Document:

exv10w2w3

 

Exhibit 10.2.3

Pursuant to 17 CFR 240.24b-2, confidential information has been omitted in places marked “[*
* *]” and has been filed separately with the Securities and Exchange Commission pursuant to a
Confidential Treatment Application filed with the Commission.

AMENDMENT

TO

CONTRACTOR SERVICES AGREEMENT

FOR

NUMBERING ADMINISTRATION CENTER / SERVICE

MANAGEMENT SYSTEM

ANNUAL UPDATE TO CONVERSION FACTOR 

FOR THE PERIOD JUNE 1, 2006 TO MAY 31, 2007

Page 1

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

AMENDMENT

TO

CONTRACTOR SERVICES AGREEMENT FOR NUMBERING

ADMINISTRATION CENTER / SERVICE MANAGEMENT SYSTEM

Annual Update to Conversion Factor

For the Period June 1, 2006 to May 31, 2007

1. PARTIES

This Revision 2 (“Revision”) of Amendment Number 46 ( “Amendment No. 46”) is entered into pursuant
to Article 30 of, and upon execution shall be a part of, the Contractor Services Agreement for
Number Portability Administration Center/Service Management System, as amended by that certain
Amending Agreement, effective March 31, 2003 (the “Amending Agreement”) and that certain Amending
Agreement, effective October 28, 2005 (the “Second Amending Agreement”) (the “Master Agreement”) by
and between NeuStar, Inc., a Delaware corporation (“Contractor”) and the Canadian LNP Consortium,
Inc., a corporation incorporated under the laws of Canada (the “Customer”).

2. EFFECTIVENESS

This Revision shall be effective as of the 1st day of June 2006 (the “Revision Effective
Date”) only upon execution of this Revision by Contractor and Customer. The number in the upper
left-hand corner refers to this Revision. Undefined capitalized terms used herein shall have the
meanings ascribed by the Master Agreement.

3. ANNUAL UPDATE

Pursuant to the Amending Agreement of the Master Agreement, Contractor and Customer agreed to
specify all amounts chargeable, payable, or to be credited under the Master Agreement, including,
for greater certainty and without limitation, amounts listed in Exhibit E, Exhibit G and amounts
under or pursuant to any Statement of Work and any Performance Credits, in Canadian dollars, but
except as otherwise provided in the Amending Agreement. For the period June 1, 2003 to May 31,
2004, each such dollar amount, was initially converted from its U.S. dollar amount into Canadian
dollars by multiplying each such amount by a conversion factor equal to 1.5723.

In accordance with the terms of the Amending Agreement, effective on each anniversary of the
Amending Agreement, the conversion factor set forth above is recomputed based
on the average of the exchange rates for each of the last five (5) Business Days in the month of
April immediately preceding the applicable anniversary of the Amending

Page 2

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

Agreement’s effective date,
as published in the Key Currency Cross Rates column of the Wall Street Journal. In accordance with
the terms and conditions of the Amending Agreement, the conversion factor for the period of June 1,
2004 to May 31, 2005 was calculated to equal 1.3612, as reflected in Amendment No. 46, and
1.2484 for the period of June 1, 2005 to May 31, 2006, as reflected in Revision 1 to
Amendment No. 46. In accordance with the terms and conditions of the Amending Agreement, the
conversion factor for the period of June 1, 2006 to May 31, 2007 was calculated to equal
1.1274.

4. AMENDMENT AND RESTATEMENT

Effective on the Revision Effective Date, and throughout the Initial Term, the parties hereby amend
and restate Exhibit E and Exhibit G to the Master Agreement and Section 6.1(c) and Article 16 of
the Master Agreement in their entirety to reflect all amounts chargeable, payable, or to be
credited under the Master Agreement in Canadian dollars based on the conversion factor set forth in
Article 3 above (attached hereto as Attachments 1, 2, 3, and 4 respectively). Notwithstanding the
foregoing, except when and as otherwise expressly provided by a written agreement between
Contractor and Customer, and subject to the reservation in Article 5 below, any amended and
restated document attached hereto is intended for information purposes only.

5. RESERVATION

The rights and obligations of the parties with respect to the calculation and application of a
conversion factor are defined in the Master Agreement, as amended by the Amending Agreement. It is
the intent of the parties that neither party will be prejudiced by any errors or mistakes in
calculating any conversion factor or by the application of any conversion factor. Upon the
discovery of any such error or mistake, the parties will promptly and in good faith issue a
correction; e.g., by issuing a revised Statement of Work.

6. COMPLETION AND ACCEPTANCE CRITERIA

The following internal documents are applicable to the Additional Services contemplated under this
Revision:

N/A            Functional Requirements Specifications

N/A            Requirements Traceability Matrix

N/A            External Design

N/A            System Design

N/A            Detailed Design

N/A            Integration Test Plan

N/A            System Test Plan

N/A            Software Quality Assurance Program Report

N/A            User Documentation

N/A            Software Configuration Management Plan

N/A            Standards and Metrics

Page 3

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

7. IMPACTS ON MASTER AGREEMENT.

The following portions of the Master Agreement are impacted by this Revision:

   þ              Master Agreement

None            Exhibit B Functional Requirements Specification

None            Exhibit C Interoperable Interface Specification

   þ              Exhibit E Pricing Schedules

None            Exhibit F Project Plan and Test Schedule

   þ              Exhibit G Service Level Requirements

None            Exhibit H Reporting and Monitoring Requirements

None            Exhibit I Key Personnel

None            Exhibit J User Agreement Form

None            Exhibit K External Design

None            Exhibit L Infrastructure/Hardware

None            Exhibit M Software Escrow Agreement

None            Exhibit O Statement of Work Cost Principles

8. MISCELLANEOUS.

     8.1 Continuation of Master Agreement and User Agreement

Except as specifically modified and amended hereby, all the provisions of the Master Agreement and
the User Agreements entered into with respect thereto, and all exhibits and schedules thereto,
shall remain unaltered and in full force and effect in accordance with their terms. From and after
the date hereof, any reference in either the Master Agreement to itself and any Article, Section or
subsections thereof or to any Exhibit thereto, or in any User Agreement to itself or to the Master
Agreement and applicable to any time from and after the date hereof, shall be deemed to be a
reference to such agreement, Article, Section, subsection or Exhibit as modified and amended by
this Revision. From and after the Revision Effective Date, this Revision shall be a part of the
Master Agreement and, as such, shall be subject to the terms and conditions therein.

     8.2 Counterparts.

This Revision may be executed in two or more counterparts and by different parties hereto in
separate counterparts, with the same effect as if all parties had signed the same document. All
such counterparts shall be deemed an original, shall be construed together and shall constitute one
and the same instrument.

