[Federal Register Volume 65, Number 117 (Friday, June 16, 2000)]
[Rules and Regulations]
[Pages 37703-37709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-15199]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 52

[CC Docket No. 99-200; FCC 00-104]


Numbering Resource Optimization

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: This document implements numbering resource optimization 
measures which will minimize the negative impact on consumers of 
premature area code exhausts; ensure sufficient access to numbering 
resources for all service providers to enter into or to compete in 
telecommunications markets; avoid, at least delay, exhaust of the NANP 
and the need to expand the NANP; impose the least societal cost 
possible, and ensure competitive neutrality, while obtaining the 
highest benefit; ensure that no class of carrier or consumer is unduly 
favored or disfavored by our optimization efforts, and minimize the 
incentives for carriers to build and carry excessively large 
inventories of numbers.

DATES: The rules in this document are effective July 17, 2000, except 
for Sec. 52.15(f) which contains information collection requirements 
that have not been approved by the Office of Management and Budget 
(OMB). The Federal Communications Commission will publish a document in 
the Federal Register announcing the effective date of Sec. 52.15(f).

ADDRESSES: Federal Communications Commission, Secretary, 445 12th 
Street, SW, Room TW-B204F, Washington, DC 20554.

FOR FURTHER INFORMATION CONTACT: Aaron Goldberger, (202) 418-2320 or 
email at [email protected] or Cheryl Callahan at (202) 418-2320 or 
[email protected].

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report 
and Order adopted on March 17, 2000, and released on March 31, 2000. 
The full text of this Report and Order is available for inspection and 
copying during normal business hours in the FCC Reference Center, 445 
12th Street, SW, Washington, DC 20554. The complete text may also be 
obtained through the world wide web, at http://www.fcc.gov/Bureaus/CommonCarrier/Orders, or may be purchased from the Commission's copy 
contractor, International Transcription Services, Inc., 1231 20th 
Street, NW, Washington, DC 20036.

[[Page 37704]]

Synopsis of Report and Order

    1. In this Report and Order the Commission adopted administrative 
and technical measures that will allow us to monitor more closely the 
way numbering resources are used within the NANP. Specifically, we 
adopted a mandatory data reporting requirement, a uniform set of 
categories of numbers for which carriers must report their utilization, 
and a utilization threshold framework to increase carrier 
accountability and incentives to use numbers efficiently.
    2. In addition, the Commission adopted a system for allocating 
numbers in blocks of one thousand, rather than ten thousand, wherever 
possible (``thousands-block number pooling''), and establish a plan for 
national rollout of thousands-block number pooling. Furthermore, we 
adopt numbering resource reclamation requirements to ensure the return 
of unused numbers to the NANP inventory for assignment to other 
carriers.
    3. The Commission also mandated sequential assignment of numbering 
resources within thousands blocks to facilitate reclamation and the 
establishment of thousands-block number pools.
    4. The Commission addressed and resolved two of the major factors 
that contribute to numbering resource exhaust: the absence of 
regulatory, industry or economic control over requests for numbering 
resources, which permits carriers to abuse the allocation system and 
stockpile numbers, and the allocation of numbers in blocks of 10,000, 
irrespective of the carrier's actual need for new numbers.
    5. In initially concentrating on these two areas, the Commission 
does not intend to abandon our examination of those optimization 
measures not specifically addressed in this Report and Order. To the 
contrary, we intend to pursue all viable methods available to us to 
increase the life of each area code and of the NANP as a whole and to 
forestall, as long as possible, the need for area code relief and 
ultimately for the expansion of the NANP. We first focus on the above-
noted measures because we are convinced that they can be implemented 
quickly and will produce immediate and measurable results. We intend to 
address the remaining issues discussed in the Notice of Proposed 
Rulemaking (64 FR 32471, June 17, 1999) as well as the additional 
issues raised in the Further Notice of Proposed Rulemaking in 
subsequent orders as expediently as possible.

Paperwork Reduction Act of 1995 Analysis

    6. The actions contained in this Report and Order have been 
analyzed with respect to the Paperwork Reduction Act of 1995 and found 
to impose a new reporting requirement or burden on the public. The 
rules in this document are effective July 17, 2000, except for 
Sec. 52.15(f) which contains information collection requirements that 
have not been approved by the Office of Management and Budget (OMB). 
The Federal Communications Commission will publish a document in the 
Federal Register announcing the effective date.

