Draft-New York Interim Number Pooling

Thousands Block (NXX-X) Assignment Guidelines

PHASE 1

TABLE OF CONTENTS

revised 5/1/98

1.0 Purpose and Scope of This Document

This document specifies interim Phase 1 guidelines for the assignment processes of thousands blocks (NXX-Xs) to service providers for use at a switching entity or point of interconnection (POI) they own or control. In addition, these guidelines outline the processes between the Pooling Administrator, Code Holder and Block Holder

Number pooling allows for sharing of central office codes (NXXs) to multiple service providers serving the same rate center. All ten thousand numbers within each NXX continue to be assigned to one rate center, but can be shared among multiple service providers at the thousands-block (NXX-X) level. Examples of uses for blocks for which these guidelines apply include plain old telephone service (POTS), Centrex, Direct Inward Dialing (DID), wireless service , data lines, facsimile, and coin phones. The industry shall define the number of rate centers within the 212 NPA to provide for appropriate block allocation and tracking.

Phase 1 Interim Telephone Number Pooling is defined as an abbreviated version of the limited scope of interim telephone number pooling for New York and will be applicable only for the 212 NPA. This abbreviated version of the limited scope of interim number pooling will begin on July 1, 1998 when Service Providers have made their initial donation of donated thousands blocks to the interim Industry Pool Administrator for assignment by that interim administrator.the interim Pooling Administrator. Thousand blocks that are donated will consist of only non-contaminated blocks. The Industry Pool established under Phase 1 is expected to be administered by the interim pooling administrator for a period of 12 to 18 months after July 1, 1998.

These guidelines are not ado not comprehensive discussion of the use of supersede appropriate North American Numbering Plan Area (NANP) resources, NANP area governmental or regulatory principles, procedures, and requirements.

Where number pooling has not been implemented, or is not in use by the service provider, applicants are considered Code Holders and are still eligible to receive and shall apply directly to the CO Code Administrator for CO Code (NXX) assignments.numbering resources. Guidelines addressing the assignment of central office codes (NXX) are covered under the Central Office (NXX) Assignment Guidelines (INC 95-0407-008). Additionally, Service Providers that have donated thousand blocks to the Industry Pool are still eligible to receive assignment of NXX codes as described in the Central Office (NXX) Assignment Guidelines.

2.0 Considerations, Assumptions and Constraints

The development of the assignment guidelines include the following assumptions and constraints:

2.1 NANP resources, including those covered in these guidelines, are collectively managed by the North American Telecommunications industry with oversight of the North American regulatory authorities, including the NY -PSC.

The NANP resources are considered a public resource and are not owned by the assignees or the administrator. Consequently, the resources cannot be sold, brokered, bartered, or leased by the assignee for a fee or other consideration.

If a resource is sold, brokered, bartered, or leased for a fee, the resource is subject to reclamation by the Pooling Administrator.

2.2 Section Intentionally omitted. NANP numbering resources shall be assigned to implement the most effective and efficient use of a finite numbering resource in order to prevent premature exhaust of the NANP and delay the need to develop and implement costly new numbering plans. Efficient resource management and code conservation are necessary due to the industry impacts of expanding the numbering resource (e.g., expansion from 10 to 11 digits). Impacts to the industry include:

1. Customer impacts (e.g., dialing, number changes to advertising and stationary, security systems, etc.)

 

2. CPE modifications

 

3. Domestic and international switching hardware and software modifications

 

4. Operational support systems modifications

 

5. Reprogramming of non-telecommunications data bases that contain telephone numbers.

3. 2.3

2.3.1 These Phase 1 guidelines are interim and were developed to operate under a Port-On-Demand architecture environment in the NY NPAs affected by number pooling.

2.3.2 These guidelines are intended to remain in place until national guidelines are developed and implemented.

2.4 These assignment guidelines apply only to the assignment of thousands blocks to block applicants serving rate centers: a) that are subject to pooling by industry agreement or regulatory directive from the New York Public Service Commission or both, and b) where permanent service provider number portability (LNP-LRN) has been implemented by the block applicant.

2.5 These guidelines do not address the issue of who will fulfill the role of interim Number Pooling Administrator(s). These guidelines were developed by the industry without any assumption on who would be the interim Number Pooling Administrator.

