Document:

exv10w31w1

 

Exhibit 10.31.1

EXECUTION COPY

FIRST AMENDMENT AGREEMENT

          FIRST AMENDMENT AGREEMENT (this “Amendment”), dated as of July 20, 2007 (the
“Amendment”), to the Credit Agreement (“Credit Agreement”) entered into as of
February 6, 2007, among NEUSTAR, INC., a Delaware corporation (the “Borrower”), each lender
from time to time party thereto (collectively, the “Lenders” and individually, a
“Lender”), and JPMORGAN CHASE BANK, N.A., as Administrative Agent, Swing Line Lender and L/C
Issuer (the “Administrative Agent”).

WITNESSETH:

     WHEREAS, the Borrower, the Lenders and the Administrative Agent are parties to the Credit
Agreement;

     WHEREAS, the Borrower has requested an amendment to the Credit Agreement; and

     WHEREAS, the Lenders are willing to agree to such amendments, subject to the terms and
conditions set forth herein;

     NOW, THEREFORE, in consideration of the premises and mutual covenants contained herein, the
Borrower, the Lenders and the Administrative Agent hereby agree as follows:

          1. Defined terms. Unless otherwise defined herein, all capitalized terms used herein
shall have the meanings given to them in the Credit Agreement.

          2. Amendment to Section 7.02(g). Section 7.02(g) of the Credit Agreement is
hereby amended by (i) deleting the figure “$5,000,000” and inserting in lieu thereof the
figure “$20,000,000” and (ii) deleting the figure “$20,000,000” and inserting in lieu thereof
the figure “$50,000,000”.

          3. Amendment to Section 7.03(e). Section 7.03(e) of the Credit Agreement is
hereby amended by deleting the figure “$25,000,000” and inserting in lieu thereof the figure
“$40,000,000”.

          4. Amendment to Section 7.03(l). Section 7.03(1) of the Credit Agreement is hereby
amended by deleting the figure “$5,000,000” and inserting in lieu thereof the figure
“$[20,000,000]”.

          5. Amendment to Section 7.03(m). Section 7.03 (m) of the Credit Agreement is hereby
amended by deleting the figure “$10,000,000” and inserting in lieu thereof the figure
“$20,000,000”.

          6. Amendment to Section 7.12. Section 7.12 of the Credit Agreement is hereby amended
by (i) deleting the figure “$30,000,000” and inserting in lieu thereof the figure “$50,000,000”;
and (ii) deleting the figure “$10,000,000” and inserting in lieu thereof the figure “$20,000,000”.

          7. Conditions of Amendment.

          The effectiveness of this Amendment (the “First Amendment Effective Date”) shall be
subject to the satisfaction of each of the following terms and conditions and shall not be
effective unless and until each of the following terms and conditions shall have been satisfied to
the satisfaction of the Administrative Agent and each of the Lenders:

 

2

          (a) Receipt by the Administrative Agent of (i) this Amendment duly executed by each party
hereto and an (ii) Acknowledgment and Confirmation, substantially in the form of Exhibit A hereto,
duly executed by each party thereto.

          (b) The Borrower shall pay all accrued and unpaid fees, costs and expenses in connection with
the Amendment and the transactions contemplated thereby to the extent then due and payable,
together with the reasonable out of pocket legal fees of counsel to, and expenses of, the
Administrative Agent.

          8. Representations and Warranties.

          To induce the Lenders parties hereto to enter into this Amendment, the Borrower hereby
represents and warrants to the Administrative Agent and the Lenders as of the First Amendment
Effective Date that the representations and warranties made by the Borrower in the Credit Agreement
are true and correct in all material respects on and as of the First Amendment Effective Date,
after giving effect to the effectiveness of this Amendment to the Credit Agreement, as if made on
and as of the First Amendment Effective Date, except to the extent that such representations and
warranties specifically refer to an earlier date, in which case they shall be true and correct in
all material respects as of such earlier date, and except that the representations and warranties
contained in subsections (a) and (b) of Section 5.05 shall be deemed to refer to the most recent
statements furnished pursuant to clauses (a) and (b): respectively, of Section 6.01.

