Document:

exv10w8

Exhibit 10.8

Grant No.: «NUM»

CAPITALSOURCE INC.

THIRD AMENDED AND RESTATED EQUITY INCENTIVE PLAN

RESTRICTED STOCK AGREEMENT

FOR DIRECTORS

     CapitalSource Inc., a Delaware corporation (the “Company”), hereby grants shares of its common
stock (“Stock”) to the Grantee named below, subject to the vesting and other conditions set forth
below. Additional terms and conditions of the grant are set forth in the attached Restricted Stock
Agreement (the “Agreement”) and in the Company’s Third Amended and Restated Equity Incentive Plan
(as amended from time to time, the “Plan”).

Name of Grantee: «FIRST_NAME» «MIDDLE_NAME» «LAST_NAME»

Grantee’s Social Security Number: «SSN»

Number of shares of Restricted Stock: «SHARES»

Grant Date: «GRANT_DATE»

Vest Base Date: «VEST_BASE_DATE»

Vesting Schedule: [ANNUAL RETAINERS AND MEETING FEES]

     [ALL] vested on Grant Date.

     [ANNUAL EQUITY AWARDS]

     [ALL] vested on the date of the Company’s [   ] Annual Meeting of Stockholders.

     By your signature below, you agree to all of the terms and conditions described herein, in the
attached Agreement and in the Plan, a copy of which is also attached. You acknowledge that you
have carefully reviewed the Plan, and agree that the Plan will control in the event any provision
of this cover sheet or Agreement should appear to be inconsistent.

	 	 	 	 	 	 	 	 	 
	 

	 	 	 	Date:	 	 	 	 
	 

Grantee

	 	 
	 	 	 	 

	 	 
	 
	 	 	 	 	 	 	 	 
	 

	 	 	 	Date:	 	 	 	 
	 

CapitalSource Inc.

	 	 
	 	 	 	 

	 	 
	Title:
	 	 	 	 	 	 	 	 

Attachment

     This is not a stock certificate or a negotiable instrument.

 

 

CAPITALSOURCE INC.

THIRD AMENDED AND RESTATED EQUITY INCENTIVE PLAN

RESTRICTED STOCK AGREEMENT

FOR DIRECTORS

	 	 	 
	Restricted Stock

	 	This Agreement evidences an award of shares of Stock in the number
set forth on the cover sheet and subject to the vesting and other
conditions set forth herein, in the Plan and on the cover sheet
(the “Restricted Stock”).
	 
	 	 
	Transfer of
Restricted Stock

	 	Restricted Stock may not be sold, assigned, transferred, pledged,
hypothecated or otherwise encumbered, whether by operation of law
or otherwise, nor may the Restricted Stock be made subject to
execution, attachment or similar process. If you attempt to do any
of these things, the Restricted Stock will immediately become
forfeited.
	 
	 	 
	Issuance and Vesting

	 	The Company will issue your Restricted Stock in the name set forth
on the cover sheet.
	 
	 	 
	 

	 	[Your right to the Stock under this Restricted Stock grant and this
Agreement shall vest in accordance with the vesting schedule set
forth on the cover sheet so long as you continue in Service on the
vesting dates set forth on the cover sheet.

Notwithstanding your vesting schedule, the Restricted Stock will
become 100% vested upon your termination of Service due to your
death or Disability if you have provided Services to the company
for at least one (1) year at the time your Service terminates.]
	 
	 	 
	 

	 	OR (for immediately vesting Awards)
	 
	 	 
	 

	 	[The Restricted Stock is fully vested on the Grant Date.]
	 
	 	 
	[Change of Control]

	 	[Notwithstanding your vesting schedule, upon the closing of a
Change of Control, the Restricted Stock will become 100% vested if
the Restricted Stock is not assumed, or equivalent restricted
securities are not substituted for the Restricted Stock, by the
Company or its successor.
	 
	 	 
	 

	 	For purposes of this Agreement:
	 
	 	 
	 

	 	• “Change of Control” means (i) the dissolution or
liquidation of the Company or a merger, consolidation, or
reorganization of the Company with one or more other entities in
which the Company is not the surviving entity, (ii) a sale of
substantially all of the assets of the Company to another person or
entity, or (iii) any transaction (including without limitation a
merger or reorganization in which the Company is the surviving
entity) which results in any person or entity owning 50% or more of
the combined voting power of all classes of

2

 

	 	 	 
	 

	 	Shares of the Company
or its successor. Notwithstanding the foregoing a transaction
described in clause (i) or clause (ii) of the preceding sentence
shall not be a Change of Control if persons who are shareholders of
the Company or its Affiliates immediately prior to the transaction
continue to own 50% or more of the combined voting power of the
Company or the resulting entity immediately following the
transaction.]
	 
	 	 
	Evidence of Issuance

	 	The issuance of the Stock under the grant of Restricted Stock
evidenced by this Agreement shall be evidenced in such a manner as
the Company, in its discretion, will deem appropriate, including,
without limitation, book-entry, registration or issuance of one or
more Stock certificates, with any unvested Restricted Stock bearing
the appropriate restrictions imposed by this Agreement. As your
interest in the Restricted Stock vests, the recordation of the
number of shares of Restricted Stock attributable to you will be
appropriately modified if necessary. In so far as any share
certificates are issued for unvested Restricted Stock, such
certificates shall be held in escrow and shall contain an
appropriate legend.
	 