Page 4

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

     8.3 Entire Agreement. 

This Revision sets forth the entire understanding between the Parties with regard to the subject
matter hereof and supersedes any prior or contemporaneous agreement, discussions, negotiations or
representations between the Parties, whether written or oral, with respect thereto.

[THIS SPACE INTENTIONALLY LEFT BLANK]

Page 5

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

IN WITNESS WHEREOF, the undersigned have executed and delivered this Revision 2 to Amendment No.
46:

	 	 	 	 	 
	CONTRACTOR: NeuStar, Inc.	 	 
	 
	 	 	 	 
	By:
	 	/s/ Michael O’Connor 	 	 
	 

	 	 	 	 
	Its:
	 	VP-Customer Relations 	 	 
	 

	 	 	 	 
	Date:
	 	19 July 2006 	 	 
	 

	 	 	 	 
	 
	 	 	 	 
	CUSTOMER: Canadian LNP Consortium, Inc. 	 	 
	 
	 	 	 	 
	By:
	 	/s/ Jacques Sarazin 	 	 
	 

	 	 	 	 
	Its:
	 	President 	 	 
	 

	 	 	 	 
	Date:
	 	June 30/06 	 	 
	 

	 	 	 	 

Page 6

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

ATTACHMENT 1

TO

REVISION 2 TO AMENDMENT NO. 46(CA)

Amended and Restated Exhibit E to Master Agreement

Page 7

 

EXHIBIT E

PRICING SCHEDULES

NPAC/SMS SERVICES

 

 

PRICING SCHEDULES

     The following schedules set forth the prices at which Contractor will be compensated for
rendering the Services under the Agreement. A general description of these charges and the methods
of billing therefor are set forth in Section 6 of the Agreement. See Agreement for other
applicable charges.

     Notwithstanding anything in the Agreement to the contrary: (a) all amounts chargeable,
payable, or to be credited under the Agreement, including, for greater certainty and without
limitation, amounts listed in Exhibit E, Exhibit G and amounts under or pursuant to any Statement
of Work and any Performance Credits, shall be in Canadian dollars; and (b) all amounts described in
subparagraph (a) immediately above, excluding the amount set forth in Sections 20.1(iv) (which
amount shall continue to be denominated in US dollars) and 20.4(iv) (which amount shall continue to
be denominated in Canadian dollars as set forth below), will be adjusted as follows:

(I) effective on the Effective Date, for the period June 1, 2003 to May 31, 2004, each such dollar
amount, shall be converted from its U.S. dollar amount, as such amounts appear in the Agreement
immediately prior to the Effective Date (other than such of those amounts expressly amended by an
Amending Agreement between Contractor and Customer, dated March 31, 2003, which amended amounts
shall be utilized for the purposes of the conversion described herein) into Canadian dollars by
multiplying each such amount by the number 1.5723; and

(II) effective on each anniversary of the Effective Date, each such dollar amount shall be
converted from its U.S. dollar amount, as such U.S. dollar amounts appear in the Agreement
immediately prior to the Effective Date (other than such of those amounts expressly amended by an
Amending Agreement between Contractor and Customer, dated March 31, 2003, which amended amounts
shall be utilized for the purposes of the conversion described herein), into Canadian dollars by
multiplying each such amount by the average of the exchange rates for each of the last five (5)
Business Days in the month of April immediately preceding the applicable anniversary of the
Effective Date, as published in the Key Currency Cross Rates column of the Wall Street Journal.

     Effective on the Effective Date, and throughout the Initial Term, the dollar amount set forth
in Section 20.4 will be adjusted by multiplying such dollar amount by the number 1.0000.

     Within fifteen (15) days following the last Business Day in April of each year, the parties
shall amend and restate Exhibit E, Exhibit G, Section 6.1(c), and Article 16 in their entirety, to
reflect all dollar amounts in Canadian dollars based on the applicable exchange rate.

The exchange rate determined at the June 1, 2006 anniversary is 1.1274 .

E-9

 

Schedule 1

Service Element Fees/Unit Pricing

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Price	 	 
	 	 	 	 	 	 	U.S.	 	Price
	Category	 	Service Element	 	Unit	 	Dollars	 	Canadian Dollars
	 
	1. [* * *]
	 	 	 	 	 	 	 	 
	 
	 	[* * *]	 	[* * *]	 	$[* * *]	 	$[* * *]
	 
	 	[* * *]1 	 	[* * *]	 	$[* * *]	 	$[* * *]
	 
	 	[* * *]	 	[* * *]	 	$[* * *]	 	$[* * *]
	 
	 	[* * *]	 	[* * *]	 	[* * *]	 	$[* * *]
	 
	 	[* * *]	 	[* * *]	 	[* * *]	 	$[* * *]
	 
	 	[* * *]	 	[* * *]	 	$[* * *]	 	$[* * *]
	2. [* * *]
	 	 	 	 	 	 	 	 
	 
	 	[* * *]2 	 	[* * *]	 	$[* * *]	 	$[* * *]
	 
	 	[* * *]3	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	Price in USD	 	 
	 	 	 	 	 	 	 	 	for each TN	 	 
	 	 	Applicable	 	 	 	 	 	Porting Event	 	Price in
	 	 	Tiers	 	Tier Start*	 	Tier End*	 	Within Tier	 	CDN
	 
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]
	 	[* * *]
	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 
	* The above tier volumes represent cumulative TN Porting Events measured from September 1, 2005.
The price described above for each TN Porting Event is the price for each TN Porting Event within each
Tier set forth above.
	 
	 

	 	[* * *]
	 	 	 	[* * *]
	 	  [* * *]
	 	  [* * *]
	 

	 	 	 	 	 	 	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]4 
	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	 	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]5 
	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 

	 	[* * *]6 
	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 
	 

	 	[* * *]
	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 
	3. [* * *]
	 	 	 	 	 	 	 	 	 	 
	 

	 	[* * *] 7 
	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	 
	 

	 	[* * *]8 
	 	 	 	[* * *]
	 	$[* * *]
	 	$[* * *]

E-10

 

The TN Porting Event charges described in the TN Porting Event row in the foregoing table (the
“Amended Rates”) shall be effective as of, and based on, volumes of TN Porting Events executed
beginning on [* * *] . Notwithstanding the Amended Rates, if, in any calendar year,
including 2005, Users who are shareholders of the Customer (“Canadian Users”), in the aggregate,
execute more than [* * *] TN Porting Events, the TN Porting Event charge shall, for the
balance of such calendar year in which such number of aggregate TN Porting Events shall have been
executed, equal US$ [* * *] (CA$ [* * *] in accordance with SOW46 Revision 2).
For greater certainty, subject to the immediately preceding sentence, all TN Porting Events
executed by Canadian Users in excess of [* * *] TN Porting Events in any calendar year
shall be included in the TN Porting Events used to derive applicable TN Porting Event charges in
the years following the year in which Canadian Users executed more than [* * *] TN
Porting Events.