          9. Miscellaneous.

          (a) The amendments set forth in this Amendment are limited precisely as written and shall not
be deemed to (i) be a consent to or a waiver of any other term or condition of the Credit Agreement
or any other Loan Document or (ii) prejudice any right or rights which any Lender may now have or
may have in the future under or in connection with the Credit Agreement or any other Loan Document.

          (b) THIS AMENDMENT AND ALL OTHER AGREEMENTS, DOCUMENTS AND INSTRUMENTS EXECUTED AND DELIVERED
IN CONNECTION WITH THIS AMENDMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF
THE STATE OF NEW YORK.

          (c) The provisions of this Amendment are severable, and if any clause or provision shall be
held invalid or unenforceable in whole or in part in any jurisdiction, then such invalidity or
unenforceability shall affect only such clause, provision or part in such jurisdiction and shall
not in any manner affect such clause, provision or part in any other jurisdiction or any other
clause or provision in this Amendment in any jurisdiction.

 

3

          (d) This Amendment shall be binding upon and inure to the benefit of the each Borrower and
their respective successors and to the benefit of, the Administrative Agent and the Lenders and
their respective successors and assigns. The rights and obligations of each Borrower under this
Amendment shall not be assigned or delegated without the prior written consent of the
Administrative Agent and the Lenders, and any purported assignment or delegation without such
consent shall be void. This Amendment may be signed in any number of counterparts with the same
effect as if all parties to this Amendment signed the same counterpart.

          (e) The Borrower agrees to pay the Administrative Agent upon demand all reasonable
expenses, including reasonable out of pocket fees of attorneys and paralegals to the
Administrative Agent, incurred by the Administrative Agent in connection with the preparation,
negotiation and execution of this Amendment and any agreements, instruments and documents executed
or furnished in connection with this Amendment.

 

4

          IN WITNESS WHEREOF, the parties hereto have caused a counterpart of this Amendment to be duly
executed and delivered as of the date first above written.

	 	 	 	 	 
	 	NEUSTAR, INC., as Borrower

 	 
	 	By:  	/s/ Jeffrey A. Babka
 	 
	 	 	Name:  	Jeffrey A. Babka 	 
	 	 	Title:  	SVP & CFO 	 
	 

 

5

	 	 	 	 	 
	 	JPMORGAN CHASE BANK, N.A., as Administrative Agent, Swing Line Leader and L/C Issuer

 	 
	 	By:  	/s/ TINA L. RUYTER
 	 
	 	 	Name:  	TINA L. RUYTER 	 
	 	 	Title:  	VICE PRESIDENT 	 
	 

 

 6

	 	 	 	 	 
	 	Signature page to the First Amendment

dated as of the day and year first above written to the

NEUSTAR, INC. Credit Agreement
 	 
	 	DEUTSCHE BANK TRUST COMPANY AMERICAS

 	 
	 	By:  	/s/ Yvonne Tilden
 	 
	 	 	Name:  	Yvonne Tilden 	 
	 	 	Title:  	Vice President 	 
	 
	 	 	 
	 	By:  	/s/ Andreas Neumeier
 	 
	 	 	Name:  	Andreas Neumeier 	 
	 	 	Title:  	Director 	 
	 

 

 6

	 	 	 	 	 
	 	Signature page to the First Amendment

dated as of the day and year first above written to the

NEUSTAR, INC. Credit Agreement
 	 
	 	
CREDIT SUISSE, NEW YORK BRANCH

 	 
	 	By:  	/s/ Alain Daoust
 	 
	 	 	Name:  	Alain Daoust 	 
	 	 	Title:  	Director 	 
	 
	 	 	 
	 	By:  	/s/ Jay Chall
 	 
	 	 	Name:  	Jay Chall 	 
	 	 	Title:  	Director 	 
	 

 

 7

	 	 	 	 	 
	 	Signature page to the First Amendment

dated as of the day and year first above written to the

NEUSTAR, INC. Credit Agreement
 	 
	 	
SUN TRUST BANK

 	 
	 	By:  	/s/ PAUL DEERIN
 	 
	 	 	Name:  	PAUL DEERIN 	 
	 	 	Title:  	VICE PRESIDENT 	 
	 

 

 

ACKNOWLEDGMENT AND CONFIRMATION

          1. Reference is made to the First Amendment, dated as of July 20, 2007 (the “First
Amendment”), to the Credit Agreement (“Credit Agreement”) entered into as of February
6, 2007, among Neustar, Inc., a Delaware corporation (the “Borrower”), each lender from
time to time party thereto (collectively, the “Lenders” and individually, a
“Lender”), and JPMorgan Chase Bank, N.A., as Administrative Agent, Swing Line Lender and
L/C Issuer (the “Administrative Agent”). Unless otherwise defined herein, capitalized
terms that are defined in the Credit Agreement are used herein as therein defined.