	 	 
	Forfeiture of
Unvested Restricted
Stock [Remove
paragraph for
immediately vesting
Awards]

	 	Unless the termination of your Service triggers accelerated vesting
of your Restricted Stock pursuant to the terms of this Agreement,
the Plan, or any other written agreement between the Company (or
any Affiliate) and you, you will automatically forfeit to the
Company all of the unvested shares of Restricted Stock in the event
your Service terminates for any reason.
	 
	 	 
	Section 83(b)
Election

	 	Under Section 83 of the Internal Revenue Code of 1986, as amended
(the “Code”), the difference between the purchase price paid for
these shares of Stock and their Fair Market Value on the date any
forfeiture restrictions applicable to such shares lapse will be
reportable as ordinary income at that time. For this purpose,
“forfeiture restrictions” include the forfeiture of unvested Stock
described above. You may elect to be taxed at the time these
shares in restricted form are acquired rather than when such shares
cease to be subject to such forfeiture restrictions by filing an
election under Section 83(b) of the Code with the Internal Revenue
Service within thirty (30) days after the Grant Date. You will
have to make a tax payment to the extent the purchase price ($0.01
per share) is less than the Fair Market Value of these shares on
the Grant Date. The form for making this election is attached as
Exhibit A hereto. Failure to make this filing within the thirty
(30) day period will result in the recognition of ordinary income
by you (in the event the Fair Market Value of the shares increases
after the date of purchase) as the forfeiture restrictions lapse.
	 
	 	 
	 

	 	YOU ACKNOWLEDGE THAT IT IS YOUR SOLE DECISION AND RESPONSIBILITY,
AND NOT THE COMPANY’S, TO FILE A TIMELY ELECTION UNDER SECTION
83(b). YOU ALSO

3

 

	 	 	 
	 

	 	ACKNOWLEDGE THAT YOUR SECTION 83(b) ELECTION IS
NOT REVOCABLE AND THAT YOU WILL NOT BE ABLE TO RECOUP OR RECOVER
ANY TAXES PAID IN CONNECTION WITH THE SECTION 83(b) ELECTION FOR
ANY REASON, INCLUDING ON FORFEITURE OF THE UNVESTED SHARES OF STOCK
IN CONNECTION WITH ANY TERMINATION OF SERVICE WITH THE COMPANY.
YOU ALSO ACKNOWLEDGE THAT THESE SHARES OF STOCK ARE STILL SUBJECT
TO FORFEITURE RESTRICTIONS WHICH WILL NOT LAPSE BY VIRTUE OF YOUR
SECTION 83(b) ELECTION OR PAYMENT OF TAXES IN CONNECTION WITH SUCH
ELECTION AND THAT YOU WILL FORFEIT ANY UNVESTED SHARES AT THE TIME
OF YOUR TERMINATION OF SERVICE EVEN THOUGH YOU HAVE ALREADY MADE A
SECTION 83(b) ELECTION AND PAID THE TAXES ON SUCH UNVESTED SHARES
IN CONNECTION WITH SUCH ELECTION. THE COMPANY AND ITS
REPRESENTATIVES WILL NOT MAKE THIS FILING ON YOUR BEHALF. YOU ARE
RELYING SOLELY ON YOUR OWN ADVISORS WITH RESPECT TO THE DECISION AS
TO WHETHER OR NOT TO FILE ANY 83(b) ELECTION, INCLUDING WITH
RESPECT TO THE RISKS INVOLVED IF THE FAIR MARKET VALUE OF THESE
SHARES OF STOCK FALLS AFTER THE GRANT DATE.
	 
	 	 
	Withholding Taxes

	 	You agree as a condition of this grant that you will make
acceptable arrangements to pay any withholding or other taxes that
may be due as a result of the vesting or receipt of the Restricted
Stock. In the event that the Company determines that any federal,
state, local or foreign tax or withholding payment is required
relating to the vesting or receipt of Stock arising from this
grant, the Company shall have the right to require such payments
from you, or withhold such amounts from other payments due to you
from the Company or any Affiliate (including withholding the
delivery of vested shares of Stock otherwise deliverable under this
Agreement).
	 
	 	 
	Retention Rights

	 	This Agreement and the grant evidenced hereby do not give you the
right to be retained by the Company (or any Affiliate) in any
capacity. Unless otherwise specified in an employment or other
written agreement between the Company (or any Affiliate) and you,
the Company (and any Affiliate) reserve the right to terminate your
Service at any time and for any reason.
	 
	 	 
	Stockholder Rights

	 	You will be entitled to receive, upon the Company’s payment of a
cash dividend on outstanding shares of Stock, an amount of cash,
Restricted Stock or Restricted Stock Units (as determined by the
Company from time to time) equal to the per-share dividend paid on
the shares of Restricted Stock that you hold as of the record date
for such dividend, which shall be subject to the same vesting,
forfeiture and other conditions as the associated Restricted Stock.
No adjustments are

4

 

	 	 	 
	 

	 	made for dividends or other rights if the
applicable record date occurs before your certificate is issued (or
an appropriate book entry is made), except as described in the
Plan.
	 
	 	 
	 

	 	Your grant shall be subject to the terms of any applicable
agreement of merger, liquidation or reorganization in the event the
Company is subject to such corporate activity.
	 
	 	 
	Legends

	 	If and to the extent that the shares of Stock are represented by
certificates rather than book entry, all certificates representing
the Stock issued under this grant shall, where applicable, have
endorsed thereon the following legends:
	 
	 	 
	 

	 	“THE SHARES OF STOCK REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO
CERTAIN VESTING, FORFEITURE AND OTHER RESTRICTIONS ON TRANSFER AND
OPTIONS TO PURCHASE SUCH SHARES SET FORTH IN AN AGREEMENT BETWEEN
THE COMPANY AND THE REGISTERED HOLDER, OR HIS OR HER PREDECESSOR IN
INTEREST. A COPY OF SUCH AGREEMENT IS ON FILE AT THE PRINCIPAL
OFFICE OF THE COMPANY AND WILL BE FURNISHED UPON WRITTEN REQUEST TO
THE SECRETARY OF THE COMPANY BY THE HOLDER OF RECORD OF THE SHARES
REPRESENTED BY THIS CERTIFICATE.”
	 