E-11

 

Schedule 2

Training Charges

	 	 	 	 	 	 	 
	 	 	 	 	Price	 	Price
	 	 	 	 	U.S.	 	Canadian
	Service Element	 	Unit	 	Dollars	 	Dollars
	[* * *]

	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	[* * *]9 10

	 	[* * *]
	 	$[* * *]
	 	$[* * *]

 

			
	*	 	Training consists of LTI User Training lasting 8 to 12 hours.

E-12

 

Schedule 3

Interoperability Testing *

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Price
	 	 	 	 	 	 	Canadian
	Category & Service Element	 	Unit	 	Price	 	Dollars
	[* * *]
	 	 	 	 	 	 
	[* * *]

	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	[* * *]

	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	[* * *]
	 	 	 	 	 	 
	[* * *]

	 	[* * *]
	 	$[* * *]
	 	$[* * *]
	[* * *]

	 	[* * *]
	 	$[* * *]
	 	$[* * *]

* [* * *]

 

			
	1	 	Monthly port charges [* * *]
	 
	2	 	[* * *]
	 
	3	 	The TN Porting Event [* * *]
	 
	 	 	The TN Porting Event [* * *]
	 
	4	 	An Ad Hoc Report [* * *]
	 
	5	 	[* * *]
	 
	6	 	[* * *]
	 
	7	 	The one-time Log-on ID [* * *]
	 
	8	 	The Mechanized Interface [* * *]
	 
	9	 	[* * *]
	 
	10	 	[* * *]

E-13

 

	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	Date: June 1, 2006
	SOW:    þNo
	 	 
	               oYes
	 	 

ATTACHMENT 2

TO

REVISION 2 TO AMENDMENT NO. 46(CA)

Amended and Restated Exhibit G to Master Agreement

Page 14

 

EXHIBIT G

SERVICE LEVEL REQUIREMENTS

NPAC/SMS

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Service	 	 	 	 	 	Report
	 	 	 	 	 	 	Affecting/	 	 	 	 	 	Frequency and
	 	 	 	 	 	 	Non-Service	 	Performance	 	Performance Credit	 	Performance Credit
	No.	 	Procedure	 	Service Commitment Level	 	Affecting	 	Credit US Dollars	 	Canadian Dollars	 	Calculation Interval
	1.

	 	Service Availability

(Customer)
	 	Maintain a 99.9%
minimum Service
Availability
	 	Service Affecting
	 	>99.85% but
<99.90%:
 $[* *
*];

>99.80% but
<99.85%:
 $[* *
*];

>99.75% but
<99.80%:
 $[* *
*];

>99.70% but
<99.75%:
 $[* *
*];

>99.65% but
<99.70%:
 $[* *
*];

>99.60% but
<99.65%:
 $[* *
*];

<99.60%: $[* * *]
	 	>99.85% but
<99.90%:
 $[* *
*];

>99.80% but
<99.85%:
 $[* *
*];

>99.75% but
<99.80%:
 $[* *
*];

>99.70% but
<99.75%:
 $[* *
*];

>99.65% but
<99.70%:
 $[* *
*];

>99.60% but
<99.65%:
 $[* *
*];

<99.60%: $[* * *]
	 	Monthly

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Service	 	 	 	 	 	Report
	 	 	 	 	 	 	Affecting/	 	 	 	 	 	Frequency and
	 	 	 	 	 	 	Non-Service	 	Performance	 	Performance Credit	 	Performance Credit
	No.	 	Procedure	 	Service Commitment Level	 	Affecting	 	Credit US Dollars	 	Canadian Dollars	 	Calculation Interval
	2.

	 	Scheduled Service

Unavailability

(Customer)
	 	Scheduled Service
Unavailability will be
equal to or less than
20 hours per calendar
quarter, or such longer
period otherwise agreed
to by the Parties,
provided that such
twenty (20) hour period
(each, a “20 Hour
Period”) shall not
include time reasonably
required for release
implementations, data
rebuilds, and other
non-routine tasks (the
time for which shall be
agreed to on a case by
case basis).
Contractor shall, not
less than ten (10)
business days prior to,
and not less than four
(4) business days
after, each Scheduled
Service Unavailability
event, provide to
Customer a request for
maintenance and report,
respectively, both in
the form of Annex A
attached to this
Exhibit G. Contractor
shall not proceed with
the proposed Scheduled
Service Unavailability
unless it has received
prior written approval
(e-mail is acceptable)
from Customer for its
request for
maintenance, which
approval shall not be
unreasonably withheld.
For greater certainty,
for any Scheduled
Service Unavailability
in excess of 20 hours
in each 20 Hour Period,
Customer shall be
entitled to enforce all
remedies available to
it, including without
limitation Performance
Credits as set forth in
this SLR 2. No
Scheduled Service
Unavailability event
shall exceed ten (10)
hours. Each such event
shall be scheduled in
advance and shall be
coordinated with each
User’s maintenance
schedule.
	 	Service Affecting
	 	$[* * *] for each
hour or portion
thereof in excess
of approved
Scheduled Service
Unavailability or
such longer period
otherwise agreed to
by the Parties
	 	$[* * *] for each
hour or portion
thereof in excess of
approved Scheduled
Service
Unavailability or
such longer period
otherwise agreed to
by the Parties
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	3.

	 	SOA/LSMS

Acknowledgement

Response Times

(Customer)
	 	Response time (i.e.,
means NPAC processing
time) for 95% of the
responses will be equal
to or less than 3
seconds, except for
miscellaneous
transactions, such as
queries, audits and
edits
	 	Service Affecting
	 	$[* * *]
	 	$[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	4.

	 	LSMS Broadcast Time

(Customer)
	 	A mean time maximum of
60 seconds from
activation to broadcast
	 	Service Affecting
	 	$[* * *]
	 	$[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	5.

	 	SOA to NPAC
Interface
Transaction Rates
(Customer)
	 	Maintain a minimum of 2
transactions per second
per User SOA for 95%
of the transactions.
	 	Service Affecting
	 	$[* * *]
	 	$[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	6.

	 	NPAC to LSMS
Interface
Transaction Rates
(Customer)
	 	Maintain a minimum of
10 transactions per
second per User LSMS
for 95% of the
transactions (excluding
the impact of delays
caused by Users)
	 	Service Affecting
	 	$[* * *]
	 	$[* * *]
	 	Monthly

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Service	 	 	 	 	 	Report
	 	 	 	 	 	 	Affecting/	 	 	 	 	 	Frequency and
	 	 	 	 	 	 	Non-Service	 	Performance	 	Performance Credit	 	Performance Credit
	No.	 	Procedure	 	Service Commitment Level	 	Affecting	 	Credit US Dollars	 	Canadian Dollars	 	Calculation Interval
	7.

