of 1934, as amended, 47 U.S.C. Sections
151, 154(i),
[[Page 55180]]
201-205, 218, and 251, that the Third Report and Order in CC Docket No.
92-237 and the Third Report and Order in CC Docket No. 95-155 are
hereby adopted.
5. It is further ordered that all policies, rules, and requirements
of this document are effective on November 24, 1997.
List of Subjects 47 CFR Part 52
Local exchange carrier, Numbering, Telecommunications.
Federal Communications Commission.
Shirley Suggs,
Chief, Publications Branch.
Rule Changes
Part 52 of Title 47 of the Code of Federal Regulations is amended
to read as follows:
PART 52--NUMBERING
1. The authority citation for part 52 continues to read as follows:
Authority: Sections 1, 2, 4, 5, 48 Stat. 1066, as amended; 47
U.S.C. 151, 152, 154, 155 unless otherwise noted. Interpret or apply
secs. 3, 4, 201-05, 207-09, 218, 225-7, 251-2, 271 and 332, 48 Stat.
1070, as amended, 1077; 47 U.S.C. 153, 154, 201-05, 207-09, 218,
225-7, 271 and 332 unless otherwise noted.
2. Amend Sec. 52.7 to revise paragraph (b) and adding paragraph (f)
to read as follows:
Sec. 52.7 Definitions.
* * * * *
(b) Area code relief. The term ``area code relief'' refers to the
process by which central office codes are made available when there are
few or no unassigned central office codes remaining in an existing area
code and a new area code is introduced. Area code relief includes
planning for area code ``jeopardy,'' which is a situation where central
office codes may become exhausted before an area code relief plan can
be implemented.
* * * * *
(f) Billing and Collection Agent. The term ``Billing & Collection
Agent'' (``B&C Agent'') refers to the entity responsible for the
collection of funds to support numbering administration for
telecommunications services from the United States telecommunications
industry and NANP member countries.
3. Amend Sec. 52.11 to revise paragraphs (c) and (g) and to add
paragraphs (h) and (i) to read as follows:
Sec. 52.11 North American Numbering Council.
* * * * *
(c) Initially resolving disputes, through consensus, that foster
efficient and impartial number administration in the United States by
adopting and utilizing dispute resolution procedures that provide
disputants, regulators, and the public notice of the matters at issue,
a reasonable opportunity to make oral and written presentations, a
reasoned recommended solution, and a written report summarizing the
recommendation and the reasons therefore;
* * * * *
(g) Carrying out this part as directed by the Commission;
(h) Monitoring the performance of the NANPA and the B&C Agent on at
least an annual basis; and
(i) Implementing, at the direction of the Commission, any action
necessary to correct identified problems with the performance of the
NANPA and the B&C Agent, as deemed necessary.
4. Add Sec. 52.12 to Subpart B to read as follows:
Sec. 52.12 North American Numbering Plan Administrator and B&C Agent.
The North American Numbering Plan Administrator (``NANPA'') and the
associated ``B&C Agent'' will conduct their respective operations in
accordance with this section. The NANPA and the B&C Agent will conduct
their respective operations with oversight from the Federal
Communications Commission (the ``Commission'') and with recommendations
from the North American Numbering Council (``NANC'').
(a)(1) Neutrality. The NANPA and the B&C Agent shall be non-
governmental entities that are impartial and not aligned with any
particular telecommunication industry segment. Accordingly, while
conducting their respective operations under this section, the NANPA
and B&C Agent shall ensure that they comply with the following
neutrality criteria:
(i) The NANPA and B&C Agent 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--
(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 B&C Agent, 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 and B&C Agent
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. NANC may conduct an evaluation to
determine whether the NANPA and B&C Agent meet the undue influence
criterion.
(2) Any subcontractor that performs--
(i) NANP administration and central office code administration, or
(ii) Billing and Collection functions, for the NANPA or for the B&C
Agent must also meet the neutrality criteria described in paragraph
(a)(1).