	 	 
	Applicable Law

	 	This Agreement will be interpreted and enforced under the laws of
the State of Delaware, other than any conflicts or choice of law
rule or principle that might otherwise refer construction or
interpretation of this Agreement to the substantive law of another
jurisdiction.
	 
	 	 
	The Plan

	 	The text of the Plan is incorporated in this Agreement by reference.
	 
	 	 
	 

	 	Certain capitalized terms used in this Agreement are defined in the
Plan, and have the meaning set forth in the Plan.
	 
	 	 
	 

	 	This Agreement, the associated cover sheet, and the Plan constitute
the entire understanding between you and the Company regarding this
grant. Any prior agreements, commitments or negotiations
concerning this grant are superseded; except that any written
employment, consulting, confidentiality, non-competition and/or
severance agreement between you and the Company (or any Affiliate)
shall supersede this Agreement with respect to its subject matter.
	 
	 	 
	Data Privacy

	 	In order to administer the Plan, the Company may process personal
data about you. Such data includes, but is not limited to,
information provided in this Agreement or the cover sheet hereto
and any changes thereto, other appropriate personal and financial
data about you such as your contact information, payroll
information and any other information that might be deemed
appropriate by the Company to facilitate the administration of the
Plan.
	 
	 	 
	 

	 	By accepting this grant, you give explicit consent to the Company
to process any such personal data.

5

 

	 	 	 
	Code Section 409A

	 	It is intended that this Award comply with Section 409A of the Code
(“Section 409A”) or an exemption to Section 409A. To the extent
that the Company determines that you would be subject to the
additional 20% tax imposed on certain non-qualified deferred
compensation plans pursuant to Section 409A as a result of any
provision of this Agreement, such provision shall be deemed amended
to the minimum extent necessary to avoid application of such
additional tax. The nature of any such amendment shall be
determined by the Company.

By signing the cover sheet of this Agreement, you agree to all of the terms and conditions
described above and in the Plan.

6exv10w3w2

 

Exhibit 10.3.2

	

amendment OF Solicitation/modification of contract
1. CONTRACT ID CODE
Page
1 of 1
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ.
NO. 5. PROJECT NO. (If applicable)
0006 02/17/2009

00001

6. ISSUED BY No Invoice Information 445 12th St., SW, Washington, DC 20564

CODE

9A. AMENDMENT OF SOLICITATION NO. 9B. DATED (SEE ITEM 11)

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

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

Neustar, Inc.

10A. MODIFICATION OF CONTRACT/ORDER NO. CON07000005 10B. DATED (SEE ITEM 13)

46000 Center Oak Plaza

Sterling, VA 20166

CODE *

FACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified
for receipt of Offers is extended, 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

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).

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

D. OTHER (Specify type of modification and
authority)
FAR 1.6, “Authority of the Contracting
Officer”
E. IMPORTANT: Contractor | X | is not, 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 modification is to accept
and incorporate Change Order Proposal (COP) Numbers 5, 6, and 7. COP #5 serves to address changes
to the Thousand-Block Pooling Administration Guidelines to assure that over-contaminated blocks are
not returned to the Pooling Administrator. COP #5 is accepted as submitted at a price of
$33,837.00. COP #6 serves to address requests from service providers to the National Pooling
Administrator for enhancements to the Pooling Administration System (PAS). COP #6 is accepted as
submitted at a price of $18,188.00. COP #7 serves to adress changes to the Thousands-Block Pooling
Administration Guidelines that will enable carriers to submit requests for mass modification of
block information for 50 or more records. COP #7 is accepted as submitted at a price of $14,987.00.
Copies of the three (3) COPs are attached. Funding will be via NANP and will be paid by FCC Billing
& Collection Agent, Welch, LLP.

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)

15C. DATE SIGNED

15B. CONTRACTOR/OFFEROR

(Signature of person authorized to sign)

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

16B.
United States of America

BY /s/ Anthony S. Wimbush

(Signature of contracting officer)

16C. DATE SIGNED
02/17/2009

NSN 7540-01-152-8070 PREVIOUS EDITION UNUSABLE

STANDARD FORM 30 (REV 10-83)
Prescribed by GSA FAR (48 CFR)
53 243

 

 

National Pooling Administration

Contract #CON07000005 Change

Order Proposal #5

(INC
Issue #602 — Checking returned block in the NPAC)

November 21, 2008

			
	 	 	 
	NeuStar, Inc.
	 	46000 Center Oak Plaza

Sterling VA, 20166

 

 

			
	Nat’l PAS — Change Order #5 — Checking Returned Blocks in NPAC
	 	November 21, 2008

Table of Contents

	 	 	 	 	 	 	 
	1

	 	Introduction
	 	 	3	 
	2

	 	Industry Numbering Committee (INC) Issue
	 	 	4	 
	3

	 	Industry Numbering Committee (INC) Resolution
	 	 	4	 
	4

	 	The Proposed Solution
	 	 	5	 
	5

	 	Assumptions and Risks
	 	 	6	 
	6

	 	Cost
	 	 	6	 
	7

	 	Conclusion
	 	 	6	 

			
	 	 	 