	 	SOA/LSMS Interface

Availability

(User)
	 	Maintain an Interface
Availability at a
minimum of 99.9%
	 	Service Affecting
	 	>99.85% but
<99.90%: 
$[* *
*];

>99.80% but
<99.85%: 
$[* *
*];

>99.75% but
<99.80%:
 $[* *
*];

>99.70% but
<99.75%: 
$[* *
*];

>99.65% but
<99.70%:
 $[* *
*];

>99.60% but
<99.65%:
 $[* *
*];

<99.60%: $[* * *]
	 	>99.85% but
<99.90%:
 $[* *
*];

>99.80% but
<99.85%:
 $[* *
*];

>99.75% but
<99.80%:
 $[* *
*];

>99.70% but
<99.75%:
 $[* *
*];

>99.65% but
<99.70%: 
$[* *
*];

>99.60% but
<99.65%: 
$[* *
*];

<99.60%: $[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	8.

	 	Unscheduled Backup

Cutover time

(Customer)
	 	A maximum of 10
minutes to cutover to
the backup site
	 	Service Affecting
	 	$[* * *]
	 	$[* * *]
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	9.

	 	NPAC/SMS Partial

Disaster Restoral

Interval

(Customer)
	 	Partial restoration
will be equal to or
less than 24 hours
(Partial restoration
meaning the capability
of receiving,
processing and
broadcasting updates)
	 	Service Affecting
	 	$[* * *] for each
day or portion
thereof in excess
of 24 hours

	 	$[* * *] for each
day or portion
thereof in excess
of 24 hours
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	10.

	 	NPAC/SMS Full

Disaster Restoral

(Customer)
	 	Full restoration will
occur at a maximum of
48 hours
	 	Service Affecting
	 	$[* * *] for each day or portion
thereof in excess
of 24 hours
	 	$[* * *] for each day or portion
thereof in excess
of 24 hours
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	11.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	12.

	 	User Problem

Resolution
	 	Minimum 80% calls

during Normal Business

Hours answered by live

operators within 10

seconds
	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	13.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	14.

	 	User Problem

Resolution
	 	99.0% callback within
30 minutes for requests
made during other than
Normal Business Hours
	 	Non Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	15.

	 	User Problem

Resolution
	 	A minimum of 99.5% of
all commitments to get
back to the User after
the initial contact
will be met
	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Monthly
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	16.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	17.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	18.

	 	System Security
	 	Monitor and record
unauthorized system
access
	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	19.

	 	System Security
	 	Remedy logon security

permission errors

immediately after User

notification
	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	20.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Service	 	 	 	 	 	Report
	 	 	 	 	 	 	Affecting/	 	 	 	 	 	Frequency and
	 	 	 	 	 	 	Non-Service	 	Performance	 	Performance Credit	 	Performance Credit
	No.	 	Procedure	 	Service Commitment Level	 	Affecting	 	Credit US Dollars	 	Canadian Dollars	 	Calculation Interval
	21.

	 	Scheduled Service

Unavailability

Notification
	 	Notice of Scheduled
Service Unavailability
for routine maintenance
of NPAC/SMS to be given
a minimum of 2 weeks in
advance.	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	Notice of Scheduled
Service Unavailability
for non-routine
maintenance of NPAC/SMS
to be given as follows:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	•    During Normal
Business Hours — a
minimum of 7 days in
advance
	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	•    During
Non-Normal Business
Hours — a minimum of 24
hours in advance

	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	22.

	 	Unscheduled Service

Unavailability

Notification
	 	Notify User within 15
minutes of detection of
an occurrence of
unscheduled Service
Unavailability
	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	23.

	 	Unscheduled

Service

Unavailability

Notification
	 	Provide 30-minute
updates of NPAC status
following an occurrence
of unscheduled Service
Unavailability through
recorded announcement
and client bulletins
	 	Non-Service

Affecting
	 	[* * *]
	 	[* * *]
	 	Per Event
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	24.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	25.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	26

	 	RESERVED	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	27.

	 	RESERVED	 	 	 	 	 	 	 	 	 	 

 

	 	 	 	 	 	 	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	 	 	Date:
	 	June 1, 2006
	SOW:

	 	þNo	 	 	 	 	 	 
	 

	 	oYes	 	 	 	 	 	 

ATTACHMENT 3

TO

REVISION 2 TO AMENDMENT NO. 46(CA)

Amended and Restated Section 6.1(c) of the Master Agreement

Page19

 

ARTICLE 6 — PRICING AND ADJUSTMENT

6.1

(a) General

Contractor shall be compensated for rendering the Services hereunder at the prices set forth in
Exhibit E — Pricing Schedules (the “Pricing Schedules”). Customer will deliver an Allocation Model
to Contractor for billing on or before the 30th day prior to the close of the first Billing Cycle;
provided, however, that if Customer fails to provide an Allocation Model by such date and until 30
days after such Allocation Model is so provided, Contractor shall be entitled to allocate all
allocable charges hereunder pro rata to the Users, and shall invoice such Users accordingly.
Thereafter, Customer may change the Allocation Model on 30 days written notice period.

Except as provided in a Statement of Work or as otherwise specifically provided hereunder,
Contractor will not increase the prices set forth in the Pricing Schedules during the Initial Term
of this Agreement. Thereafter, the prices for Services may be increased upon not less than 90 days
prior written notice to Customer; provided, however, that (i) any such price increase will not
exceed the total percentage increase, if any, in the CPI for the twelve month period immediately
preceding Contractor’s proposed price increase, or eight percent (8%), whichever is less and (ii)
prices may not be increased more than once in any twelve month period.

(b) One Time Credit

Contractor shall on or before December 31, 2005 pay, by way of credit, the amount of USD$[* * *],
which equals CA$[* * *] under the then-current conversion factor required under Exhibit E, (the
“One Time Credit”) for the benefit of, and for distribution among, the Users who are shareholders
of the Customer (the “Canadian Users”). The One Time Credit shall be payable by Contractor in the
manner stipulated in writing by the Customer in a direction delivered to Contractor, which
direction shall be delivered to Contractor no later than November 30, 2005. For greater certainty,
the Parties expressly acknowledge and agree that the One Time Credit may, in the sole discretion of
the Customer expressed in the direction described in the immediately preceding sentence, be payable
by Contactor: (i) by way of credit against future Canadian User payment obligations to Contractor
(as directed by the Customer); or (ii) by way of payment to the Customer of the One Time Credit (or
a combination of (i) and (ii)), within thirty (30) days of receipt by Contractor of the direction
described in this Section 6.1(b). For greater certainty, if the amount of any such credit allocated
to any Canadian User, as described in (i) in the immediately preceding sentence, exceeds any such
Canadian User’s payment obligations to Contractor in the month in which such credit is allocated by
Contractor (as described in the immediately preceding sentence), the net amount of such credit in
respect of any such Canadian User shall be applied in the next following month, and so on, until
such credit is exhausted, unless otherwise directed by the Customer.