Final Regulatory Flexibility Analysis

    7. As required by the Regulatory Flexibility Act, 5 U.S.C. 603 
(RFA), an Initial Regulatory Flexibility Analysis (IRFA) was 
incorporated into the Notice. The Commission sought written public 
comment on the proposals in the Notice, including comment on the IRFA. 
There were no comments received on the IRFA. This present Final 
Regulatory Flexibility Analysis (FRFA) conforms to the RFA, as amended 
by the Contract with America Advancement Act of 1996 (CWAAA), Public 
Law 104-121, 100 Stat. 847 (1996).
    8. Need for and Objectives of this Report and Order. In the Notice 
the Commission sought public comment on how best to create national 
standards for numbering resource optimization. In doing so, the primary 
objective was to ensure sufficient access to numbering resources for 
all service providers that need them to enter into or to compete in 
telecommunications markets; avoid, or at least delay, exhaust of the 
NANP and the need to expand the NANP; minimize the negative impact on 
consumers; impose the least cost possible, in a competitively neutral 
manner, while obtaining the highest benefit. To ensure that no class of 
carrier or consumer is unduly favored or disfavored by our numbering 
resource optimization efforts; and minimize the incentives for building 
and carrying excessively large inventories of numbers.
    9. In this Report and Order the Commission adopted administrative 
and technical measures that will allow it to monitor more closely the 
way numbering resources are used within the NANP. Specifically, we 
adopt a mandatory data reporting requirement, a uniform set of 
categories of numbers for which carriers must report their utilization, 
and a utilization threshold framework to increase carrier 
accountability and incentives to use numbers efficiently. In addition, 
we adopt a system for allocating numbers in blocks of one thousand, 
rather than ten thousand, wherever possible (``thousands-block number 
pooling''), and establish a plan for national rollout of thousands-
block number pooling. Furthermore, we adopt numbering resource 
reclamation requirements to ensure the return of unused numbers to the 
NANP inventory for assignment to other carriers. We also mandate 
sequential assignment of numbering resources within thousands blocks to 
facilitate reclamation and the establishment of thousands-block number 
pools.
    10. Description and Estimate of the Number of Small Entities That 
May Be Affected by this Report and Order. The RFA directs agencies to 
provide a description of, and, where feasible, an estimate of the 
number of small entities that may be affected by the proposed rules, if 
adopted.\1\ The Regulatory Flexibility Act defines the term ``small 
entity'' as having the same meaning as the terms ``small business,'' 
``small organization,'' and ``small business concern'' under section 3 
of the Small Business Act.\2\ A small business concern is one which: 
(1) Is independently owned and operated; (2) is not dominant in its 
field of operation; and (3) satisfies any additional criteria 
established by the SBA.\3\
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    \1\ 5 U.S.C. 603(b)(3).
    \2\ Id. at 601(3).
    \3\ Id. at 632.
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    11. In this FRFA, we have considered the potential impact of this 
Report and Order on all users of telephone numbering resources. The 
small entities possibly affected by these rules include wireline, 
wireless, and other entities, as described below. The SBA has defined a 
small business for Standard Industrial Classification (SIC) categories 
4,812 (Radiotelephone Communications) and 4,813 (Telephone 
Communications, Except Radiotelephone) to be small entities having no 
more than 1,500 employees.\4\ Although some affected incumbent local 
exchange carriers (ILECs) may have 1,500 or fewer employees, we do not 
believe that such entities should be considered small entities within 
the meaning of the RFA because they are either dominant in their field 
of operations or are not independently owned and operated, and 
therefore by definition are not ``small entities'' or ``small business 
concerns'' under the RFA. Accordingly, our use of the terms ``small 
entities'' and ``small businesses'' does not encompass small ILECs. Out 
of an abundance of caution, however, for regulatory flexibility

[[Page 37705]]

