[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