(c) Fixed Annual Credit

Subject to the requirements set forth below in this Section 6.1(c), Contractor shall, in each
calendar year during the Initial Term beginning in 2006, pay an
annual credit in the amount of $[* * *], which equals CA$[* * *] under the current conversion factor required

 

 

under Exhibit E, for the benefit of, and for distribution among, the Canadian Users (each a “Fixed Annual
Credit”). The Fixed Annual Credit shall be payable by Contractor in the manner stipulated in
writing by the Customer in a direction delivered to Contractor, which direction shall be delivered
to Contractor for each applicable calendar year no later than November 30 of that calendar year
during the Initial Term beginning in 2006 . For greater certainty, the Parties expressly
acknowledge and agree that the Fixed Annual Credit may, in the sole discretion of the Customer
expressed in the direction described in the immediately preceding sentence, be payable by
Contractor: (i) by way of credit against future Canadian User payment obligations to Contactor (as
directed by the Customer); or (ii) by way of payment to the Customer of the Fixed Annual Credit (or
a combination of (i) and (ii)), within thirty (30) days after both (A) Contractor receives the
direction described in this Section 6.1(c), and (B) the annual, aggregate volume of executed Ported
TN Events exceeds the applicable thresholds set forth below. For greater certainty, if the amount
of any such credit allocated to any Canadian User, as described in (i) in the immediately preceding
sentence, exceeds any such Canadian User’s payment obligations to the Contractor in the month in
which such credit is applied by Contractor (as described in the immediately preceding sentence),
the net amount of such credit in respect of any such Canadian User shall be applied in the next
following month, and so on, until such credit is exhausted, unless otherwise directed by Customer.
The Fixed Annual Credit shall only be payable by Contractor for each calendar year if Canadian
Users, in the aggregate for each applicable calendar year, execute: (i) in the calendar year 2006,
more than [* * *] TN Porting Events; (ii) in the calendar year 2007, more than [* * *] TN Porting
Events; (iii) in the calendar year 2008, more than [* * *] TN Porting Events; (iv) in the calendar
year 2009, more than [* * *] TN Porting Events; (v) in the calendar year 2010, more than [* * *] TN
Porting Events; and (vi) in the calendar year 2011, more than [* * *] TN Porting Events.
Notwithstanding anything in this Section 6.1(c) to the contrary, if the number of TN Porting Events
in any calendar year does not exceed the volume thresholds set forth in the immediately preceding
sentence, then that calendar year’s Fixed Annual Credit forever expires, and in no event shall such
Fixed Annual Credit be available or otherwise be used in a subsequent calendar year, provided that
neither Party will be prejudiced by any error or mistake in calculating the aggregate number of TN
Porting Events described in the immediately preceding sentence. Upon the discovery of any such
error the Parties will promptly, and in good faith correct such error, including any adjustment as
may be required under this Section.

(d) No Withholding or Deduction.

All applicable credits and amounts payable described in Section 6.1(b) and Section 6.1(c) shall be
applied and paid, as described herein, without withholding or any deduction whatsoever.

 

 

	 	 	 	 	 	 	 	 	 
	Amendment No. 46(CA) Rev. 2

	 	 	 	Date:
	 	June 1, 2006
	SOW:

	 	þNo	 	 	 	 	 	 
	 

	 	oYes	 	 	 	 	 	 

ATTACHMENT 4

TO

REVISION 2 TO AMENDMENT NO. 46(CA)

Amended and Restated Article 16 of the Master Agreement

Page22

 

ARTICLE 16 — DELAYS; PERFORMANCE CREDITS AND CORRECTIVE REPORTING; DEFAULTS; FORCE
MAJEURE

16.1 Notice of Delays

Time is of the essence in Contractor’s performance of its obligations under this Agreement.
Contractor shall promptly notify Customer in writing of any anticipated or known delay in
Contractor’s performance of an obligation by the date specified therefor, if any, in this
Agreement, the reasons for the delay, and the expected duration of the delay. In the event of any
failure of Customer or User to perform an obligation which delays or threatens to delay a scheduled
performance date of Contractor under this Agreement (“Customer/User Delay”), Contractor shall
promptly notify Customer in writing of such delay or threatened delay, and Contractor’s scheduled
performance date shall be extended day-for-day for any such actual delay of Customer or User
directly affecting such scheduled performance date. If Contractor fails to notify Customer of a
Customer/User Delay of which Customer or the applicable User does not otherwise have a prior notice
(i.e., pursuant to a Project Plan), Contractor may not use such Customer/User Delay as an excuse
for its failure to meet a scheduled performance date.

16.2 [Deleted]

16.3 Performance Credits

In the event that a Service Affecting Event (as defined below) shall have occurred for any reason
other than the occurrence of a Force Majeure Event or a Customer/User Delay, Contractor shall pay
to Customer or affected Users, as applicable, as “Performance Credits” (and as liquidated damages
and not as a penalty) an aggregate sum equal to the amount set forth under the heading “Performance
Credit Amount” for each such Service Affecting Event, as set forth in Exhibit G; provided, however,
that in no event shall the annual aggregate amount of Performance Credits exceed $[* * *], which
equals CA$[* * *] under the current conversion factor required under Exhibit E. For purposes
hereof, a “Service Affecting Event” shall mean the failure of Contractor to meet a “Service
Affecting” Service Commitment Level set forth in Exhibit G — Service Level Requirements; provided,
however, that if the same facts and circumstances directly or indirectly result in the failure to
meet more than one Service Level, all such related failures, for purposes of calculating
Performance Credits which shall be due in connection therewith, shall be deemed to be a single
Service Affecting Event. [Amended]

In the event that a Non-Service Affecting Event (as defined below) shall have occurred for any
reason, Contractor shall not be required to pay any Performance Credits. For each Non-Service
Affecting Event, Contractor shall (i) notify Customer in writing of such Non-Service Affecting
Event, including in such notification an explanation of the cause of the Non-Service Affecting
Event and a detailed summary of the course of actions, if any, necessary to mitigate the likelihood
of such cause recurring and (ii) diligently pursue the identified course of action to completion.
For purposes hereof, a “Non-Service Affecting Event” shall mean the failure of Contractor to meet
one of the Service Levels other than those which give rise to Service Affecting Events.