(b) Term of administration. The NANPA shall provide numbering
administration, including central office code administration, for the
United States portion of the North American Numbering Plan (``NANP'')
for an initial period of five (5) years. At any time prior to the
termination of the initial or subsequent term of administration, such
term may be renewed for up to five (5) years with the approval of the
Commission and the agreement of the NANPA. The B&C Agent shall provide
billing and collection functions for an initial period of five (5)
years. At any time prior to the termination of the initial or
subsequent term of administration, such term may be renewed for up to
five (5) years with the approval of the Commission and the agreement of
the B&C Agent.
(c) Changes to regulations, rules, guidelines or directives. In the
event that
[[Page 55181]]
regulatory authorities or industry groups (including, for example, the
Industry Numbering Committee--INC, or its successor) issue rules,
requirements, guidelines or policy directives which may affect the
functions performed by the NANPA and the B&C Agent, the NANPA and the
B&C Agent shall, within 10 business days from the date of official
notice of such rules, requirements, guidelines or policy directives,
assess the impact on its operations and advise the Commission of any
changes required. NANPA and the B&C Agent shall provide written
explanation why such changes are required. To the extent the Commission
deems such changes are necessary, the Commission will recommend to the
NANP member countries appropriate cost recovery adjustments, if
necessary.
(d) Performance review process. NANPA and the B&C Agent shall
develop and implement an internal, documented performance monitoring
mechanism and shall provide such performance review on request of the
Commission on at least an annual basis. The annual assessment process
will not preclude telecommunications industry participants from
identifying performance problems to the NANPA, the B&C Agent and the
NANC as they occur, and from seeking expeditious resolution. If
performance problems are identified by a telecommunications industry
participant, the NANC, B&C Agent or NANPA shall investigate and report
within 10 business days of notice to the participant of corrective
action, if any, taken or to be taken. The NANPA, B&C Agent or NANC (as
appropriate) shall be permitted reasonable time to take corrective
action, including the necessity of obtaining the required consent of
the Commission.
(e) Termination. If the Commission determines at any time that the
NANPA or the B&C Agent fails to comply with the neutrality criteria set
forth in paragraph (a) of this section or substantially or materially
defaults in the performance of its obligations, the Commission shall
advise immediately the NANPA or the B&C Agent of said failure or
default, request immediate corrective action, and permit the NANPA or
B&C Agent reasonable time to correct such failure or default. If the
NANPA or B&C Agent is unwilling or unable to take corrective action,
the Commission may, in a manner consistent with the requirements of the
Administrative Procedure Act and the Communications Act of 1934, as
amended, take any action that it deems appropriate, including
termination of the NANPA's or B&C Agent's term of administration.
(f) Required and optional enterprise services. Enterprise Services,
which are services beyond those described in Sec. 52.13 that may be
provided by the new NANPA for specified fees, may be offered with prior
approval of the Commission.
(1) Required Enterprise Services. At the request of a code holder,
the NANPA shall, in accordance with industry standards and for
reasonable fees, enter certain routing and rating information, into the
industry-approved database(s) for dissemination of such information.
This task shall include reviewing the information and assisting in its
preparation.
(2) Optional Enterprise Services. The NANPA may, subject to prior
approval and for reasonable fees, offer ``Optional Enterprise
Services'' which are any services not described elsewhere in this
section.
(3) Annual report. NANPA shall identify and record all direct costs
associated with providing Enterprise Services separately from the costs
associated with the non-enterprise NANPA functions. The NANPA shall
submit an annual report to the NANC summarizing the revenues and costs
for providing each Enterprise Service. NANPA shall be audited by an
independent auditor after the first year of operations and every two
years thereafter, and submit the report to the Commission for
appropriate review and action.
5. Amend Sec. 52.13 to revise paragraph (b) and to add paragraphs
(c), (d), (e) (f) and (g) to read as follows:
Sec. 52.13 North American Numbering Plan Administrator.