	© NeuStar, Inc. 2008
	 	-ii-

 

 

			
	Nat’l PAS — Change Order #5 — Checking Returned Blocks in NPAC
	 	November 21, 2008

1 Introduction

1.1 Purpose and Scope

In accordance with NeuStar’s National Pooling Administration contract1 and our constant
effort to provide the best support and value to both the FCC and the telecommunications industry,
NeuStar, as the National Pooling Administrator (PA), hereby submits this change order proposal to
the Federal Communications Commission (FCC) for approval. This change order complies with the
contractual requirements set forth in Clause C.1 of the CONTRACT FOR POOLING ADMINISTRATION
SERVICES FOR THE FEDERAL COMMUNICATIONS COMMISSION, effective August 15, 2007, which reads as
follows at Section 2.5.4:

2.5.4 Modifications of Guidelines

The PA shall participate in the development and modification of guidelines and procedures,
which may or may not affect the performance of the PA functions. These changes may come
from regulatory directives and/or industry-initiated modifications to guidelines. In
addition, new guidelines may be developed as appropriate to comply with regulatory
directives. The PA shall implement any changes determined to be consistent with regulatory
directives.

The PA shall:

	 	•	 	Provide, in real time, technical guidance to ensure processes and
procedures are effective in meeting the goals of the change.
	 
	 	•	 	Provide issues and contributions, and be prepared to discuss at INC
meetings how the proposed change promotes numbering policy and/or benefits the NANP and
how the change will affect the PA’s duties, obligations and accountability.
	 
	 	•	 	Assess and share in real time (i.e., during discussion) the cost
implications and
administrative impact of the change upon the PA’s duties and responsibilities in
sufficient detail as needed by the INC.

When the INC places any changes to its guidelines in final closure, the PA shall submit an
assessment regarding the impact of scope of work, time and costs to the INC, the NANC and
the FCC within 15 calendar days. The PA shall post changes in procedures on its web site
prior to the change taking effect.

Specifically, the PA shall:

	 	•	 	Notify all interested parties when guidelines have changed.
	 
	 	•	 	Interpret guideline changes and impact upon processes.
	 
	 	•	 	Identify implementation date or effective date.
	 
	 	•	 	Provide notification of new forms or tools that may be required.
	 
	 	•	 	Identify a Single Point of Contact (SPOC) within the PA to answer questions.

The NANC shall be consulted at the FCC’s discretion regarding the suggested implementation
date to determine the likely impact on service provider processes and

 

			
	1	 	FCC Contract Number CON07000005

			
	 	 	 
	© NeuStar, Inc. 2008
	 	-3-

 

 

			
	Nat’l PAS — Change Order #5 — Checking Returned Blocks in NPAC
	 	November 21, 2008

systems (i.e., whether it would be unduly burdensome or would unfairly disadvantage any
service provider or group of service providers per the PA’s obligations and NANP
administrative principles). The PA shall also seek input on implementation dates from
service providers that log in to PAS and vendors that interface with PAS.

2 Industry Numbering Committee (INC) Issue

As a result of concerns raised by the industry regarding the increase in over-contaminated blocks
in the industry pool, the PA brought in an issue to address the situation. The INC issue statement
is reproduced below:

INC Issue Statement:

The PA has recently been made aware of a number of returned blocks for which the
contamination level was incorrect on the Part 1A, and the blocks were actually
over 10% contaminated. This has been causing additional work for both the SP who
has been assigned the over-contaminated block, and the PA. Not only must the
correct contamination level be determined, but in many cases the block must be
exchanged for a new block that is not over-contaminated.

3 Industry Numbering Committee (INC) Resolution

On November 7, 2008, the INC placed Issue 602 — Checking Returned Blocks in NPAC into final
closure, with the following language:

Resolution from INC:

The following text changes were made to TBPAG Sections 9.1.5 and 9.2.7:

	9.1.5	 	In cases where the block holder is exiting the market and voluntarily returns a
block indicating that it with is over 10% contamination contaminated (101 TNs
or more), the SP shall state in the remarks field of the Part 1A that it is exiting the
market. The PA shall request an ad hoc report from the NPAC, generated during off-peak hours,
that identifies the SPs and associated quantities of ported TNs in the returned block. This
information shall assist the PA in re-allocating the block, if TNs ported to other SPs are
found within the NPA-NXX-X block. The PA may use these reports to provide each potential block
holder with the total number of ported TNs it has, number of SPs with ported TNs, and the
total number of ported TNs overall.
	 
	 	 	If the block being returned by the SP is over 10% contaminated and the SP does not indicate
it is exiting the market, the PA shall deny the return.
	 
	9.2.7	 	In cases where pooled blocks are voluntarily returned with over 10% contamination,
the SF mustshall state in the remarks field of the Part 1A that they areit is exiting the
market. the Tthe PA shall request an ad hoc report from NPAC within 7 calendar
days

			
	 	 	 
	© NeuStar, Inc. 2008
	 	-4-

 

 

			
	Nat’l PAS — Change Order #5 — Checking Returned Blocks in NPAC
	 	November 21, 2008

of providing a Part 3 suspend to the block holder. Blocks may only be voluntarily returned
with over 10% contamination when the SP is exiting the market (see Section 9.1.5).

If the block being returned by the SP is over 10% contaminated and the SP does not indicate
it is exiting the market, the PA shall deny the return.

If the only active or pending LNP ports on the block are intra-service provider ports
(ISPs), the PA shall, within 7 calendar days of receiving the ad hoc report from the NPAC,
process a Part 3 denial. The PA shall provide on the Part 3 the reason for the denial.