          2. Each of the parties hereto hereby (a) consents to the transactions contemplated by the
First Amendment and (b) agrees that such party’s obligations under the Guaranty shall remain in
full force and effect after giving effect to the First Amendment.

          3. THIS ACKNOWLEDGMENT AND CONFIRMATION SHALL BE GOVERNED BY, AND CONSTRUED AND INTERPRETED IN
ACCORDANCE WITH, THE LAW OF THE STATE OF NEW YORK

          4. This Acknowledgment and Confirmation may be executed by one or more of the parties hereto
on any number of separate counterparts (including by telecopy), and all of said counterparts taken
together shall be deemed to constitute one and the same instrument.

          IN WITNESS WHEREOF, the parties hereto have caused this Acknowledgment and Confirmation to be
duly executed and delivered by their proper and duly authorized officers as of the day and year
first above written.

[rest of page intentionally left blank]

 

 2

	 	 	 	 	 
	 	NEULEVEL, INC.

 	 
	 	By:  	/s/ Jeffrey A. Babka
 	 
	 	 	Name:  	Jeffrey A. Babka 	 
	 	 	Title:  	SVP & CFO 	 
	 
	 	ULTRADNS CORPORATION

 	 
	 	By:  	/s/ Jeffrey A. Babka
 	 
	 	 	Name:  	Jeffrey A. Babka 	 
	 	 	Title:  	SVP & CFO 	 
	 
	 	NEUSTAR NGM SERVICES, INC.

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 

	 	 	 	 	 
	 	 	 
	 	 	 
	 	 	 
	 	 	 

 

 3

	 	 	 	 	 

	 	 	 	 	 
	 	NEULEVEL, INC.

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 
	 	ULTRADNS CORPORATION

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 
	 	NEUSTAR NGM SERVICES, INC.

 	 
	 	By:  	/s/ C. H. WHIFFIN
 	 
	 	 	Name:  	C. H. WHIFFIN 	 
	 	 	Title:  	C.F.O.exv10w99

 

Exhibit 10.99

	 	 	 
	 
	 	Federal Communications Commission
	
	 	Washington, D.C. 20554

July 10, 2007

NeuStar, Inc.

46000 Center Oak Plaza,

Sterling, Virginia 20166

Attn.: Amy Putnam

			
	Re:	 	Notification of Intent to Exercise Option & Notification of Exercising of Option

Contract No. CON01000016

Dear Ms. Putnam:

In accordance with FAR Clause 52.217-9, Option to Extend the Term of the Contract, the purpose of
this letter is notify you of the Government’s intent to exercise Option Period 4e. Concurrently,
the contract is hereby unilaterally modified to exercise the Option Period. A copy of the executed
modification is enclosed.

If you have any questions regarding this matter, please contact me, on 202-418-0932 or at
anthony.wimbush@fcc.gov.

	 	 	 
	 
	 	Sincerely,

	 
	 	
	 
	 	Anthony S. Wimbush
	 
	 	Contracting Officer

 

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

1. CONTRACT ID CODE PAGE OF PAGES 1 I 1

2. AMENDMENT/MODIFICAITON NO. 0031

3. EFFECTIVE DATE 07/10/07

4. REQUISITION/PURCHASE REQ. NO.

5. PROJECT NO. (If applicable)

6. ISSUED BY CODE

FCC/ Contracts and Purchasing Center
445, 12th Street., SW
Washington, DC 20554

7. ADMINISTERED BY (If other than Item 6) CODE

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)

Neustar, Inc.
4600 Center Oak Plaza
Sterling, VA 20166

þ     9A. AMENDMENT OF SOLICITATION NO.

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NO. CON01000016

10B. DATED (SEE ITEM 11) 06/15/01

CODE FACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

o The above numbered solicitation is amended as set forth in
Item 14. The hour and date specified for receipt of Offers o is extended, o is not extended.