 

 

16.4 Allocation of Damages Among Users

The aggregate amount of accrued liquidated damages under Section 16.3 above shall be allocated
among Users as directed by Customer and credited against the next succeeding monthly billing to
such Users for Services or, in the event Customer terminates this Agreement as a result of any such
failure, shall be allocated and credited in the same manner, with the balance, if any, remaining
after applying said amounts against any final billings to be paid to such Users by Contractor.
Liquidated damages shall be considered as compensation for direct damages for the delay suffered by
the Users other than those specified in Section 19.1(g) and Contractor shall remain liable for any
of the direct damages specified in Section 19.1(g). [Amended]

16.5 Contractor Defaults

Contractor shall be in default (“Default”) under this Agreement if Contractor shall:

(a) chronically fail to provide the Canadian NPAC/SMS at one or more of the “Service
Affecting” Service Levels, which failure is evidenced by recurring events of the same or
similar nature that are indicative of a systemic problem and which either have been
unaffected by Contractor’s repeated cure efforts, if any, or are reasonably unlikely to be
cured with Contractor’s diligent efforts over a reasonable period, which in any event shall
be no less than 30 days; or [Amended]

(b) fail to perform any of its other material obligations, i.e., material breach, under
this Agreement (including the obligations referred to in Section 21.3, but excluding the
obligations referred to in Section 16.5(a) above) and such failure continues for a period
of 30 days following receipt of written notice of such failure from Customer; provided,
however, that where such failure (other than with respect to a payment obligation) cannot
reasonably be cured within such 30 day period, so long as Contractor is diligently pursuing
such cure, the time for curing such failure shall be extended for such period as may be
necessary for Contractor to complete such cure.

Upon any Default hereunder by Contractor, Customer may, subject to Articles 19 and 26 hereof,
pursue any legal remedies it may have under applicable law or principles of equity.

16.6 Force Majeure

Any failure or delay by Customer, a User or Contractor in the performance of its obligations under
this Agreement shall not be deemed a Default of this Agreement to the extent such failure or delay
is directly or indirectly caused by fire, flood, earthquake, elements of nature or acts of God,
acts of war, terrorism, riots, civil disorders, rebellions or revolutions in the United States or
Canada, court order, or the occurrence of a Force Majeure Event (as otherwise defined herein)
affecting the non-performing Party’s first-tier suppliers, subcontractors or agents (i.e.,not
subcontractors of subcontractors), or any other similar cause beyond the reasonable control of such
Party and without the fault or negligence of such Party and which cannot be reasonably circumvented
by the non-performing Party through the use of alternate sources, workaround plans or other means
(each, a “Force Majeure Event”). Notwithstanding the foregoing, any failure or
delay by Contractor which results from Contractor’s failure to comply with a requirement of this
Agreement intended to prevent such a failure shall not be considered subject to this Article.
Notwithstanding the foregoing, Contractor’s liability for loss or damage to Customer’s material in
Contractor’s possession or control shall not be modified by this clause.exv10w3w4

 

Exhibit
10.3.4

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	1. CONTRACT ID CODE	 	 	 	PAGE OF PAGES
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	 	                    A	 	 	 	1	3
	 	 	 	 	 	 	 	 	 
	2.	 	AMENDMENT/MODIFICATION NO.	 	3. EFFECTIVE DATE	 	4.	 	REQUISITION/PURCHASE REQ. NO.	 	5.	 	PROJECT NO. (If applicable)
	 
	 	 	 	0015	 	 	 	11/15/2005	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 
	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)	 	(x)	 	9A.     AMENDMENT OF SOLICITATION NO.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	     Neustar, Inc.	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	9B.     DATED (SEE ITEM 11)
	 	 	     46000 Center Oak Plaza	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10A.   MODIFICATION OF CONTRACT/ORDER NO.
	 	 	     Sterling, VA 20166	 	(X)	 	          CON01000016
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	(X)	 	10B.   DATED (SEE ITEM 13)
	 	 	 	 	 	 	 	 	 	 	 	 
	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 ACKNOWLEDGEMENT 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 Change
	 	 	 	 
	 
	 	 	 	 	 	 	13.	 	THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
	 
	 	 	 	 	 	 	 	 	IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
	 	 	 	 
	 	 	 	 	 	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:

Mutual Agreement of the Parties
	 	 	 	 
	 	 	 	 	 	D. OTHER (Specify type of modification and authority)
	 
	 	 	 	 	 	 	 	 	 
	 	 	 	 
	E.	 	IMPORTANT: Contractor [X] is not, [  ] is required to sign this document and return 3 copies to
the issuing office.
	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	14.	 	DESCRIPTION of AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	THE ABOVE NUMBERED CONTRACT IS HEREBY MODIFIED TO:
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	1)  TO ACCEPT ALL CHANGE ORDER #37 AT A COST OF $1,358.00.  COPY OF CHANGE ORDER IS ATTACHED.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	ALL OTHER TERMS AND CONDITIONS REMAIN THE SAME.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	15A.	 	NAME AND TITLE OF SIGNER (Type or print)	 	 	16A.	 	NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
Dennis O. Dorsey
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	15B.	 	CONTRACTOR/OFFEROR	 	 	15C.	 	DATE SIGNED	 	 	16B.	 	UNITED STATES OF AMERICA	 	  16C. DATE SIGNED
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	BY	 	 	 	 	 	 	  12/5/05
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(Signature of person authorized to sign)
	 	 	 	 	 	 	 	 	 	(Signature of Contracting Officer)	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	NSN 7540-01-152-8070	 	 	 	 	 	30-105	 	 	 	 	 	 	STANDARD FORM 30 (Rev. 10-83)
	PREVIOUS EDITION UNUSABLE	 	 	 	 	 	 	 	 	 	 	Prescribed by GSA
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	FAR (48 CFR) 53.243

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	LINE ITEM	 	Document Number	 	Title	 	 	 	 	 	Page	 
	 	SUMMARY	 	CON01000016/0017	 	Pooling Administrator   –  Neustar	 	 	 	2 of 3	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	Line Item

	 	 	 	 	Delivery Date
	 	 	 	Unit of	 	 	 	 	 	 	 
	 	Number

	   Description
	 	(Start date to End date)
	 Quantity
	 	Issue
	 	 	Unit Price
	 	 	Total Cost
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	  	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	          No Changed Line Item Fields	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	Previous Total:	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	Modification Total:	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	Grand Total:	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  Address Detail	 	 	 	Title	 	Document Number	 	Page
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	Pooling Administrator – Neustar
	 	CON01000016/0017
	 	3 of 3
	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Shipping Addresses	 	 	 	 	 	 	 	 
	 

	 	Code
	 	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.	 	 	 	 