* * * * *
(b) The NANPA shall administer the numbering resources identified
in paragraph (d) of this section. It shall assign and administer NANP
resources in an efficient, effective, fair, unbiased, and non-
discriminatory manner consistent with industry-developed guidelines and
Commission regulations. It shall support the industry's efforts to
accommodate current and future numbering needs. It shall perform
additional functions, including but not limited to:
(1) Ensuring the efficient and effective administration and
assignment of numbering resources by performing day-to-day number
resource assignment and administrative activities;
(2) Planning for the long-term need for NANP resources to ensure
the continued viability of the NANP by implementing a plan for number
resource administration that uses effective forecasting and management
skills in order to make the industry aware of the availability of
numbering resources and to meet the current and future needs of the
industry;
(3) Complying with guidelines of the North American Industry
Numbering Committee (INC) or its successor, related industry
documentation, Commission regulations and orders, and the guidelines of
other appropriate policy-making authorities, all of which may be
modified by industry fora or other appropriate authority;
(4) Providing management supervision for all of the services it
provides, including responsibility for achieving performance measures
established by the NANC and the INC in industry guidelines;
(5) Participating in the NANC annual performance review as
described in Secs. 52.11 and 52.12;
(6) Establishing and maintaining relationships with current
governmental and regulatory bodies, and their successors, including the
United States Federal Communications Commission, Industry Canada, the
Canadian Radio-television and Telecommunications Commission, and other
United States, Canadian, and Caribbean numbering authorities and
regulatory agencies, and addressing policy directives from these
bodies;
(7) Cooperating with and actively participating in numbering
standards bodies and industry fora, such as INC and, upon request, the
Canadian Steering Committee on Numbering (CSCN);
(8) Representing the NANP to national and international numbering
bodies;
(9) Developing and maintaining communications channels with other
countries who also participate in the NANP to ensure that numbering
needs of all countries served by the NANP are met;
(10) Attending United States Study Group A meetings and maintaining
a working knowledge of Study Group 2 International Telecommunications
Union activities on behalf of the United States telecommunications
industry;
(11) Reviewing requests for all numbering resources to implement
new applications and services and making assignments in accordance with
industry-developed resource planning and assignment guidelines;
(12) Referring requests for particular numbering resources to the
appropriate industry body where guidelines do not exist for those
resources;
(13) Participating in industry activities to determine whether,
when new telecommunications services requiring numbers are proposed,
NANP numbers are appropriate and what level
[[Page 55182]]
of resource is required (e.g. line numbers, central office codes, NPA
codes);
(14) Maintaining necessary administrative staff to handle the
legal, financial, technical, staffing, industry, and regulatory issues
relevant to the management of all numbering resources, as well as
maintaining the necessary equipment, facilities, and proper billing
arrangements associated with day-to-day management of all numbering
resources;
(15) Managing the NANP in accordance with published guidelines
adopted in conjunction with the industry and the appropriate NANP
member countries' governing agencies, and referring issues to the
appropriate industry body for resolution when they have not been
addressed by the industry;
(16) Responding to requests from the industry and from regulators
for information about the NANP and its administration, as the primary
repository for numbering information in the industry;
(17) Providing upon request information regarding how to obtain
current documents related to NANP administration;
(18) Providing assistance to users of numbering resources and
suggesting numbering administration options, when possible, that will
optimize number resource utilization;
(19) Coordinating 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; and
(20) Determining the final allocation methodology for sharing costs
between NANP countries.
(c) In performing the functions outlined in paragraph (b) of this
section, the NANPA shall:
(1) Ensure that the interests of all NANP member countries are
considered;
(2) Assess fairly requests for assignments of NANP numbering
resources and ensure the assignment of numbering resources to
appropriate service providers;
(3) Develop, operate and maintain the computer hardware, software
(database) and mechanized systems required to perform the NANPA and
central office (CO) Code Administration functions;
(4) Manage projects such as Numbering Plan Area (NPA) relief (area
code relief) planning and the Central Office Code Utilization Survey
(COCUS);
(5) Facilitate NPA relief planning meetings;
(6) Participate in appropriate industry activities;
(7) Manage proprietary data and competitively sensitive information
and maintain the confidentiality thereof;
(8) Act as an information resource for the industry concerning all
aspects of numbering (i.e., knowledge and experience in numbering
resource issues, International Telecommunications Union (ITU)
Recommendation E.164, the North American Numbering Plan (NANP), NANP
Administration, INC, NANP area country regulatory issues affecting
numbering, number resource assignment guidelines, central office code
administration, relief planning, international numbering issues, etc.);
and
(9) Ensure that any action taken with respect to number
administration is consistent with this part.