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of
the following methods:

(a) By completing items 8 and 15, and returning copies of the amendment; (b) By acknowledging receipt of this
amendment on each copy of the offer submitted;
or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR
ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue
of this amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter
makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

No Funding Information

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

CHECK ONE

A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER
NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

þ     C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF: FAR 52.217-9, Option to Extend the Term of the Contract

þ     D. OTHER (Specify type of modification and authority) FAR 1.6, Authority of the Contracting Officer

E. IMPORTANT: Contractor þ is not, o is required to sign this document and return ___ copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
The purpose of this unilaterally executed modification is to exercise Option Period 4d. The period of performance is hereby extended
from July 15, 2007 through August 14, 2007. Funding in the amount of $292,669.38 is funded via NANPA and will be paid by FCC Billing & Collection Agent,
Welch & Co.

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print)                    16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

UNILATERAL MODIFICATION                     Anthony S. Wimbush

15B. CONTRACTOR/OFFEROR                      15C. DATE SIGNED 16C. UNITED STATES OF AMERICA 16C. DATE SIGNED

(Signature of person authorized to sign) (Signature of Contracting Officer) 07/10/2007

NSN 7 540- 01 -152-8070
Previous edition unusable

STANDARD FORM 30 (REV. 10-83)
Prescribed by GSA FAR (48 CFR) 53.243

 

 

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE A Page 1 of 3

2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE 4. REQUISITION/PURCHASE REQ. NO. 5.
PROJECT NO. (If applicable) 0032 DATE 08/10/2007

6. ISSUED BY CODE 00001 7. ADMINISTERED BY (If other than Item 6) CODE

FCC Contracts and Purchasing Center
445 12th St., SW,
Washington, DC 20554

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)

9A. AMENDMENT OF SOLICITATION NO.
Neustar, Inc.
46000 Center Oak Plaza
Sterling, VA 20166

9B. DATED (SEE ITEM 11)

þ 10A. MODIFICATION OF CONTRACT/ORDER NO. CON01000016

þ 10B. DATED (SEE ITEM 13)

CODE            FACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

o The above numbered solicitation is amended as set forth in Item 14. The hour
and date specified for receipt of Offers o is extended, o is not extended.

Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:

(a) By completing Items 8 and 15, and returning copies of the amendment; (b) By
acknowledging receipt of this amendment on each copy of the offer submitted: or
(c) By separate letter or telegram which includes a reference to the
solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE
RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND
DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this
amendment you desire to change an offer already submitted, such change may be
made by telegram or letter, provided each telegram or letter makes reference to
the solicitation and this amendment, and is received prior to the opening hour
and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required) No Funding Information

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE
CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

CHECK ONE

o      A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET
FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

o      B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE
CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH
IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

o     C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

þ     D. OTHER (Specify type of modification and authority)
FAR 43.103 (a) 3, “MUTUAL AGREEMENT”

E. IMPORTANT: Contractor o is not, þ is required to sign this document and return 1 copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings,
including solicitation/contract subject matter where feasible.) The purpose of
this modification is to accept and incorporate Change Order Proposal (COP)
Number 48 into the contract. COP # 48 is accepted at a cost of $87,460.00. A
copy of the respective COP is attached. Funding will be via NANPA and will be
paid by FCC Billing & Collection Agent, Welch & Co.

Contractor’s Release: In consideration of the modification agreed to here in as
complete equitable adjustment for NeuStar Inc. interim P-ANI Administrator
proposal dated August 17,2007, NeuStar Inc. hereby releases the Government from any
and all liability under this contract for further equitable adjustments attribuable
to such facts or circumstances giving rise to the interim P-ANI
Administrator proposal for adjustment.

Digitally signed by Amy L. Putnam

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print) Anthony Wimbush

15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. United States of America 16C. DATE SIGNED

(Signature of person authorized to sign) (Signature of Contracting Officer) 8-21-07

NSN7540-01-152-8070

PREVIOUS EDITION

UNUS/BLE

STANDARD FORM 30 (REV. 10-83)
Prescribed by GSA FAR (48 CFR) 53.243

 

 

Line Item Summary

Document Number CON01000016/0032

Title Pooling Administrator - Neustar

Page 2 of 3

Line Item Number                    Description          Delivery Date (Start Date to End date)     

Quantity Unit of Issue     Unit Price     Total Cost

Questions may be addressed to Tony Wimbush @anthony.wimbush@fcc.gov.