analysis purposes, we will separately consider small ILECs within this 
analysis and use the term ``small ILECs'' to refer to any ILECs that 
arguably might be defined by the SBA as ``small business concerns.'' 
\5\
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    \4\ 13 CFR 121.201.
    \5\ See 13 CFR 121.201, SIC code 4813. Since the time of the 
Local Competition decision, 61 FR 45476 (Aug. 29, 1996), the 
Commission has consistently addressed in its regulatory flexibility 
analyses the impact of its rules on such ILECs.
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    12. The most reliable source of information regarding the total 
numbers of certain common carrier and related providers nationwide, as 
well as the numbers of commercial wireless entities, appears to be data 
the Commission publishes annually in its Carrier Locator: Interstate 
Service Providers Report (Locator).\6\ These carriers include, inter 
alia, local exchange carriers, competitive local exchange carriers, 
interexchange carriers, competitive access providers, satellite service 
providers, wireless telephony providers, operator service providers, 
pay telephone operators, providers of telephone toll service, providers 
of telephone exchange service, and resellers.
    13. Total Number of Companies Affected. The U.S. Bureau of the 
Census (Census Bureau) reports that, at the end of 1992, there were 
3,497 firms engaged in providing telephone services, as defined 
therein, for at least one year.\7\ This number contains a variety of 
different categories of carriers, including local exchange carriers, 
interexchange carriers, competitive access providers, cellular 
carriers, mobile service carriers, operator service providers, pay 
telephone operators, personal communications services providers, 
covered specialized mobile radio providers, and resellers. It seems 
certain that some of those 3,497 telephone service firms may not 
qualify as small entities or small ILECs because they are not 
``independently owned and operated.'' \8\ For example, a PCS provider 
that is affiliated with an interexchange carrier having more than 1,500 
employees would not meet the definition of a small business. It is 
reasonable to conclude that fewer than 3,497 telephone service firms 
are small entity telephone service firms or small ILECs that may be 
affected by the proposed rules, if adopted.
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    \6\ FCC, Carrier Locator: Interstate Service Providers at 1-2. 
This report lists 3,604 companies that provided interstate 
telecommunications service as of December 31, 1997 and was compiled 
using information from Telecommunications Relay Service (TRS) Fund 
Worksheet filed by carriers (Jan. 1999).
    \7\ U.S. Department of Commerce, Bureau of the Census, 1992 
Census of Transportation, Communications, and Utilities: 
Establishment and Firm Size, at Firm Size 1-123 (1995) (1992 
Census).
    \8\ See generally 15 U.S.C. 632(a)(1).
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    14. Local Service Providers. There are two principle providers of 
local telephone service; ILECS and competitive local service providers. 
Neither the Commission nor the SBA has developed a definition for small 
providers of local exchange services (LECs). The closest applicable 
definition under the SBA rules is for telephone communications 
companies other than radiotelephone (wireless) companies.\9\ According 
to data set forth in the FCC Statistics of Communications Common 
Carriers (SOCC), 34 ILECs have more than 1,500 employees.\10\ We do not 
have data specifying the number of these carriers that are either 
dominant in their field of operations or are not independently owned 
and operated, and thus are unable at this time to estimate with greater 
precision the number of ILECs that would qualify as small business 
concerns under the SBA's definition. Consequently, we estimate that 
fewer than 1,376 ILECs are small entities that may be affected by the 
proposed rules, if adopted.
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    \9\ Id.
    \10\ SOCC at Table 2.9.
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    15. We have included small incumbent LECs in this present RFA 
analysis. As noted above, a ``small business'' under the RFA is one 
that, inter alia, meets the pertinent small business size standard 
(e.g., a telephone communications business having 1,500 or fewer 
employees), and ``is not dominant in its field of operation.'' \11\ The 
SBA's Office of Advocacy contends that, for RFA purposes, small 
incumbent LECs are not dominant in their field of operation because any 
such dominance is not ``national'' in scope.\12\ We have therefore 
included small incumbent LECs in this RFA analysis, although we 
emphasize that this RFA action has no effect on FCC analyses and 
determinations in other, non-RFA contexts.
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    \11\ 5 U.S.C. 601(3).
    \12\ Letter from Jere W. Glover, Chief Counsel for Advocacy, 
SBA, to William E. Kennard, Chairman, FCC (May 27, 1999). The Small 
Business Act contains a definition of ``small business 
concern,''which the RFA incorporates into its own definition of 
``small business.'' See 15 U.S.C. 632(a) (Small Busines Act); 5 
U.S.C. 601(3)(RFA). SBA regulations interpret ``small business 
concern'' to include the concept of dominance on a national basis. 
13 CFR 121.102(b). Since 1996, out of an abundance of caution, the 
Commission has included small incumbent LECs in its regulatory 
flexibility analyses. See, e.g., Implementation of the Local 
Competition Provisions of the Telecommunications Act of 1996. First 
Report and Order. 11 FCC Rcd 15499, 16144-45 (1996), 61 FR 45476 
(Aug. 29, 1996)
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    16. Competitive Local Service Providers. This category includes 
competitive access providers (CAPs), competitive local exchange 
providers (CLECs), shared tenant service providers, local resellers, 
and other local service providers. Neither the Commission nor the SBA 
has developed a definition of small entities specifically applicable to 
competitive local service providers. The closest applicable definition 
under the SBA rules is for telephone communications companies other 
than radiotelephone (wireless) companies.\13\ According to the most 
recent Locator data, 145 carriers reported that they were engaged in 
the provision of competitive local service.\14\ We do not have data 
specifying the number of these carriers that are not independently 
owned or operated, and thus are unable at this time to estimate with 
greater precision the number of competitive local service providers 
that would qualify as small business concerns under the SBA's 
definition. Consequently, we estimate that there are fewer than 145 
small entity competitive local service providers that may be affected 
by the proposed rules, if adopted.
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    \13\ 13 CFR 121.201, SIC code 4813.
    \14\ Locator at 1-2.
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    17. Providers of Toll Service. The toll industry includes providers 
of interexchange services (IXCs), satellite service providers and other 
toll service providers, primarily resellers. Neither the Commission nor 
the SBA has developed a definition of small entities specifically 
applicable to providers of toll service. The closest applicable 
definition under the SBA rules is for telephone communications 
companies other than radiotelephone (wireless) companies.\15\ According 
to the most recent Locator data, 164 carriers reported that they were 
engaged in the provision of toll services.\16\ We do not have data 
specifying the number of these carriers that are not independently 
owned and operated or have more than 1,500 employees, and thus are 
unable at this time to estimate with greater precision the number of 
toll providers that would qualify as small business concerns under the 
SBA's definition. Consequently, we estimate that there are fewer than 
164 small entity toll providers that may be affected by the proposed 
rules, if adopted.
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    \15\ 13 CFR 121.201, SIC code 4813.
    \16\ Locator at 1-2.
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    18. Resellers. This category includes toll resellers, operator 
service providers, pre-paid calling card providers, and other toll 
service providers. Neither the Commission nor the SBA has developed a 
definition of small entities specifically applicable to resellers. The 
closest