(d) The NANPA and, to the extent applicable, the B&C Agent, shall
administer numbering resources in an efficient and non-discriminatory
manner, in accordance with Commission rules and regulations and the
guidelines developed by the INC and other industry groups pertaining to
administration and assignment of numbering resources, including, but
not limited to:
(1) Numbering Plan Area (NPA) codes,
(2) Central Office codes for the 809 area,
(3) International Inbound NPA 456 NXX codes,
(4) (NPA) 500 NXX codes,
(5) (NPA) 900 NXX codes,
(6) N11 Service codes,
(7) 855-XXXX line numbers,
(8) 555-XXXX line numbers,
(9) Carrier Identification Codes,
(10) Vertical Service Codes,
(11) ANI Information Integer (II) Digit Pairs,
(12) Non Dialable Toll Points, and
(13) New numbering resources as may be defined.
(e) Relationships with other NANP member countries' administrators
and authorities. The NANPA shall address policy directives from other
NANP member countries' governmental and regulatory authorities and
coordinate its activities with other NANP member countries'
administrators, if any, to ensure efficient and effective management of
NANP resources.
(f) Transition plan. The NANPA shall implement a transition plan,
subject to Commission approval, leading to its assumption of NANPA
functions within 90 days of the effective date of a Commission order
announcing the selection of the NANPA.
(g) Transfer of intellectual property. The new NANPA must make
available any and all intellectual property and associated hardware
resulting from its activities as numbering administrator including, but
not limited to, systems and the data contained therein, software,
interface specifications and supporting documentation and make such
property available to whomever NANC directs free of charge. The new
NANPA must specify any intellectual property it proposes to exclude
from the provisions of this paragraph based on the existence of such
property prior to its selection as NANPA.
6. Amend Sec. 52.15 to add paragraphs (d) and (e) to read as
follows:
Sec. 52.15 Central office code administration.
* * * * *
(d) Central Office (CO) Code Administration functional
requirements. The NANPA shall manage the United States CO code
numbering resource, including CO code request processing, NPA code
relief and jeopardy planning, and industry notification functions. The
NANPA shall perform its CO Code Administration functions in accordance
with the published industry numbering resource administration
guidelines and Commission orders and regulations at 47 CFR chapter I.
Subject to the approval of the Commission, the NANPA shall develop a
transition plan to transfer CO code assignment from the current
administrators to itself and shall submit this plan to the Commission
within 90 days of the effective date of a Commission order announcing
the selection of the NANPA. The NANPA shall complete the transfer of CO
code assignment functions from existing administrators to itself no
more than 18 months after the NANPA has assumed all of said
administrators' current NANPA function.
(e) The new NANPA shall perform the numbering administration
functions currently performed by Bellcore, and the CO code
administration functions currently performed by the eleven CO code
administrators, at the price agreed to at the time of its selection.
The new NANPA may request from NANC, with subsequent approval by the
Commission, an adjustment in this price if the actual number of CO Code
assignments made per year, the number of NPAs requiring relief per year
or the number of NPA relief meetings per NPA exceeds 120% of the
NANPA's stated assumptions for the tasks at the time of its selection.
7. Add Sec. 52.16 to Subpart B to read as follows:
[[Page 55183]]
52.16 Billing and Collection Agent.
The B&C Agent shall:
(a) Calculate, assess, bill and collect payments for numbering
administration functions and distribute funds to NANPA on a monthly
basis;
(b) Design a standard Reporting Worksheet to collect information
for assessment calculations from carriers and distribute it to carriers
and other NANP nations; this worksheet must be submitted to the
Commission for its review and approved by OMB prior to its use by the
B&C Agent.
(c) Keep confidential all data obtained from carriers and not
disclose such data in company-specific form unless authorized by the
Commission. The B&C Agent shall use such data only for calculating,
collecting and verifying payments;
(d) Develop procedures to monitor industry compliance with
reporting requirements and propose specific procedures to address
reporting failures and late payments;
(e) File annual reports with the appropriate regulatory authorities
of the NANP member countries as requested; and
(f) Obtain an audit from an independent auditor after the first
year of operations and annually thereafter, which shall evaluate the
validity of calculated payments. The B&C Agent shall submit the audit
report to the Commission for appropriate review and action.
[FR Doc. 97-27946 Filed 10-22-97; 8:45 am]
BILLING CODE 6712-01-P