No Changed Line Item Fields

Previous Total:
Modification Total:
Grand Total:

 

 

Address Detail

Title

Pooling Administrator — Neustar

Document Number

CON01000016/0032

Page

3 of 3

Shipping Addresses

Cede            Detail

0001 Org: FCC Warehouse
Addr: 9300 E. Hampton Drive

Capital Heights MD 20743
Attn: No Contacts Identified
Phone :( )  — ext.
Fax: ( )  — ext.

Invoice Addresses

Code          Detail

0001          Org: FCC /Accounts Processing Branch

Addr: Financial Operations Division

445 12th St., SW

Washington DC 20554
Attn: No Contacts Identified
Phone: ( )  —  ext.
Fax: ( )  —  ext.

 

 

 

			
	Change Order Proposal #48 re: IRNA
	 	Revised August 17, 2007

Interim p-ANI Administrator

Change Order Proposal #48

 In Response to

Federal Communications Commission (FCC)

Letter postmarked September 11, 2006

Revised August 17, 2007

					
	 	 	 	 	 
	 
	© NeuStar, Inc. 2007
	 	NeuStar Proprietary and Confidential
	 	i

 

			
	Change Order Proposal #48 re: IRNA
	 	Revised August 17, 2007

Table of Contents

	 	 	 	 	 
	1.0 Introduction
	 	 	3	 
	1.1 Purpose and Scope
	 	 	3	 
	1.2 Contractual Compliance
	 	 	3	 
	2.0 Background
	 	 	4	 
	3.0 NeuStar’s Proposed Solution
	 	 	6	 
	4.0 Staff and Administration
	 	 	8	 
	5.0 Assumptions and Risks
	 	 	9	 
	5.1 Assumptions
	 	 	9	 
	5.2 Risks
	 	 	9	 
	6.0 Cost
	 	 	10	 
	7.0 Conclusion
	 	 	11	 

					
	 	 	 	 	 
	 
	© NeuStar, Inc. 2007
	 	NeuStar Proprietary and Confidential
	 	ii

 

			
	PAS — Change Order Proposal #48 re: IRNA
	 	Revised August 17, 2007

1.0 Introduction

1.1 Purpose and Scope

This change order proposal is the third in a series, and was prepared in response to a request
from the contracting officer, to update the revised Change Order #48, dated June 29, 2007. The
original change order proposal was developed in response to the letter from Mr. Thomas Navin,
Chief, FCC Wireline Competition Bureau, and the subsequent National Pooling Administrator
Contract Modification #21 received from the Contracting Officer on October 4, 2006. These
documents directed the Pooling Administrator to assume the functions of the Interim e9-1-l
Routing Number Administrator (IRNA), as that term is defined in the pANI Interim Assignment
Guidelines for ESQK prepared by the North American Number Council (NANC) p-ANI Issues
Management Group (p-ANI IMG), as revised December 5, 2005.

In accordance with the terms of the national pooling contract, the Pooling Administrator
submits this change order proposal to the FCC for approval.

1.2 Contractual Compliance

The National Pooling Administration function is a contractual relationship between NeuStar and
the Federal Communications Commission. Any function performed by the PA beyond its contractual
obligations and limitations must be approved by the FCC prior to commencement of that function.

This Change Order is consistent with the wording of Attachment B, Section C of the
Thousands-Block Pooling Contractor Technical Requirements, dated November 30, 2000, Sections
2.5 through 2.5.4, which reads as follows:

2.5.4 Changes in the Environment The FCC may issue rules, requirements, or policy
directives in the future, which may increase, decrease or otherwise modify the functions to
be performed by the contractor.

					
	 	 	 	 	 
	 
	© NeuStar, Inc. 2007
	 	NeuStar Proprietary and Confidential
	 	3

 

			
	PAS — Change Order Proposal #48 re: IRNA
	 	Revised August 17, 2007
	 

2.0 Background

It is intrinsic to the technology that Voice over Internet Protocol (VoIP) users can be
nomadic, and this movement raises issues regarding the ability of VoIP users to access Public
Safety Answering Points (PSAPs) in an emergency situation. These issues can be evaluated in
light of similar PSAP access issues experienced by roaming wireless users. The wireless
industry has addressed these issues through the use of pseudo-ANIs1 (p-ANIs) to
establish access to the correct PSAP for a nomadic user with a foreign telephone number.