[[Page 37706]]

applicable SBA definition for a reseller is a telephone communications 
company other than radiotelephone (wireless) companies.\17\ According 
to the most recent Locator data, 405 carriers reported that they were 
engaged in the resale of telephone service.\18\ We do not have data 
specifying the number of these carriers that are not independently 
owned or operated, and thus are unable at this time to estimate with 
greater precision the number of resellers that would qualify as small 
business concerns under the SBA's definition. Consequently, we estimate 
that there are fewer than 405 small entity resellers that may be 
affected by the proposed rules, if adopted.
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    \17\ 13 CFR 121.201, SIC code 4813.
    \18\ Locator at 1-2.
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    19. Wireless Telephony and Paging and Messaging. Wireless telephony 
includes cellular, personal communications service (PCS) or specialized 
mobile radio (SMR) service providers. Neither the Commission nor the 
SBA has developed a definition of small entities applicable to cellular 
licensees, or to providers of paging and messaging services. The 
closest applicable SBA definition for a reseller is a telephone 
communications company other than radiotelephone (wireless) 
companies.\19\ According to the most recent Locator data, 732 carriers 
reported that they were engaged in the provision of wireless telephony 
and 137 companies reported that they were engaged in the provision of 
paging and messaging service.\20\ We do not have data specifying the 
number of these carriers that are not independently owned or operated, 
and thus are unable at this time to estimate with greater precision the 
number that would qualify as small business concerns under the SBA's 
definition. Consequently, we estimate that fewer than 732 carriers are 
engaged in the provision of wireless telephony and fewer than 137 
companies are engaged in the provision of paging and messaging service.
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    \19\ 13 CFR 121.201, SIC code 4813.
    \20\ Locator at 1-2.
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    20. Cable and Pay Television Service Providers. The SBA has 
developed a definition of small entities for cable and other pay 
television services, which includes all such companies generating $11 
million or less in revenue annually.\21\ This definition includes cable 
systems operators, closed circuit television services, direct broadcast 
satellite services, multi-point distribution systems, satellite master 
antenna systems and subscription television services. According to the 
Census Bureau data from 1992, there were 1,788 total cable and other 
pay television services and 1,423 had less than $11 million in 
revenue.\22\
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    \21\ 13 CFR 121.201, SIC code 4841.
    \22\ 1992 Economic Census Industry and Enterprise Receipts Size 
Report, Table 2D, SIC code 4841 (U.S. Bureau of the Census data 
under contract to the Office of Advocacy of the U.S. Small Business 
Administration).
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    21. The Commission has developed its own definition of a small 
cable system operator for the purposes of rate regulation. Under the 
Commission's rules, a ``small cable company'' is one serving fewer than 
400,000 subscribers nationwide.\23\ Based on our most recent 
information, we estimate that there were 1,439 cable operators that 
qualified as small cable system operators at the end of 1995.\24\ Since 
then, some of those companies may have grown to serve over 400,000 
subscribers, and others may have been involved in transactions that 
caused them to be combined with other cable operators. Consequently, we 
estimate that there are fewer than 1,439 small entity cable system 
operators.
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    \23\ 47 CFR 76.901(e). The Commission developed this definition 
based on its determination that a small cable system operator is one 
with annual revenues of $100 million or less. Implementation of 
Sections of the 1992 Cable Act: Rate Regulation, Sixth Report and 
Order and Eleventh Order on Reconsideration, 10 FCC Rcd 7393 (1995), 
60 FR 10534 (Feb. 27, 1995).
    \24\ Paul Kagan Associates, Inc., Cable TV Investor, Feb. 29, 
1996 (based on figures for Dec. 30, 1995).
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    22. The Communications Act also contains a definition of a small 