2.6 Applicants, utilizing resources from the pool, shall:

1. has receivedve or has applied for the appropriate regulatory approval from the New York Public Service Commission to operate in the areaa.,

 

2. be capable of contributing numbering resources to the pool,

 

3. minimize the use of blocks (NXX-X) for purposes other than assignment (e.g., test codes)

 

4. own or control an LNP capable switch serving a rate center subject to pooling.

 

 

5. be subject to audits to assure compliance with these guidelines, processes and principles (see Section 14).

 

6. minimize contamination levels of blocks in assignment practices.

3.0 Block Assignment Principles

The following assignment principles apply to all aspects of the Number Pooling Guidelines:

3.1 Where number pooling has been implemented, the Number Pooling Administrator will assign non-working numbering resources in 1,000 block increments. Resources will be available from only non-contaminated blocks.

3.2 Numbering resources in the Industry Inventory Pool shall be available and allocated to service providers in a fair and non-discriminatory manner. , including special requests for specific blocks.

3.3 The information submitted by applicants for block assignments shall be kept to a minimum and shall be uniform for all applicants. All information provided on the NXX-X request form will be considered confidential

3.4 Block assignments will be made from NXX codes assigned and utilized within a single rate center.

3.5 The Number Pooling Administrator shall attempt to satisfy all requests (i.e., technical/marketing requests) for a specific NXX-X.

3.6 Any entity that is denied the assignment of one or more blocks under these guidelines has the right to appeal that decision per Section 12.0.

3.7 There must be a technical need for an initial block assignment. Utilization criteria will not be used to justify an initial block (NXX-X) assignment. The technical need for an initial block assignment will be based upon one of the following:

1. on identification of a new switching entity,
2. physical point of interconnection (POI), or
3. unique rate center requirements consistent with regulatory restriction.

3.8 Assignments of additional blocks shall be made based upon both on technical and growth needs.

3.9 These guidelines are not intended to be used to satisfy carriers vanity number needs. Refer to Section 10.

3.10 A block applicant will request their own block from the pool, wherever possible.

3.11 Requests for assignment of blocks for other than growth or to serve a new switching entity/POI should be minimized. However, applications for such purposes can be submitted to the appropriate regulating authorities or their designate. If the appropriate regulating authorities or their designate reaches consensus that a special purpose block is warranted, the Pooling Administrator will be instructed to make the assignment. The decision to postpone or withdraw a block request is the block applicant’s responsibility and must be submitted in writing to the Pooling Administrator.

4.0 Pre-conditions and Requirement of the applicant for the Assignment of Thousand Blocks (NXX-X)

The assignment pre-conditions and requirements in the following sections shall be used by the Pooling Administrator(s) in reviewing a block request from a service provider for an initial or additional block.

4.1.1 The applicant must be licensed or certified to operate in the area, , if required, and must certify to the Pooling Administrator that all applicable regulatory authority required to provide the service for which the block is required has been obtained.

4.1.2 The applicant must certify a need for a 1,000 block for both initial and additional blocks.

4.1.3 The applicant must submit an NXX-X request form certifying that a need exists for an NXX-X assignment to a point of interconnection or a switching entity. The NXX-X request form must provide an Operating Company Number (OCN) which uniquely identifies the applicant.

4.2 Blocks (NXX-Xs) are assigned to service providers for use at a Switching Entity or Point of Interconnection they own or control. Assignment of the initial block(s) will be used to the extent required to provide PSTN traffic as authorized or permitted by the New York Public Service Commissionappropriate regulatory or governmental authorities,, and provided all the criteria in Sections 4.1.1 through 4.1.3 are met.

4.3 For additional blocks for growth, the applicant must certify that existing numbering resources do not reasonably meet the requirements for an additional block(s). Each block holder will certify that existing blocks for the rate center switching entity/POI, per service provided by that switching entity or POI, will exhaust within 3 months. However, if a service provider is unable to utilize blocks among multiple switches within the rate area, the certification of existing blocks will be per switching entity/POI per service provided by that switching entity or POI. In addition, the block holder must have documented and be prepared to supply as described in this Section, Sections 2 and 3, and Section 14 (Compliance) supporting data in the form of:

1. Telephone Numbers (TNs) available for assignment
2. Incremental growth history for the past 3 months
3. Projected incremental demand for the coming 3 months

4.3.1 The applicant certifies that an additional block(s) are necessary for distinct or unique service needs, separate from the growth blocks as described in Section 4.3. (See Section 1.7 of Part 1 form.)