 

  

   

National Pooling Administration

Change order Proposal #37

(INC Issue #458 – “Reduce Aging Period For

Returned/Reclaimed Blocks”)

December 7, 2004

  

			
	NeuStar, Inc.
	 	4600 Center Oak Plaza

Sterling VA, 20166

   

 

 

			
	Nat’l PAS — Change Order #37 (INC Issue 458)
	 	December 7, 2004

   

TABLE OF CONTENTS

	 	 	 	 	 
	1 Introduction
	 	 	3	 
	2 Industry Numbering Committee’s Proposed Change
	 	 	4	 
	3 The Proposal
	 	 	5	 
	4 Assumptions and Risks
	 	 	5	 
	5 Cost
	 	 	5	 
	6 Conclusion
	 	 	5	 

  

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-ii

 

 

			
	Nat’l PAS — Change Order #37 (INC Issue 458)
	 	December 7, 2004

   

1 Introduction

1.1 Purpose and Scope

In accordance with NeuStar’s National Pooling Administration contract 1 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 Attachment B, Section C of the Thousands-Block Pooling
Contractor Technical Requirements, dated November 30, 2000, Sections 2.5 through 2.5.4, which read
as follows:

2.5 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.
The contractor is additionally subject to the provisions of the changes clause in
Section I.

2.5.1 Process

Accordingly, after a contractor is selected, the FCC, the NANC and/or the INC may
establish NANP numbering resource plans, administrative directives, assignment
guidelines (including modifications to existing assignment guidelines), and procedures
that may have an effect on the functions performed by the contractor.

2.5.2 Changes

The contractor shall review changes when numbering resource plans, administrative directives,
assignment guidelines, and procedures are initiated or modified to determine if there is any impact
on the functions that they must perform.

2.5.3 Notifications

The contractor shall then, within a period of not more than 30 calendar days from said event (e.g., the date INC
places an issue into Final Closure), provide the Contracting Officer, state PUCs, and the NANC with written
notice regarding these changes and summarize the potential impact of the changes upon service and cost, if any.

2.5.4 Roles

The NANC shall review the notice and provide a recommendation to the FCC regarding the
effect of the contractor’s notice and supporting documentation.

The contractor shall comply with state regulatory decisions, rules and orders with
respect to pooling, as applicable, as long as they are not in conflict with FCC
decisions, orders, and rules and are within state jurisdiction.

 

			
	1	 	FCC Contract Number CON01000016

   

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-3

 

 

			
	Nat’l PAS — Change Order #37 (INC Issue 458)
	 	December 7, 2004

   

This document provides the information required by the contract, such as identifying the new
requirements of the expanded scope of work, offering our proposed solution, and addressing its
cost, risks, and assumptions as a result of the Industry Numbering Committee’s (INC) disposition of
Issue 458 on November 12, 2004.

2 Industry Numbering Committee’s Proposed Change

According to Section 9.2.4 of the Thousands-Block Number (NXX-X) Pooling Administration Guidelines,
the aging period for returned or reclaimed thousands-blocks, is 90 days. After this 90-day aging
period, blocks are made available for reassignment. On November 12, 2004, INC placed Issue 458
into Final Closure. As a result of INC Issue 458, the aging period in the guidelines is being
reduced from 90 days to 45 days. Therefore, PAS will need to be modified to compensate for this
reduction in the aging period.

INC Issue 458 Reduce Aging Period for Returned/Reclaimed Blocks

Quoted below are the INC official issue statement and final resolution, which can also be found on
the ATIS website (http://www.atis.org):

A) Issue Statement

At INC 77, the INC received a request from the NANC’s Numbering Oversight Working
Group (NOWG) to provide input to the NOWG’s upcoming review of the Pooling
Administrator (PA) Technical Requirements. In CS-098, dated August 24, 2004, the
INC provided four suggestions to the NOWG, including a suggestion to “Age returned
blocks only 45 days instead of 90 days.” Verizon Wireless took an action item to
bring in a new issue and contribution to INC so that the associated guidelines
changes could be made.

Occasionally an SP may need to exchange a block with the industry inventory pool,
and while there may not be other blocks immediately available for assignment, there
may be blocks being “aged” by the PA that were recently returned or reclaimed.
Allowing those returned or reclaimed blocks to be made available for assignment more
quickly may assist SPs when they need to exchange a block, and may assist the PA in
avoiding opening a new code to meet SP demand. The current TBPAG requires that
recently returned or reclaimed blocks be aged for 90 days, but 45 days should be
sufficient to allow the LERG Assignee time to modify its translations to provide
vacant number treatment for the block by the LERG effective date of the disconnect.

B) Following Resolution from INC

The following text changes were made to the TBPAG, section 9.2.4:

9.2.4 The PA must also notify and coordinate with the LERG Assignee in advance of
the thousands-block return Effective Date to allow sufficient

  

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-4

 

 

			
	Nat’l PAS — Change Order #37 (INC Issue 458)
	 	December 7, 2004

  

time for the LERG Assignee to update switch translations in order to provide blank
number treatment for the returned thousands-block(s). The PA will make the
thousands-block available for reassignment after 45
calendar days.

3 The Proposal

NeuStar’s National Pooling Administrator has reviewed INC Issue 458 from both the operational and
technical perspectives. The proposal set forth below will conform to the changes in the INC
guidelines and meet the requirements of the industry in a cost-effective and efficient manner.

Solution

Presently the aging period for returned/reclaimed thousands-blocks according to Section 9.2.4 of
the Thousands-Block Number (NXX-X) Pooling Administration Guidelines is 90 days. After this 90-day
aging period, blocks are made available for re-assignment. The resolution of INC Issue 458 reduced
the aging period from 90 days to 45 days. Therefore, PAS will need to be modified to similarly
reduce the aging period for returned or reclaimed thousands-blocks from 90 days to 45 days from the
effective date of the return or reclamation.

4 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.

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

5 Cost

As with any change order proposal, we also considered the associated costs that would potentially
be incurred in implementing the proposed solution. These costs include the resources required to
complete the milestones on a timeline for implementing the processes and system delineated in this
change order. The timeline includes preparation, proper documentation updates, development,
testing, monitoring, and execution.

The cost to implement our proposed solution would be $1,358.00.

6 Conclusion

In conclusion, the Pooling Administrator offers this viable solution to conform the PAS to INC
Issue 458, and in accordance with contract terms, requests that the FCC review and approve this
change order.

  

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-5

 

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

	 	 	1. CONTRACT ID CODE
	 	 	PAGE OF PAGES
	 

	 	 	A
	 	 	1          3          

	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 
	2. AMENDMENT/MODIFICATION NO.

	 	 	3. EFFECTIVE DATE
	 	 	4. REQUISITION/PURCHASE REQ. NO.
	 	 	5. PROJECT NO. (If
applicable)
	0016

	 	 	05/19/2006	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 
	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.	 	 	 	 	 	9B. DATED (SEE ITEM 11)
	 
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 
	     46000 Center Oak Plaza	 	 	(X)	 	 	10A. MODIFICATION OF CONTRACT/ORDER NO.
        
CON01000016
	 
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	     Sterling, VA 20166	 	 	(X)	 	 	10B. DATED (SEE ITEM 13)
	 
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	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 ACKNOWLEDGEMENT 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 APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

	IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

	 	 	 	 
	 

	 	 	 	 	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:
Mutual Agreement of the Parties
	 	 	 	 
	X

	 	 	 	 	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 above numbered contract is hereby modified to approve Change Order #41 @ no cost and Change order #43 @ a cost of $600.
	 	 	 	 