cable system operator, which is ``a cable operator that, directly or 
through an affiliate, serves in the aggregate fewer than 1 percent of 
all subscribers in the United States and is not affiliated with any 
entity or entities whose gross annual revenues in the aggregate exceed 
$250,000,000.'' \25\ The Commission has determined that there are 
66,000,000 subscribers in the United States. Therefore, we found that 
an operator serving fewer than 660,000 subscribers shall be deemed a 
small operator, if its annual revenues, when combined with the total 
annual revenues of all of its affiliates, do not exceed $250 million in 
the aggregate.\26\ Based on available data, we find that the number of 
cable operators serving 660,000 subscribers or less totals 1,450.\27\ 
We do not request nor do we collect information concerning whether 
cable system operators are affiliated with entities whose gross annual 
revenues exceed $250,000,000,\28\ and thus are unable at this time to 
estimate with greater precision the number of cable system operators 
that would qualify as small cable operators under the definition in the 
Communications Act. It should be further noted that recent industry 
estimates project that there will be a total of 66,000,000 subscribers, 
and we have based our fee revenue estimates on that figure.
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    \25\ 47 U.S.C. 543(m)(2).
    \26\ 47 CFR 76.1403(b).
    \27\ Paul Kagan Associates, Inc., Cable TV Investor, supra. 
    \28\ We do receive such information on a case-by-case basis only 
if a cable operator appeals a local franchise authority's finding 
that the operator does not qualify as a small cable operator 
pursuant to section 76.1403(b) of the Commission's rules. See 47 CFR 
76.1403(d).
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    23. Description of Projected Reporting, Recordkeeping, and Other 
Compliance Requirements.\29\ This Report and Order mandates the 
following information collection: All carriers that receive numbering 
resources from the NANPA (code holders), or that receive numbering 
resources from a pooling administrator in thousands-blocks (block 
holders), must report forecast and utilization data to the NANPA on a 
semi-annual basis. All carriers, except rural telephone companies as 
defined by the Communications Act of 1934, as amended, must report 
their utilization data at the thousands-block level per rate center. 
Rural telephone companies in areas where local number portability has 
not been implemented may report their utilization data at the NXX per 
rate center level. Forecast data will be reported at the thousands-
block per rate center level in pooling NPAs, and in non-pooling NPAs at 
the NXX per NPA level. Furthermore, carriers not participating in 
thousands-block number pooling must report their utilization rate along 
with the months to exhaust worksheet at the time they request 
additional numbering resources.
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    \29\ See also Notice, 64 FR 32471, for an Initial Paperwork 
Reduction Act analysis.
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    24. We require all carriers, except rural telephone companies, to 
maintain internal records of their numbering resources for all 13 
categories (5 major, and 8 subcategories) as defined in Section C. 
Carriers are to maintain this data for a period of not less than 5 
years.
    25. Other Compliance Requirements. None.
    26. Steps Taken to Minimize Significant Economic Impact on Small 
Entities and Significant Alternatives Considered. We have concluded 
that the cost of data collection will be minimized if done 
electronically. Although we have stated that all carriers must report 
their forecast and utilization data electronically, we have provided 
for more than one method. Large and mid-size carriers may submit by 
electronic file transfer similar to FTP. Smaller carriers may file 
using a

[[Page 37707]]

NANPA-developed spreadsheet format via Internet-based online access. 
Very small carriers may fax their data submissions to the NANPA. We 
find it reasonable to allow any carrier whose forecast and utilization 
data has not changed from the previous reporting period to simply 
refile the prior submission or indicate that there has been no change 
since the last reporting.
    27. Federal Rules That May Duplicate, Overlap, or Conflict With the 
Proposed Rules. None.