4.4 Phase 1 of NY 212 Interim Number Pooling does not provide for the reservation of thousands blocks.

0. Responsibilities of Code Holders and LERG Assignee

The following section describes the responsibilities of the Code Holder/LERG Assignee. This section also defines the relationship between the Code Holder/LERG Assignee and the Block Holder as well as the relationship between the Code Holder/LERG Assignee and the Pooling Administrator.

5.1 Code Holders shall:

1. identify eligible blocks for donation to the pool upon initial establishment of the pool,
2. provide blank and vacant code announcements prior to NPAC update.
3. blocks should not be open before the effective date associated NXX code is open.

6.0 Responsibilities of Block Applicants and Holders

Applicants, utilizing resources from the pool, shall:

1. Have documentation demonstrating that the applicant is licensed and/or certified , or has applied for regulatory approval to operate in the service area for which the central office thousands block is required
2. be technically capable of contributing numbering resources to the pool,
3. maintain data that is sufficient and can be audited to demonstrate compliance with these guidelines, (see Section 13).

6.1 Additional information and or dialog may be required by the Number Pooling .Administrator to facilitate block application processing. The Number Pooling Administrator is still required to respond within 7 calendar days (5 business days).

6.2 If a service provider is deploying a new switching entity that requires the assignment of an LRN, the block applicant will indicate on the request form the need for assignment of a new NXX to become the LERG assignee for the purpose of being assigned an LRN. Section intentionally omitted

6.3 The Application Process

6.3.1 Block applicants for initial and/or additional NXX-X block assignments shall submit their requests to the Pooling Administrator using the Number Pooling (NXX-X) Assignment Request Form.

6.3.2 There is a limit on the number of blocks that can be requested on one application form. The application form is structured per rate center (and per switch). Per switch is an optional field entry if the service provider is certifying the block at the rate center level instead of the switching entity/POI. , per switch.

6.3.3 The block applicant must accurately complete all required entries with current information on the Number Pooling (NXX-X) Assignment Request Form. Additionally, block applicant must certify that necessary governmental/regulatory authorization has been obtained to provide the service(s) for which the block is being requested. Electronic transfer will be considered as signature.

An Operating Company Number (OCN), which uniquely identifies the applicant, must be provided. The applicant can get OCN information by calling TRA.

6.3.4 The Block applicant should indicate on the assignment request form if any thousands block (i.e., 0-9) can be assigned or whether, for technical/marketing reasons, only certain thousands blocks may be assigned. The block applicant can request specific blocks on their assignment request form.

A block applicant will request their own block from the pool, wherever possible.

6.3.5 The Service Provider can refuse the assignment of a block when the block does not meet their technical/marketing constraints. However, a substitute 212 block that meets the Service Provider’s needs may not be available.s.

6.3.6 Section Intentionally Omitted.

6.3.7 When requesting additional and/or initial block assignments, applicants shall meet the requirements as described in Section 2, 3 and 4 and conform to the conditions contained therein.

6.4 Information Required For Block Allocation

1. 6.4.1 Block Applicants should request effective dates at least 28 21 (Bell Atl. Suggests 40 calendar days) calendar dcalendar days , after the date of receipt of the block request by the Pooling Administrator. However, if a service provider requires the activation a block in a shorter interval than 28 calendar days, the requested effective date should be at a minimum 10 calendar days, recognizing that customer care concerns are at risk relating to the assignment of the block. Theis 21 (40) 28 calendar day interval is necessary due a 7 calendar day interval provided for pooling administrator block assignment as well as 21 calendar daysbecause internal necessary for internal company manual processes to occur associated with implementation of interim thousand block TNP as described in section 1 of these guidelines. company notification, etc. It should be noted that interconnection arrangements and facilities need to be in place prior to activation of a block. Such arrangements are outside the scope of these guidelines.

6.4.2 A block applicant or holder will be responsible for entering NXX-X block information (LRN) into the appropriate databases for calling card validation, etc., as they currently do today. HOW IS THIS AFFECTED WITH PHASE 1?????