The term “pseudo-ANI” is defined in the Code of Federal Regulations at 47 CFR § 9.3 as:

A number, consisting of the same number of digits as ANI, that is not a North
American Numbering Plan telephone directory number and may be used in place of
an ANI to convey special meaning. The special meaning assigned to the
pseudo-ANI is determined by agreements, as necessary, between the system
originating the call, intermediate systems handling and routing the call, and
the destination system.

A similar methodology has been proposed to provide VoIP users’ access to PSAPs, using a type
of p-ANI called Emergency Service Query Keys (ESQKs).

On June 3, 2005 the FCC issued the First Report and Order, FCC Docket 05-196, requiring VoIP
providers to supply enhanced 9-1-1 (E9-1-1) service capabilities to their
customers.2 In Paragraph 1 of that Order, the FCC stated as follows:

we require providers of interconnected VoIP service to provide E911 services to
all of their customers as a standard feature of the service, rather than as an
optional enhancement. We further require them to provide E911 from wherever the
customer is using the service, whether at home or away from home.

On July 25, 2005 the Alliance for Telecommunications Industry Solutions (ATIS) Emergency
Service Interconnection Forum (ESIF) submitted to the industry and to the North American
Numbering Council (NANC) a document entitled: “Routing Number Authority (RNA) for p-ANIs Used
for Routing Emergency Calls — p-ANI Assignment Guidelines and Procedures”3 for
comment. On August 5, 2005 the NANC Future of Numbering Working Group established the E9-1-1
p-ANI Issue Management Group (IMG) to address the request by ESIF and to provide a
recommendation to the NANC.

 

			
	1	 	ANI is the acronym for automatic number identification, a service that provides the
telephone number of an incoming call. ANI is used for a variety of functions including helping to identify the
caller’s address to speed
response time to 911 calls.
	 
	2	 	FCC First Report and Order and Notice of Proposed Rulemaking in its proceeding
regarding the regulation of internet protocol (IP) enabled services (FCC 05-116).
	 
	3	 	© 2005 by Alliance for Telecommunications Industry Solutions) created by the
Emergency Services Interconnection Forum (ESIF).

					
	 	 	 	 	 
	 
	© NeuStar, Inc. 2007
	 	NeuStar Proprietary and Confidential
	 	4

 

 

			
	PAS — Change Order Proposal #48 re: IRNA
	 	Revised August 17, 2007
	 

Working independently, the National Emergency Number Association and the NANC IMG came to the
conclusion that an Interim E9-1-1 Routing Number Authority should be appointed to enable VoIP
carriers to meet the FCC’s November 28 deadline, while a procurement or other process was
undertaken to choose a more permanent RNA. They recommended that the FCC appoint the national
pooling administrator to perform this interim function.

Working from the draft guidelines proposed by ESIF for the permanent RNA, the NANC IMG
developed interim guidelines for the IRNA to use in the issuance of Emergency Service Query
Keys (ESQKs)4 in those areas of the country where no other entity is assigning them.
These resources will be taken from the North American Numbering Plan (NANP), specifically from
the 211 and 511 NXXS (with the 211 NXX being utilized first) in each applicable NPA. This would
enable VoIP services providers to comply with the FCC First Report and Order and Notice of
Proposed Rulemaking regarding the regulation of internet protocol (IP) enabled services (FCC
05-116).

The IMG sent its final revised proposed P-ANI Interim Assignment Guidelines for ESQK (Interim
Guidelines) to the NANC for approval on September 14, 2005, where they were subsequently
revised. Those revised guidelines, dated December 5, 2005, are included in and referenced in
the Contract Modification #21.

The Interim Guidelines, as clarified by the FCC letter, will apply to the IRNA and any entities
that seek to obtain numbers from the IRNA until such time as guidelines for the permanent RNA
can be developed and published, and the FCC can appoint a permanent e9-l-l RNA.

 

			
	4	 	Like p-ANIs, for a 9-1-1 call, ESQKs allow the designated response center to provide
the caller’s location to the responders.