 

			
	***	 	Unedited text omitted from 9.2.7

4 The Proposed Solution

The National Pooling Administrator has determined that the amendments to the TBPAG will affect the
day-to-day pooling operations and the Pooling Administration System (PAS). The PA will now be
required to check the porting information in the NPAC for all block returns. This will necessitate
internal changes to PAS relating to how the PA processes block returns. As a result of our
assessment, we developed the following proposed solution to address the changes that the INC
recommended, in a cost-effective and efficient manner.

All returned blocks will be suspended until the weekly report is received from the NPAC showing the
contamination level of those blocks. Based upon the content of the report, the individual pooling
administrators will determine if the block return request can be approved, if it should be denied,
or if an email needs to be sent to the SPs that have ported TNs out of the block(s) advising them
that the block is being returned and asking them to take assignment of the block. PAS will track
whether an email has been sent and the types of emails that have been sent, and will also
automatically update the block contamination information at the time the PA approves the block
return.

After the changes have been implemented in PAS, the PA will perform another manual one-time scrub
of all available blocks in PAS by comparing the data against the NPAC database to determine the
correct contamination status of each available block.2 Based on the findings, the PA
will contact each related service provider where it is determined that there is a discrepancy
between PAS and NPAC andas well as for any blocks
that are a returned block is
over-contaminated, perform the work necessary to re-allocate those blocks, and make the appropriate
updates in PAS.

User manuals will be updated as appropriate.

 

			
	2	 	The PA performed such a one-times scrub in June 2006, as discussed in Change Order 41
LNPA WG 24 and
CO/NXX Issue #364 — “Modfiication to Procedures for Code Holder/LERG Assignee Exit” in the
previous contract.

			
	 	 	 
	© NeuStar, Inc. 2008
	 	-5-

 

 

			
	Nat’l PAS — Change Order #5 — Checking Returned Blocks in NPAC
	 	November 21, 2008

5 Assumptions and Risks

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

Assumptions:

1 Both the INC and the NOWG agree that the block contamination levels in PAS and the
NPAC should be cross-referenced in conjunction with the other activities identified in this
Change Order proposal, to assure that the information in PAS is accurate.

2. This proposed solution will alter the way we process block returns, and will also impact
our day-to-day operations because it will take a significant amount of staff time to: (1) do the
initial comparison of the NPAC and PAS data regarding block contamination levels, (2) send
notifications to the appropriate service providers to clarify discrepancies and request
re-allocation, and (3) administer the responses from the industry to actually get the block status
updated or re-assigned. Because of staffing constraints under this contract, we anticipate that the
process will take longer than the first NPAC scrub, conducted in 2006.

This change order affects both the system and our day-to-day operations.

6 Cost

In developing this proposal, we considered the costs associated with implementing the proposed
solution, including the resources required to complete discrete milestones on a timeline for
implementation. The timeline includes preparation, development, testing, proper documentation
updates, monitoring, and execution of the solution.

The cost of modifying the system to conform to the changes to the TBPAG will be $33,837.00.

7 Conclusion

This change order proposal presents a viable solution that addresses the amendments to the TBPAG
and is consistent with the terms of our contract. We respectfully request that the FCC review and
approve this change order.

			
	 	 	 
	© NeuStar, Inc. 2008
	 	-6-

 

 

National Pooling Administration

Contract #CON07000005

Change Order Proposal #6

(User-Proposed Enhancements to PAS)

December 18, 2008

      

			
	NeuStar, Inc.
	 	46000 Center Oak Plaza
	 
	 	Sterling VA, 20166

 

 

			
	Nat’l PAS — Change Order #6 — User Enhancements to PAS
	 	December 18, 2008

Table of Contents

	 	 	 	 	 	 
	1

	 	Introduction
	 	 	3
	2

	 	Users’ Proposed Enhancements
	 	 	3
	3

	 	The Proposed Solution
	 	 	4
	4

	 	Assumptions and Risks
	 	 	5
	5

	 	Cost
	 	 	5
	6

	 	Conclusion
	 	 	5

			
	 
	© NeuStar, Inc. 2008
	 	-ii-

 

 

			
	Nat’l PAS — Change Order #6 — User Enhancements to PAS
	 	December 18, 2008

1 Introduction

1.1 Purpose and Scope

In accordance with NeuStar’s National Pooling Administration contract1 and our constant
effort to provide the best support and value to both the FCC and the telecommunications industry,
NeuStar, as the National Pooling Administrator (PA), hereby submits this change order proposal to
the Federal Communications Commission (FCC) for approval. This change order complies with the
contractual requirements set forth in Clause C.1 of the CONTRACT FOR POOLING ADMINISTRATION
SERVICES FOR THE FEDERAL COMMUNICATIONS COMMISSION, effective August 15, 2007.

2 Users’ Proposed Enhancements

Users of the Pooling Administration System (PAS) sometimes suggest changes to either our
administrative process or to PAS. This change order consists of several requests from both service
provider users of PAS and NOWG members to enhance the functionalities of PAS. The following four
(4) items describe the enhancements that the users are requesting:

	 	1.	 	Service provider users and service provider consultant users have the capability in
PAS to save their new block requests for a period of 30 calendar days. After 30 calendar days,
PAS automatically purges the previously saved request. It has been requested that the
users also have the ability to delete their previously saved requests in PAS prior to this
30-day timeframe.
	 
	 	2.	 	Service providers need to know if the blocks they have been assigned are from codes
that are also assigned to the same OCN and same switch of the block. To determine this
information today, they must go to the Part 1B form in PAS. To assist the user, it has
been requested that this information also be provided in the Part 3 response for new block
assignments.
	 