6.5 Ongoing Administration

6.5.1 Notification of changes

The information associated with a block assignment may change over time. Such changes may occur, for example, because of the transfer of a block to a different switching entity within the same rate center. The Pool Administrator must be notified of any changes to the information in Part 1 of the NXX-X Block Assignment Request Form. This includes changes such as, but not limited to, OCN, switching entity/POI. For data integrity reasons, the Pooling Administrator must be informed of these types of changes to ensure that an accurate record of the entity responsible for the block and the data associated with the block is accurate.

6.5.2 The holder of a NXX-X block assigned by the Administrator(s) or acquired by other means such as transfer (i.e., by merger or acquisition) must use the block consistent with these guidelines. Additionally, the new block holder must participate in the audit process.

6.5.3 Any revisions to the data already submitted on an NXX-X Block Assignment Request Form, Part 1, must be submitted to the Administrator as soon as the block holder is aware of these changes.

6.6 Block Use - Growth Requests

Block assignments are made subject to the conditions listed in Section 2, 3 and 4. A block assigned to an entity, either directly by the Pooling Administrator or through transfer from another entity, should be placed in service within 3 months after the initially published effective date. Certification of in service will be required (see Number Pooling (NXX-X) Assignment Request and Confirmation Form - Part 4). If the assignee no longer has need for the block , the block should be returned to the Pooling Administrator for reassignment. If it is determined through the audit process or other means that a block is not in use after 36 months, as noted above, the Pooling Administrator will request the return of the block.

6.7 Block Use - Initial Requests

Blocks retained by a service provider through assignment of a new NXX should follow existing requirements, as established in the Central Office Code Assignment Guidelines, for activation of these blocks. have no limit on the time period for the block to be placed in service. The quantity of these blocks to be contributed to the interim industry pool shall be a matter discussed between the service provider and the NY PSC.

6.86.1 All block holders agree to abide by the block reclamation procedures outlined in Section 9.1.

6.97 Industry Pool/NPA Planning Information

6.97.1 The service provider shall perform all functions necessary to remove the block(s) from their internal systems and donate blocks to the interim Pooling Administrator by July 1, 1998.

7.0 Requirements of Pooling Administrator

The following describes the responsibilities of the pooling administrator in: 1) assigning blocks of numbering resources to eligible service providers, 2) planning and reporting status regarding pooling resources to Industry and the NY-PSCRegulatory Authorities, and 3) General Administration processes.

7.1.1 The administrator shall accept and process applications for block requests in an efficient and timely manner, and will treat all block requests in a fair and impartial manner, consistent with assignment processing procedures. Requests for block assignments shall be responded to within ten (5) business days.

7.1.2 The administrator shall confirm that the applicant is eligible to make the request, and that the service provider has certified a need for the block assignment.

7.1.3 Section Intentionally Omitted.

7.1.4 The Pooling Administrator will work with Service Providers and will first attempt to fill requests with no specific block requirements first with the 0, 1, 8 and 9 thousand blocks.

7.1.5 The Pooling Administrator reserves the right to negotiate specific assignment of thousands blocks (e.g., which thousands block to assign) with the service provider.

7.1.6 Section Intentionally Omitted. If a specific block request(s) is made on an application, the Pooling Administrator will attempt to satisfy the request with available blocks in the pool

7.1.7 Section Intentionally Omitted.

7.1.8 Section Intentionally Omitted.

7.1.9 The Pooling Administrator will ensure that the block applicant places the block in service within the time frame specified in Section 6.6 of these guidelines. If the assigned block is not used within thethis time frame specified in Section 6.6 of these guidelines, the Pooling Administrator (s) shall request the return of the block for reassignment.

7.1.11 The Pooling Administrator shall conduct a meeting of the industry to finalize the allocation procedure of blocks from the interim industry pool. After this process is approved by the industry, it shallThe following block assignment process shall remain in effect and transition to long term target architecture number pooling in the 212 NPA, or transition to Interim Number Pooling, Phase 2..