Ordering Clauses

    28. Accordingly, it is ordered that, pursuant to sections 1, 3, 4, 
201-205, 251 of the Communications Act of 1934, as amended, 47 U.S.C. 
151, 153, 154, 201-205, 251, and Part 52 of the Commission's rules are 
amended.
    29. It is further ordered that the amendments to Secs. 52.7 through 
52.19 of the Commission's rules as set forth in the rule changes are 
effective July 17, 2000, except for Sec. 52.15(f) which contains 
information collection requirements that have not been approved by OMB. 
The Federal Communications Commission will publish a document in the 
Federal Register announcing the effective date.
    30. It is further ordered that the Commission's Consumer 
Information Bureau, Reference Information Center, shall send a copy of 
this Report and Order and Further Notice of Proposed Rulemaking, 
including the Initial and Final Regulatory Flexibility Analyses, to the 
Chief Counsel for Advocacy of Small Business Administration.

List of Subjects in 47 CFR Part 52

    Communications common carriers, Telecommunications, Telephone.

Federal Communications Commission.
William F. Caton,
Deputy Secretary.

Rule Changes

    For reasons discussed in the preamble, the Federal Communications 
Commission amends 47 CFR part 52 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, 201-205, 207-09, 218, 
225-7, 251-2, 271 and 332 unless otherwise noted.

    2. Section 52.5 is amended by adding paragraph (i) to read as 
follows:


Sec. 52.5  Definitions.

* * * * *
    (i) Service provider. The term ``service provider'' refers to a 
telecommunications carrier or other entity that receives numbering 
resources from the NANPA, a Pooling Administrator or a 
telecommunications carrier for the purpose of providing or establishing 
telecommunications service.

    3. Section 52.7 is amended by adding paragraphs (g), (h), (i) and 
(j) to read as follows:


Sec. 52.7  Definitions.

* * * * *
    (g) Pooling Administrator (PA). The term ``Pooling Administrator'' 
refers to the entity or entities responsible for administering a 
thousands-block number pool.
    (h) Contamination. Contamination occurs when at least one telephone 
number within a block of telephone numbers is not available for 
assignment to end users or customers. For purposes of this provision, a 
telephone number is ``not available for assignment'' if it is 
classified as administrative, aging, assigned, intermediate, or 
reserved as defined in Sec. 52.15(f)(1).
    (i) Donation. The term ``donation'' refers to the process by which 
carriers are required to contribute telephone numbers to a thousands-
block number pool.
    (j) Inventory. The term ``inventory'' refers to all telephone 
numbers distributed, assigned or allocated:
    (1) To a service provider; or
    (2) To a pooling administrator for the purpose of establishing or 
maintaining a thousands-block number pool.

    4. Section 52.15 is amended by adding paragraphs (f), (g), (h), (i) 
and (j) to read as follows:


Sec. 52.15  Central office code administration.

* * * * *
    (f) Mandatory reporting requirements--(1) Number use categories. 
Numbering resources must be classified in one of the following 
categories:
    (i) Administrative numbers are numbers used by telecommunications 
carriers to perform internal administrative or operational functions 
necessary to maintain reasonable quality of service standards.
    (ii) Aging numbers are disconnected numbers that are not available 
for assignment to another end user or customer for a specified period 
of time. Numbers previously assigned to residential customers may be 
aged for no more than 90 days. Numbers previously assigned to business 
customers may be aged for no more than 360 days.
    (iii) Assigned numbers are numbers working in the Public Switched 
Telephone Network under an agreement such as a contract or tariff at 
the request of specific end users or customers for their use, or 
numbers not yet working but having a customer service order pending. 
Numbers that are not yet working and have a service order pending for 
more than five days shall not be classified as assigned numbers.
    (iv) Available numbers are numbers that are available for 
assignment to subscriber access lines, or their equivalents, within a 
switching entity or point of interconnection and are not classified as 
assigned, intermediate, administrative, aging, or reserved.
    (v) Intermediate numbers are numbers that are made available for 
use by another telecommunications carrier or non-carrier entity for the 
purpose of providing telecommunications service to an end user or 
customer. Numbers ported for the purpose of transferring an established 
customer's service to another service provider shall not be classified 
as intermediate numbers.
    (vi) Reserved numbers are numbers that are held by service 
providers at the request of specific end users or customers for their 
future use. Numbers held for specific end users or customers for more 
than 45 days shall not be classified as reserved numbers.
    (2) Reporting carrier. The term ``reporting carrier'' refers to a 
telecommunications carrier that receives numbering resources from the 
NANPA, a Pooling Administrator or another telecommunications carrier.
    (3) Data collection procedures. (i) Reporting carriers shall report 
utilization and forecast data to the NANPA.
    (ii) Reporting shall be by separate legal entity and must include 
company name, company headquarters address, OCN, parent company OCN(s), 
and the primary type of business for which the numbers are being used.
    (iii) All data shall be filed electronically in a format approved 
by the Common Carrier Bureau.
    (4) Forecast data reporting. (i) Reporting carriers shall submit to 
the NANPA a five-year forecast of their yearly numbering resource 
requirements.
    (ii) In areas where thousands-block number pooling has been 
implemented:
    (A) Reporting carriers that are required to participate in 
thousands-block number pooling shall report forecast data at the 
thousands-block (NXX-X) level per rate center;