	 	3.	 	Service provider users and service provider consultant users may enter only one
switch on the Part 1/Part 1A screens in PAS today. However, the users have indicated that they
have a need to enter multiple switches on new block requests and new code requests. It
has been requested that PAS be modified to allow for multiple switches to be entered for
new block requests and new code requests.
	 
	 	4.	 	Service provider users and service provider consultant users occasionally have the
need to withdraw a request that they have submitted in PAS. Today, they can do this only by
contacting the PA. It has been requested that the capability to withdraw a request be
provided to the user in PAS.

 

			
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	Nat’l PAS — Change Order #6 — User Enhancements to PAS
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3 The Proposed Solution

The National Pooling Administrator has reviewed the users’ proposals from both their operational
and technical perspectives. As a result of our assessment, we propose the following cost-effective
and efficient solutions to address the changes that the users requested.

	 	1.	 	The Saved Block Request List in PAS will be modified to add a checkbox to allow the
user
to delete a previously saved new block request.
	 
	 	2.	 	When the PA processes and approves a request for a new block,
PAS will verify whether the OCN and switch for the block are the same as the OCN and switch for the code. If the
OCN and switch for the block match the OCN and switch for the code, then PAS will add
standard language to the remarks section of the Part 3 form to notify the user.
	 
	 	3.	 	PAS will be modified:

	 	a.	 	to allow the user to enter multiple switches on one request when the
user is
requesting multiple blocks or a new code (full NXX for LRN or full NXX for pool
replenishment);
	 
	 	b.	 	to allow the user to view the multiple switches on the viewable
Part 1/Part 1A
forms; and
	 
	 	c.	 	to allow the user to view the multiple switches on the Part 3 viewable
screen, and have the multiple switches information on the Part 3 response.

	 	4.	 	PAS will be modified to allow a user to withdraw a pending request in PAS. This can be accomplished only if the PA has not processed the request. PAS will verify that the
request has not been processed, that the tracking number is valid, and that the user is
authorized to withdraw the request. If all criteria are met, PAS will automatically create a
Part 3 withdrawal, and will remove the work item from the PA’s work item list.

The user manuals will be updated as appropriate and user training will be conducted on the
changes.

			
	 	 	 
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	Nat’l PAS — Change Order #6 — User Enhancements to PAS
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4 Assumptions and Risks

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

This change order affects only the system, and would have no impact on our day-to-day
operations.

5 Cost

In developing this proposal, we considered the costs associated with implementing the proposed
solution, including the resources required to complete discrete milestones on a timeline for
implementation. The timeline includes preparation, development, testing, proper documentation
updates, monitoring, and execution of the solution.

The cost of modifying the system to implement these changes to the PAS will be $18,188.00.

6 Conclusion

This change order proposal presents viable solutions that address the requests made by users of PAS
and is consistent with the terms of our contract. We respectfully request that the FCC review and
approve this change order.

			
	 	 	 
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National Pooling Administration

Contract #CON07000005

Change Order Proposal #7

(INC Issue #592 — Changes to the TBPAG and COCAG for Mass

Update Modifications)

January 10,
2009

			
	 	 	 
	NeuStar, Inc.
	 	46000 Center Oak Plaza

Sterling VA, 20166

 

 

			
	 	 	 
	Nat’l PAS — Change Order #7 — Changes to the TBPAG and COGAG for Mass Mods
	 	January 10, 2009

Table of Contents

	 	 	 	 	 	 	 
	1

	 	Introduction
	 	 	3	 
	2

	 	Industry Numbering Committee (INC) Issue
	 	 	4	 
	3

	 	Industry Numbering Committee (INC) Resolution
	 	 	4	 
	4

	 	The Proposed Solution
	 	 	7	 
	5

	 	Assumptions and Risks
	 	 	8	 
	6

	 	Cost
	 	 	8	 
	7

	 	Conclusion
	 	 	8	 

			
	 	 	 
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	Nat’l PAS — Change Order #7 — Changes to the TBPAG and COGAG for Mass Mods	 	January 10, 2009

1 Introduction

1.1 Purpose and Scope

In accordance with NeuStar’s National Pooling Administration contract1 and our constant
effort to provide the best support and value to both the FCC and the telecommunications industry,
NeuStar, as the National Pooling Administrator (PA), hereby submits this change order proposal to
the Federal Communications Commission (FCC) for approval. This change order complies with the
contractual requirements set forth in Clause C.1 of the CONTRACT FOR POOLING ADMINISTRATION
SERVICES FOR THE FEDERAL COMMUNICATIONS COMMISSION, effective August 15, 2007, which reads as
follows at Section 2.5.4:

           2.5.4 Modifications of Guidelines

	 	 	The PA shall participate in the development and modification of guidelines and procedures,
which may or may not affect the performance of the PA functions. These changes may come
from regulatory directives and/or industry-initiated modifications to guidelines. In
addition, new guidelines may be developed as appropriate to comply with regulatory
directives. The PA shall implement any changes determined to be consistent with regulatory
directives.
	 
	 	 	The PA shall:

	 	•	 	Provide, in real time, technical guidance to ensure processes and
procedures are
effective in meeting the goals of the change.
	 
	 	•	 	Provide issues and contributions, and be prepared to discuss at INC
meetings how

the proposed change promotes numbering policy and/or benefits the NANP and
how the change will affect the PA’s duties, obligations and accountability.
	 
	 	•	 	Assess and share in real time (i.e., during discussion) the cost
implications and

administrative impact of the change upon the PA’s duties and responsibilities in
sufficient detail as needed by the INC.