1. Except as provided in step 3 below, a maximum of ??? thousand blocks will be assigned each month through XX/XX/99.
1. Each service provider may request no more than ??? blocks in a given month (1^st, 2^nd, 3^rd request). Each provider will be assigned one block on a first come, first served basis. If less than ??? companies apply for blocks in any given month, excess blocks will be distributed one at a time after the 15^th of the month following the same 1^st come, 1^st served basis. Applications will not carry over for any carrier receiving a block in a given month.
1. If less than ??? blocks are requested during a month, the blocks not requested will be added to the ??? blocks available for the following month.
1. If more than ??? blocks are requested during a month, blocks will be assigned on a first come, first served basis for the first ??? requests received after 9:00 a.m. (EST) on the first business day of that month; and the remaining requests will be filled the following month from that month’s allocation of ??? blocks.
1. Requests for blocks from a future month’s allocation of ??? blocks will not be accepted in advance of 9:00 a.m. (EST) on the first business day of the month.
1. The Pooling Administrator shall assign all blocks within a 7 calendar day timeframe and shall notify all service providers of such block assignments.
1. This process does not preclude the establishment of a rationing and/or lottery mechanism to ensure equitableequal access to 1,000 blocks during a jeopardy period. The industry must agree to any changes before they are implemented.

7.2.1 The pooling administrator shall prepare and publish reports as required to industry, NANPA, and the NY-PSCregulatory authorities on utilization of the industry pool.

7.2.2 The administrator shall monitor the supply of available blocks for each of the rate centers being administered

.

3. 7.2.3 The administrator shall assure the availability, based upon industry established criteria, of numbering resources within the industry inventory for a given rate center.
5. The administrator should be aware of any restrictions or conditions (i.e., such as 2 way EAS) associated an NXX from which a block or blocks has been donated.,

7.3 Section Intentionally Omitted.

7.4.1 With the initial establishment of the industry pool, the Pooling Administrator shall maintain a secure industry database, accessible to all service providers, that will include all pooled 1000 blocks, the status of the block, (i.e., assigned, non-assigned )..

7.4.2 The Pooling Administrator may arrange for and/or perform audits of service provider utilization of assigned resources, as required.

7.4.3 The Pooling Administrator will participate in and or facilitate audits, as required.

7.4.4 The Pooling Administrator shall:

The pool shall initially be established from donations of service provider embedded resources. The establishment of the industry pool is being developed through discussionsnegotiations between individual service providers and the NY PSC regarding the amount of uncontaminated thousands blocks that will be donated to the pool. The date by which all initial blocks are to be donated to the interim pooling administrator is July 1, 1998.

8.1.1 The size of the industry pool will be determined once final negotiations have concluded between individual service providers and the NY PSC. The NY PSC will advise the industry and the interim pooling administrator of the exact amount of thousands blocks that will be donated. It is anticipated that service providers will provide a one-time donation of those blocks to the industry pool by 7-1-98. It is also anticipated that the size of the pool may be increased from subsequent donations of thousands blocks from new service providers when they are assigned a new NXX code in the 212 NPA or subsequent embedded uncontaminated blocks from service providers as individually agreed to as discussed with the NY PSC . The NY PSC will be responsible for negotiations with each new service provider on a going forward basis regarding possible thousand block donations.

0. Pool Level Maintenance Procedures

The size of the industry pool will be initially established effective July 1, 1998. On a going forward basis, it is also anticipated that the size of the pool may be increased from subsequent donations of thousands blocks from new service providers when they are assigned a new NXX code in the 212 NPA. The addition of any new blocks, if any, resulting from assignment of full NXX codes to new service providers will be communicated to the Pooling Administrator from the NY PSC. Additionally, the process of block reclamation, as described in section 9.1, may result in the addition of blocks to the industry pool.

9.1 Block Recovery Procedures

Service Providers are expected to return a block if the assignee no longer provides service in the rate area associated with the NXX. This is subject to auditing procedures as defined in section 13.0.

9.1.2 The entity to which a block(s) has been assigned from the pool (as opposed to embedded base) shall return the block(s) to the Pooling Administrator if:

1. It is no longer needed by the entity for the purpose for which it was originally assigned
2. A previously used pooled block becomes available, for example, due to customer disconnection. The service it was assigned for is disconnected, or
3. The block(s) was not activated within the timeframe specified in these guidelines. There is no provision for applying for an extension on the activation of the block.