[[Page 37708]]

    (B) Reporting carriers that are not required to participate in 
thousands-block number pooling shall report forecast data at the 
central office code (NXX) level per rate center.
    (iii) In areas where thousands-block number pooling has not been 
implemented, reporting carriers shall report forecast data at the 
central office code (NXX) level per NPA.
    (iv) Reporting carriers shall identify and report separately 
initial numbering resources and growth numbering resources.
    (5) Utilization data reporting. (i) Reporting carriers shall submit 
to the NANPA a utilization report of their current inventory of 
numbering resources. The report shall classify numbering resources in 
the following number use categories: assigned, intermediate, reserved, 
aging, and administrative. 
    (ii) Rural telephone companies, as defined in the Communications 
Act of 1934, as amended, 47 U.S.C. 153(37), that provide 
telecommunications service in areas where local number portability has 
not been implemented shall report utilization data at the central 
office code (NXX) level per rate center in those areas.
    (iii) All other reporting carriers shall report utilization data at 
the thousands-block (NXX-X) level per rate center.
    (6) Reporting frequency. (i) Reporting carriers shall file forecast 
and utilization reports semi-annually on or before February 1 for the 
preceding reporting period ending on December 31, and on or before 
August 1 for the preceding reporting period ending on June 30. 
Mandatory reporting shall commence August 1, 2000.
    (ii) State commissions may reduce the reporting frequency for NPAs 
in their states to annual. Reporting carriers operating in such NPAs 
shall file forecast and utilization reports annually on or before 
August 1 for the preceding reporting period ending on June 30, 
commencing August 1, 2000.
    (iii) A state commission seeking to reduce the reporting frequency 
pursuant to paragraph (f) (6)(ii) of this section shall notify the 
Common Carrier Bureau and the NANPA in writing prior to reducing the 
reporting frequency.
    (7) Access to data and confidentiality--States shall have access to 
data reported to the NANPA provided that they have appropriate 
protections in place to prevent public disclosure of disaggregated, 
carrier-specific data.
    (g) Applications for numbering resources--(1) General requirements. 
All applications for numbering resources must include the company name, 
company headquarters address, OCN, parent company's OCN(s), and the 
primary type of business in which the numbering resources will be used.
    (2) Initial numbering resources. Applications for initial numbering 
resources shall include evidence that:
    (i) The applicant is authorized to provide service in the area for 
which the numbering resources are being requested; and
    (ii) The applicant is or will be capable of providing service 
within sixty (60) days of the numbering resources activation date.
    (3) Growth numbering resources. (i) Applications for growth 
numbering resources shall include:
    (A) A Months-to-Exhaust Worksheet that provides utilization by rate 
center for the preceding six months and projected monthly utilization 
for the next twelve (12) months; and
    (B) The applicant's current numbering resource utilization level 
for the rate center in which it is seeking growth numbering resources.
    (ii) The numbering resource utilization level shall be calculated 
by dividing all assigned numbers by the total numbering resources in 
the applicant's inventory and multiplying the result by 100. Numbering 
resources activated in the Local Exchange Routing Guide (LERG) within 
the preceding 90 days of reporting utilization levels may be excluded 
from the utilization calculation.
    (iii) All service providers shall maintain no more than a six-month 
inventory of telephone numbers in each rate center or service area in 
which it provides telecommunications service.
    (iv) The NANPA shall withhold numbering resources from any U.S. 
carrier that fails to comply with the reporting and numbering resource 
application requirements established in this part. The NANPA shall not 
issue numbering resources to a carrier without an Operating Company 
Number (OCN). The NANPA must notify the carrier in writing of its 
decision to withhold numbering resources within ten (10) days of 
receiving a request for numbering resources. The carrier may challenge 
the NANPA's decision to the appropriate state regulatory commission. 
The state regulatory commission may affirm or overturn the NANPA's 
decision to withhold numbering resources from the carrier based on its 
determination of compliance with the reporting and numbering resource 
application requirements herein.
    (h) [Reserved]
    (i) Reclamation of numbering resources. (1) Reclamation refers to 
the process by which service providers are required to return numbering 
resources to the NANPA or the Pooling Administrator.
    (2) State commissions may investigate and determine whether service 
providers have activated their numbering resources and may request 
proof from all service providers that numbering resources have been 
activated and assignment of telephone numbers has commenced.
    (3) Service providers may be required to reduce contamination 
levels to facilitate reclamation and/or pooling.
    (4) State commissions shall provide service providers an 
opportunity to explain the circumstances causing the delay in 
activating and commencing assignment of their numbering resources prior 
to initiating reclamation.
    (5) The NANPA and the Pooling Administrator shall abide by the 
state commission's determination to reclaim numbering resources if the 
state commission is satisfied that the service provider has not 
activated and commenced assignment to end users of their numbering 
resources within six months of receipt.
    (6) The NANPA and Pooling Administrator shall initiate reclamation 
within sixty days of expiration of the service provider's applicable 
activation deadline.
    (7) If a state commission declines to exercise the authority 
delegated to it in this paragraph, the entity or entities designated by 
the Commission to serve as the NANPA shall exercise this authority with 
respect to NXX codes and the Pooling Administrator shall exercise this 
authority with respect to thousands-blocks. The NANPA and the Pooling 
Administrator shall consult with the Common Carrier Bureau prior to 
exercising the authority delegated to it in this provision.
    (j) Sequential number assignment. (1) All service providers shall 
assign all available telephone numbers within an opened thousands-block 
before assigning telephone numbers from an uncontaminated thousands-
block, unless the available numbers in the opened thousands-block are 
not sufficient to meet a specific customer request. This requirement 
shall apply to a service provider's existing numbering resources as 
well as any new numbering resources it obtains in the future.
    (2) A service provider that opens an uncontaminated thousands-block 
prior to assigning all available telephone numbers within an opened 
thousands-block should be prepared to demonstrate to the state 
commission:
    (i) A genuine request from a customer detailing the specific need 
for telephone numbers; and