	 	 	When the INC places any changes to its guidelines in final closure, the PA shall submit an
assessment regarding the impact of scope of work, time and costs to the INC, the NANC and
the FCC within 15 calendar days. The PA shall post changes in procedures on its web site
prior to the change taking effect.
	 
	 	 	Specifically, the PA shall:

	 	•	 	Notify all interested parties when guidelines have changed.
	 
	 	•	 	Interpret guideline changes and impact upon processes.
	 
	 	•	 	Identify implementation date or effective date.
	 
	 	•	 	Provide notification of new forms or tools that may be required.
	 
	 	•	 	Identify a Single Point of Contact (SPOC) within the PA to answer questions.

	 	 	The NANC shall be consulted at the FCC’s discretion regarding the suggested implementation
date to determine the likely impact on service provider processes and

 

			
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	 	 	systems (i.e., whether it would be unduly burdensome or would unfairly disadvantage any
service provider or group of service providers per the PA’s obligations and NANP
administrative principles). The PA shall also seek input on implementation dates from
service providers that log in to PAS and vendors that interface with PAS.

2 Issue Statement

To facilitate customer convenience during the initial national pooling contract, the Pooling
Administrator pro-actively developed a process to enable service providers to use an Excel
spreadsheet to submit large numbers of records that required modifications. The process
necessitated manual involvement at the system engineering level. The mass modify process was not
required by the contract or the industry guidelines, but decreased the number of manual entries
that any service provider had to perform when, for example, making large numbers of OCN or
switch/POI changes. The Pooling Administrator’s process applied when carriers were modifying more
than 100 records.

In recent months, service providers indicated a desire to submit mass modifications of less than
100 records. As a result, an issue was brought to the Industry Numbering Committee (INC) to address
the situation. The INC issue statement is reproduced below:

          INC
Issue Statement:

	 	 	When SP’s have to modify multiple LRN’s, switching or tandem information at one
time, each individual record has to be updated separately. Allowing mass
modifications on multiple records will decrease the amount of manual work on the
SP and also reduce the chances for entering incorrect information.

3 Industry Numbering Committee (INC) Resolution

On
January 2, 2009, the INC placed Issue 592— Changes to the TBPAG and COCAG for Mass Update
Modifications into final closure, with the following language:

Resolution from INC:
 

The following changes were made to the TBPAG and COCAG:

TBPAG
Sections 4.1 and 8.5.1:

           4.1 Code Holder Responsibilities

	 	 	A Central Office (CO) Code Holder is an assignee of an NXX code which was
allocated by the CO Code Administrator. When an NXX Code becomes pooled, the
Code Holder becomes the LERG Assignee.

	 	a)	 	identify eligible thousands-blocks for donation to the industry
inventory pool upon initial establishment of the industry inventory pool
pursuant to Section 7.2.5;

			
	 	 	 
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	Nat’l PAS — Change Order #7 — Changes to the TBPAG and COGAG for Mass Mods	 	January 10, 2009

	 	b)	 	make required updates to BIRRDS with the switch information as
appropriate (i.e., ongoing switching entity/POI changes) after creation of
the
Block Code record (BCD), for their assigned thousands-blocks within
pooled NXX codes (See Section 8.5.2) and;
	 
	 	c)	 	submit changes or disconnects for pooled NXXs to the PA. Changes or
disconnects for non-pooled NXXs in a pooling rate center should be sent to
NANPA, unless the PA received the original request for the non-pooled
NXX.
	 
	 	d)	 	If there are 50 or more codes that need modifications on
intra-company
OCN changes, switching entity/POI changes, or tandem modifications, a
mass modification spreadsheet can be sent to NANPA. Contact NANPA for
the most recent spreadsheet.
	 
	 	e)	 	confirm, prior to donating the thousands-block to the industry inventory
pool, that:

	 	1)	 	all unavailable TNs within contaminated thousands-blocks
have been

intra-service provider ported;
	 
	 	2)	 	the associated NPA/NXX is currently available for call
routing, is
flagged as LNP capable in the LERG Routing Guide and the NPAC, and
the NPA-NXX query triggers are applied in all switches and reflected in
the appropriate network databases (e.g., STP routing tables);
	 
	 	3)	 	the NXX-assigned switch is currently LNP-capable and will
process

terminating traffic appropriately; and
	 
	 	4)	 	interconnection facilities have been established
between the NXX-

assigned switch and other interconnecting networks.

	 	f)	 	become a LERG Assignee at the Block Donation Date (see Section 7.1).

	 	 	An entire NXX code dedicated for a single customer’s use may be classified as a
non-pooled code at the discretion of the SP. The SP will be considered the CO
Code Holder by leaving the pool indicator field blank in Section 1.5 of the CO
Code Part 1. In addition, the SP should write “Non-pooled code for dedicated
customer” in Section 1.7 of the Part 1.

	8.5	 	Ongoing Administration of Allocated Thousands-Blocks and Notification of LERG
Routing Guide Changes
	 
	8.5.1	 	The information associated with a thousands-block assignment or
thousands-block(s) being retained may change over time. The PA must be notified of
an OCN, Switch ID or Block Effective Date change for thousand-blocks which have
already been assigned. The requested changes should be submitted via the
Thousands-Block Application Forms, Part 1A, and when necessary, the Part 1B. For
data integrity reasons, the PA must be informed of these types of changes to

			
	 	 	 
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	Nat’l PAS — Change Order #7 — Changes to the TBPAG and COGAG for Mass Mods	 	January 10, 2009

	 	 	ensure that the record of the entity responsible for the thousands-block and the data
associated with the thousands-block is accurate.
	 