 

 

9.1.3 Section Intentionally Omitted.

 

 

9.1.4 Pooling Administrator Responsibility

The Pooling Administrator will contact any block assignee(s) identified as not having returned to the administrator for reassignment any block(s):

4. that remains unused for more than the specified 3 month interval. Assigned, but no longer in use by the assignee(s),

1. Assigned to a service no longer offered,

Assigned, but not activated within the timeframe specified in these guidelines,

2. that is not appropriately assigned but assigned merely for holding the block in the block assignee’s inventory. Assigned, but not used in conformance with these assignment guidelines,
3. A previously activated block is not now in use.

The administrator will seek clarification from the assignee(s) regarding the alleged non-use or misuse. If the assignee(s) provides an explanation satisfactory to the administrator, and in conformance with these assignment guidelines the block(s) will remain assigned. If no satisfactory explanation is provided, the administrator will issue a letter to the assignee(s) requesting returning of the assigned block(s). If a direct contact can not be made with the assignee(s) to effect the above process a registered letter will be sent to the assignee(s) address of record. The letter will request that they contact the administrator within 30 days regarding the alleged resource non-use or misuse. The block will presumed to be reclaimed and be made available for reassignment in the pool after 30 calendar days for assignment.

9.1.5 If a block is not activated within the timeframe specified in these guidelines and the administrator determines, by discussion with the block(s) assignee, that the reason for the non-activation is not within the control of the assignee(s), the administrator may extend the activation date by up to 90 days.

9.1.6 The Pooling Administrator will receive, process, and refer to the NY-PSCappropriate regulating authorities any application from block assignees under two instances: 1) service provider refuses and disputes return of a block, and 2) when extensions on block activation dates meets one or more of the following criteria:

1. Activation has not occurred within the 90 day extension,
2. Administrator believes that the activation has not occurred due to reasons within the assignee’s control, or
3. Assignee requests an extension in excess of 90 days.

Referral to the NY-PSCappropriate regulating authorities or their designate will include the offered reason why the extension was requested, a new proposed activation date, and the administrator’s recommended action.

The Pooling Administrator will make all returned resources available for reassignment after 21 calendar days following industry notification.

9.1.7 The Pooling Administrator will advise the regulating authority of any disputed reclamation actions.

9.1.8 Responsiblities of the New York Public Service CommissionRegulating Authorities or their Designate Responsibilities

The NY-PSCregulating authorities or their designate will:

1. Accept all referrals of disputed alleged non-use or misuse of blocks(s) from the Pooling Administrator or any other entity,
2. Investigate the referral,
3. Review referrals in the context of these assignment guidelines,
4. Attempt to resolve the referral, and
5. Direct the Pooling Administrator regarding the action, if any, to be taken.

10.0 Special Requests & Vanity Numbers

11.0 Guidelines Modifications

It may be necessary to modify the guidelines periodically to meet changing and unforeseen circumstances. Questions regarding the maintenance of the guidelines or requests for changes may be directed to:

12.0 Appeals Process

Disagreements will arise between the Pooling Administrator and block holders/applicants in the context of the administration of these guidelines. In all cases, the Pooling Administrator and block holders/applicants will make reasonable, good faith efforts to resolve such disagreements amongst themselves consistent with the guidelines prior to pursuing any appeal. Appeals may include but are not limited to one or more of the

following options:

• The block holder/applicant will have the opportunity to resubmit the matter to the Pooling Administrator for reconsideration with or without additional input.

• Guidelines interpretation/clarification questions may be referred to the Pooling Administrator. Unless otherwise mutually agreed to by the parties, these questions will be submitted in a generic manner protecting the identity of the appellant.

• The Pooling Administrator(s) and block holders/applicant may pursue the disagreement with the NY-PSCappropriate regulatory authorities or their designate.

Requests for modification of these interim guidelines can be pursued as described in Section 11 of the guidelines.

The following section addresses compliance monitoring with respect to Interim Number Pooling Thousands Block Assignment Guidelines.

The audit should examine:

1. overall compliance with these interim guidelines and applicable FCC rules and other regulatory requirements,

2. Files and records relating to NANP resources. This includes examining a random sample for completeness and accuracy as well as compliance with time intervals specified in these guidelines.

To achieve the benefits of an audit process, various principles and benchmarks contained within these guidelines should be considered during an audit. These principles are reflective of the anticipated benefits of an audit while the benchmarks provide an objective measurement of the degree to which the principles are being met. Examples of these principles and the associated benchmarks are as follows:

14.0 Glossary