[[Page 37709]]

    (ii) The service provider's inability to meet the specific customer 
request for telephone numbers from the available numbers within the 
service provider's opened thousands-blocks.
    (3) Upon a finding by a state commission that a service provider 
inappropriately assigned telephone numbers from an uncontaminated 
thousands-block, the NANPA or the Pooling Administrator shall suspend 
assignment or allocation of any additional numbering resources to that 
service provider in the applicable NPA until the service provider 
demonstrates that it does not have sufficient numbering resources to 
meet a specific customer request.

    5. Add Sec. 52.20 to read as follows:


Sec. 52.20  Thousands-block number pooling.

    (a) Definition. Thousands-block number pooling is a process by 
which the 10,000 numbers in a central office code (NXX) are separated 
into ten sequential blocks of 1,000 numbers each (thousands-blocks), 
and allocated separately within a rate center.
    (b) General requirements. Pursuant to the Commission's adoption of 
thousands-block number pooling as a mandatory nationwide numbering 
resource optimization strategy, all carriers capable of providing local 
number portability (LNP) must participate in thousands-block number 
pooling where it is implemented and consistent with the national 
thousands-block number pooling framework established by the Commission.
    (c) Donation of thousands-blocks. (1) All service providers 
required to participate in thousands-block number pooling shall donate 
thousands-blocks with less than ten percent contamination to the 
thousands-block number pool for the rate center within which the 
numbering resources are assigned.
    (2) All service providers required to participate in thousands-
block number pooling shall be allowed to maintain at least one 
thousands-block per rate center, even if the thousands-block is less 
than ten-percent contaminated, as an initial block or footprint block.
    (3) Telephone numbers assigned to customers of service providers 
from donated thousands-blocks that are contaminated shall be ported 
back to the donating service provider.
    (d) Thousands-Block Pooling Administrator. (1) The Pooling 
Administrator shall be a non-governmental entity that is impartial and 
not aligned with any particular telecommunication industry segment, and 
shall comply with the same neutrality requirements that the NANPA is 
subject to under this part.
    (2) The Pooling Administrator shall maintain no more than a six-
month inventory of telephone numbers in each thousands-block number 
pool.
[FR Doc. 00-15199 Filed 6-15-00; 8:45 am]
BILLING CODE 6712-01-P