					
	 	 	 	 	 
	 
	© NeuStar, Inc. 2007
	 	NeuStar Proprietary and Confidential
	 	5

 

 

			
	PAS — Change Order Proposal #48 re: IRNA
	 	Revised August 17, 2007
	 

3.0 NeuStar’s Proposed Solution

In accordance with the terms of the letter from Mr. Navin and the Interim Guidelines, the
Pooling Administrator has developed and implemented the following solution.

In a manner similar to our existing pooling administration processes, the IRNA allocates ESQKs
in a fair and neutral manner consistent with all the requirements of the Guidelines, to all
eligible users, as that term is clarified in the letter from the FCC. ESQK assignments are
expected to be made within 5 business days of a complete and valid request. ESQKs will be
allocated as requested by eligible users; however, since this is an unregulated environment,
no verification will be made regarding the appropriateness and size of the allocation with the
corresponding PSAP. In accordance with the Interim Guidelines, the application form contains a
statement by which the applicant self-certifies that it has received the authority to apply
for the resources from the appropriate e9-1-1-governing authority to provide routing or data
retrieval for e9-1-1-traffic to the applicable PSAP.

NeuStar has established a website, www.esqk.com, which is separate from the pooling
website. The ESQK website is similar to our pooling website. It is the gateway to the ESQK
system where new users can register to obtain access as well as log in to the ESQK system. It
supplies access to a user-friendly guide to assist users in navigating the ESQK system,
industry-related documents, NeuStar’s conflict resolution process, industry-related website
links, and our customer support contact information. For our customer support, we created a
dedicated toll-free customer support line and email to support the needs of the industry.

The PA used its experience to develop a secure ESQK system that is backed up regularly and is
completely separate from the existing Pooling Administration System (PAS). The secure ESQK
system is available to maintain a complete and accurate record of all ESQK transactions,
current ESQK “assigned” and “available” status, and the user’s authorization status.
Registered users may access the secure database through a use-friendly web-based interface
located on the ESQK website. Any registered users that is considered an eligible user “that
is licensed or certified by the FCC or a state commission to operate as a telecommunications
carrier.” may submit requests for ESQKs as well as view the assigned and available ESQK
inventory. The ESQK system currently does not support requests from users to modify
information to existing ESQK assignments and requests to voluntary return ESQKs, however they
may submit those requests directly to the IRNA, which will retain such requests for the
permanent p-ANI Administrator.

Pursuant to Section 9.3 and 9.4 of the Interim Guidelines, the IRNA completed the following
tasks prior to the November 1, 2006 implementation.

9.3 Initial Implementation: Before it begins assigning ESQKs, the Interim 9-1-1 UNA must
ensure that the ESQKs it assigns are not presently in use. Because it is believed that
few ESQKs have been assigned from the 211 NXXs, the Interim 9-1-1 RNA will assign ESQKs
only from the 211 NXX unless extenuating circumstances exist. To avoid duplication, the
Interim 9-1-1 RNA will first perform the following steps in order until it can determine
what numbers are available to be assigned:

1. Ask existing mobile position center (“MPC”) and VPC vendors to provide a list of
all the entities that have been assigned pANIs in the 211 NXX, and the entity (and
contact information) that assigned the pANI.

					
	 	 	 	 	 
	 
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2. Ask each wireless service provider to respectively identify the entity that provides pANIs to it.

3. Ask each E9-1-1 SSP to identify any pANl and entity that it has assigned a p-ANl to
from the 211 code. In addition, ask each E9-1-1 SSP to identify any other entities that
may perform pANl assignments within its territory (including independents).

9.4 Once it has compiled a list of entities that assign numbers, the Interim 9-1-1 RNA will
canvass those entities to determine what, if any, pANIs they have assigned from the 211 NXX.
The remaining available pANIs in the 211-NXX in all NPAs will constitute the available pool
from which the Interim 9-1-1 RNA will assign ESQKs.

These were time-consuming functions, the success of which was virtually totally dependant upon
receipt of information from industry. Individuals on the pooling administration staff began
working on these tasks promptly after the receipt of the initial appointment letter.