	 	 	If there are 50 or more blocks that need to be modified for intra-company OCN
changes, switching entity/POI changes, or Part 1B modifications, a mass
modification spreadsheet can be sent to the PA. Contact the PA for the most
recent spreadsheet.
	 
	 	 	Note: Mass modifications only update data in PAS. SPs are responsible for all
updates to BIRRDS, NPAC and any other affected systems or databases.

COCAG:

           6.3.1 Information Changes

	 	 	The information associated with a code assignment may change over time. Such changes may
occur, for example, because of the transfer of a code to a different company. The CO
Code Administrator must be notified of any changes to the information in Part 1 of the
CO Code (NXX) Assignment Request Form. This includes changes such as, but not limited
to, the tandem homing arrangement, OCN, switching entity/POI and rate center. For OCN
changes due to merger/acquisition, the SP must so state on the Part 1 form. If the
applicant is requesting multiple changes, the applicant should indicate all requested
changes in Section l.4 of the Part 1 form.
	 
	 	 	SPs that change the rate center for a previously assigned NXX that has not been
activated shall be required to first demonstrate the need for the NXX in the new rate
center. For this change, SPs must first supply a new CO Code Assignment Months to
Exhaust Certification Worksheet — TN Level to the CO Code Administrator prior to making
any changes to BIRRDS for the affected NXX code. Accordingly, the CO Code
Administrator(s) must be informed of these changes to ensure that an accurate record of
the code holder/ LERG Routing Guide assignee responsible for the code and the data
associated with the code is maintained so as not to jeopardize data integrity. The CO
Code Administrator shall verify the retention of the NXX codes using the Months to
Exhaust Certification Worksheet — TN Level prior to changes being made to the rate center
in the TRA databases.
	 
	 	 	If there are 50 or more codes that need modifications on intra-company OCN changes,
switching entity/POI changes, or tandem modifications, a mass modification spreadsheet
can be sent to NANPA. Contact NANPA for the most recent spreadsheet.
	 
	 	 	Note: Mass modifications only update data in NAS. SPs are responsible for all
updates to BIRRDS, NPAC and any other affected systems or databases.

			
	 	 	 
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	Nat’l PAS — Change Order #7 — Changes to the TBPAG and COGAG for Mass Mods	 	January 10, 2009

	 	 	SPs that wish to move CO codes from one rate center to another must submit a Part
1 to the CO Code Administrator. Upon receipt of the Part 1 for an NXX that has
been activated, the CO Code Administrator will request that the NPAC produce an ad
hoc report, generated during off-peak hours, that identifies the SPs and
associated quantities of ported TNs or pending ports within the code(s). The CO
Code Administrator will not request an ad hoc report if the SP is requesting a
rate center change for a code that has not reached its LERG Routing Guide
effective date.
	 
	 	 	If the report shows that there are ported TNs or pending ports, then the CO Code
Administrator will issue a Part 3 Denial to the applicant. If the report shows that
there are no ported TNs or pending ports, then the CO Code Administrator will issue a
Part 3 Acceptance to the applicant with instructions to the Applicant to immediately
remove the NXX from the NPAC to ensure that no porting occurs between the time the ad
hoc report was produced and the effective date of the rate center change. On the
effective date of the rate center change, the Applicant must immediately add the NXX to
the NPAC to ensure that porting can resume.

4 The Proposed Solution

The National Pooling Administrator has determined that the amendments to the TBPAG will affect the
Pooling Administration System (PAS).

The minimum number of records that can be submitted as a mass modify has been dropped from 100
modifications to 50 modifications. Also, as a result of the changes made to the guidelines, the PA
will now need to accept mass modifications for Part 1B modifications

The
current Excel spreadsheet used for mass modifies will be augmented to include all Part 1B
fields. For any mass modifications to the fields on the Part 1B form, the information will be
updated only in the PAS database and the Part 1B form will not be sent to the NPAC. Since these
mass modify submissions will only update PAS, updates to BIRRDS, NPAC, or any other affected system
or database are the responsibility of the service provider. Therefore, the PA is adding a
disclaimer statement both to the mass modification spreadsheet and to the remarks section of the
Part 3 form, to ensure that users understand that the only database being updated is PAS.

A new tool will be added to PAS to allow the PA to upload the spreadsheets into the system
automatically.

Mass modifications for non-pooled and pooled codes will continue to go directly to NANPA; however
since both pooled and non-pooled code information is maintained in PAS, a new tool will be added to
PAS to allow the PA to update the PAS code table after the mass modification is processed
successfully in NAS.

User manuals will be updated as appropriate.

			
	 	 	 
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	Nat’l PAS — Change Order #7 — Changes to the TBPAG and COGAG for Mass Mods
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5 Assumptions and Risks

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

Assumptions:

	 	1.	 	The decrease in the minimum number of records permitted under the mass modify process will increase the number of mass modifies that are submitted.
	 
	 	2.	 	This will impact our day-to-day operations, in that any errors in the mass
modify spreadsheets require research on the part of the pooling administrators.

6 Cost

In developing this proposal, we considered the costs associated with implementing the proposed
solution, including the resources required to complete discrete milestones on a timeline for
implementation. The timeline includes preparation, development, testing, proper documentation
updates, monitoring, and execution of the solution.

The cost of modifying the system to conform to the changes to the TBPAG will be $14,987.00.

7 Conclusion

This change order proposal presents a viable solution that addresses the amendments to the TBPAG
and is consistent with the terms of our contract. We respectfully request that the FCC review and
approve this change order.

			
	 	 	 
	© NeuStar, Inc. 2009
	 	-8-

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