					
	 	 	 	 	 
	 
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4.0 Staff and Administration

Florence Weber, Regional Director, IRNA, manages the IRNA responsibilities, administers ESQKs
in compliance with the both the Interim Guidelines and the terms of the letter from the
Wireline Bureau, and participates in industry meetings. From the inception of the IRNA to the
date of this change order proposal, the IRNA has received only six (6) registrations and one
(1) ESQK application. We are aware that some states have recently begun to certify VoIP
carriers as CLECs or have issued Orders allowing VoIP carriers to obtain numbering resources,
and we recognize that this could increase the volume of registrations and applications.
Nevertheless, we are confident that we can manage any such increase in registrations and
applications with only a single staff member whose primary responsibility is as the Interim
IRNA. Ms. Weber also performs various pooling functions when her attention is not directed at
the IRNA, and her time is recorded and billed according to which task she is performing.

In addition to the dedicated IRNA administrator, one additional person from the existing PA
staff has been trained to provide backup administration for the ESQK administrator, so that in
the event of illness or vacation, the functions can continue to be performed in a timely manner
as prescribed by the Guidelines. This person was available to assist the IRNA administrator in
the initial implementation period and will continue to be available as needed. Additionally,
with the knowledge and consent of the FCC, other members of the PA staff worked prior to the
implementation date to process and assess incoming data from existing administrators, to
establish processes and user guides, to determine the parameters of the IRNA’s responsibility,
to work with state commissions and existing administrators to develop processes to prevent
double assignments, to develop the various functionalities of the database, and to design and
implement the website.

Operations require ongoing contact with those entities other than the IRNA which continue to
assign ESQKs, to assure that double assignment does not occur. In addition, the IRNA
Administrator will continue to work closely with the Industry Numbering Committee on any
further amendments to the proposed permanent p-ANI guidelines. In the development of those
guidelines, the IRNA brought in multiple contributions and provided significant assistance to
the INC in cross-referencing the existing numbering guidelines, while participating in the INC
meetings.

					
	 	 	 	 	 
	 
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5.0 Assumptions and Risks

Part of the PA’s assessment of this change order is to identify the associated assumptions and
consider the risks that can have an impact on our operations.

5.1 Assumptions

1. The IRNA function will exist only until the FCC appoints or chooses a permanent e9-l-l RNA.

2. The IRNA will assign non-dialable numbers exclusively out of the 211 and 511 NXXs (with 211 being used first).

3. The IRNA function will be limited to that set forth in the Interim Guidelines as they have
been clarified by the letter from the Wireline Competition Bureau. Conversely, the IRNA will
not function in a manner inconsistent with the letter. For example, the IRNA will not accept into
its system prior operations and transfers of information that would be inconsistent with the
letter
because it would require us to house and operate p-ANI administration for those not entitled to
the resources under the terms of the letter.

4. The IRNA will assign p-ANIs to eligible users only in the geographic locations in which
they are certified.

5. Other entities and states already administering p-ANIs will continue to perform that
function, and the operation of the IRNA will complement those existing operations until a
permanent solution is reached.

6. The IRNA will escalate to the FCC any questions or issues relating to applications for resources, and that escalation will toll the processing period.

7. The IRNA will not perform audits or reclamation.

5.2 Risks

The proposed solution does not present any additional risks to the internal operations of the
national pooling administrator.

Because it is a separate system, the system proposed here does not pose any risk to the Pooling
Administration System.

					
	 	 	 	 	 
	 
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6.0 Cost

Because of the unusual circumstances of this change order proposal, we not only considered the
costs that would potentially be incurred in implementing the proposed solution, but also included
hours that pooling employees have already spent on this project.

Pooling employees were required to work overtime hours to comply with the FCC’s stated desire
that preparation for this project begin as quickly as possible, even before any change order
could be developed. We therefore advised the FCC that these charges would be included in the
cost as identified in the change order proposal.

Under the assumptions identified above, the maximum cost to implement our proposed solution until
August 14, 2007 is $87,460.00, which includes allowance for additional hours on any changes to the
proposed permanent guidelines, and any possible increase in activity due to state orders
certifying VoIP providers.

This figure includes costs incurred in set-up.

					
	 	 	 	 	 
	 
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7.0 Conclusion

In conclusion, the national Pooling Administrator has offered a viable solution that addresses
the immediate necessity for an interim e9-l-l Administrator, and we ask that the FCC review
and approve this change order proposal.

					
	 	 	 	 	 
	 
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