	 	 	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)
	 

	 	 	 	     Wilma Mooney	 	 
	 
	 	 	 	 	 	 
	 
	15B. CONTRACTOR/OFFEROR

	 	15C. DATE SIGNED
	 	16B. UNITED STATES OF AMERICA
	 	16C. DATE SIGNED
	 
	 	 	 	 	 	 
	 

	 	 	 	BY /s/ Wilma S Moody
	 	06/19/2006
	 	 	 	 	 	 	 
	(Signature of person authorized to sign)

	 	 	 	          (Signature of Contracting Officer)	 	 
	 

	 	 	 
	NSN 7540-01-152-8070

	 	STANDARD FORM 30 (Rev. 10-83)
	PREVIOUS EDITION UNUSABLE

	 	Prescribed by GSA
	 

	 	FAR (48 CFR) 53.243
	 

 

 

	 	 	 	 	 	 	 
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ITEM

	 	Document Number
	 	Title
	 	Page
	SUMMARY

	 	CON01000016/0016
	 	Pooling Administrator — Neustar
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	 	Previous Total:
	 	 
	 

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	 	Grand Total:	 	 
	 
	 
	 

 

 

							
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	 	Pooling Administrator – Neustar
	 	CON01000016/0016
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	 	 	Shipping Addresses	 	 
	 

	 	Code
	 	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.
	 
	 
	 

 

 

 

 

National Pooling Administration

Change Order Proposal #41

(LNPA WG PIM 24 and

CO/NXX Issue #364 — “Modification to Procedures for Code

Holder/LERG Assignee Exit”)

May 4, 2005

 

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

 

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	May 4, 2005

 

Table of Contents

	 	 	 	 	 	 	 
	 	 	 	 	Page
	 
	 	 	 	 	 	 
	1

	 	Introduction
	 	 	3	 
	2

	 	Industry Proposed Changes
	 	 	4	 
	3

	 	The Proposal
	 	 	10	 
	4

	 	Risks and Assumptions
	 	 	12	 
	5

	 	Cost Assumptions and Summary
	 	 	13	 
	6

	 	Conclusion
	 	 	13	 
	Appendix A	 	 	14	 

					
	 
	 

	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	- ii

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	May 4, 2005

 

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 Attachment B, Section C of the Thousands-Block
Pooling Contractor Technical Requirements, dated November 30, 2000, Sections 2.5 through 2.5.4,
which read as follows:

2.5 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. The
contractor is additionally subject to the provisions of the changes clause in Section I.

2.5.1 Process

Accordingly, after a contractor is selected, the FCC, the NANC and/or the INC may establish
NANP numbering resource plans, administrative directives, assignment guidelines (including
modifications to existing assignment guidelines), and procedures that may have an effect on
the functions performed by the contractor.

2.5.2 Changes

The contractor shall review changes when numbering resource plans, administrative directives,
assignment guidelines, and procedures are initiated or modified to determine if there is any
impact on the functions that they must perform.

2.5.3 Notifications

The contractor shall then, within a period of not more than 30 calendar days from said event
(e.g., the date INC places an issue into Final Closure), provide the Contracting Officer,
state PUCs, and the NANC with written notice regarding these changes and summarize the
potential impact of the changes upon service and cost, if any.

2.5.4 Roles

The NANC shall review the notice and provide a recommendation to the FCC regarding the effect
of the contractor’s notice and supporting documentation.

The contractor shall comply with state regulatory decisions, rules and orders with
respect to pooling, as applicable, as long as they are not in conflict with FCC decisions,
orders, and rules and are within state jurisdiction.

 

			
	1	 	FCC Contract Number CON01000016

					
	 	 	 	 	 
	 

	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	- 3

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	May 4, 2005

  

This document covers the required subject matters such as explaining the industry’s
requirements, proposed solution, cost, risk, and assumptions.

2 Industry Proposed Changes

Change Order History

On July 2, 2003, the Pooling Administrator (PA) submitted Change Order #23 as a result of the
industry resolution of Local Number Portable Administration Working Group (LNPA WG) Project Issue
Management (PIM) 24. PIM 24 proposed allowing the PA to obtain NPAC reports, which would enable the
PA to check for contamination levels on donated thousands-blocks and ensure that an NPA-NXX is
properly opened in the NPAC. In Change Order #23, the PA requested FCC approval of the purchase of
reports from the NPAC to assess the contamination level of donated blocks.

On July 29, 2003, the Industry Numbering Committee (INC) placed CO/NXX Issue 364 into Final
Closure. CO/NXX Issue 364 relates to the transfer of pooled codes from carriers that are
proactively shutting down a network or service. The industry recognized that, as with donations,
the PA must be able to verify whether and to what degree there is contamination of the affected
blocks. INC determined that the changes it had made to the INC Thousands-Block Pooling
Administration Guidelines in addressing Issue 364 would not be posted as revision to the guidelines
until the FCC approved the related change order.

On August 26, 2003, the PA withdrew Change Order #23 and replaced it with Change Order #24, which
we believed addressed the issues in both PIM 24 and INC CO/NXX Issue 364, allowing us to compare
contaminated block information in the NPAC, with the information in the PAS, on an ongoing basis.
Our intent was to avoid service-impacting assignment of blocks that had been contaminated after
donation, or between assignment and return, or that were contaminated above the 10% limit.

The NOWG conducted its review of Change Order #24, but did not accept any of the three solutions
proposed by the PA. Instead, the NOWG recommended to the FCC in a response dated September 19,
2003:

     The NOWG recommends that the PA select an NPA from each NPAC Region and perform an audit of
embedded inventory using the proposed NPAC report to ascertain the type and frequency of error
within the PAS embedded base. These results will be shared with the NOWG to assist in determining
if there is value in proceeding with a one-time scrub of the entire PAS embedded base.

In response, the PA requested that the FCC hold Change Order 24 in abeyance, and submitted Change
Order #26, asking to conduct a one-time trial of the process described in Change Order #24. The PA
conducted the trial and presented its findings to the FCC and the LNPA WG. In addition, the PA
recommended to the FCC that the PA should conduct this type of database comparison for all NPAs on
an annual basis. Also, the PA
recommended that it obtain NPAC reports for returned blocks and donated blocks on a weekly basis,
at a minimum, as a way to provide ongoing protection for end users.

					
	 	 	 	 	 
	 

	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	- 4

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	May 4, 2005

 

In response to the PA’s Change Order #26 report, on August 26, 2004 the NOWG recommended to the FCC
as follows:

	•	 	The PA [shall] provide an updated proposal with cost details for
Change Order #24 to the FCC, for review by the NOWG, prior to the
FCC authorizing a one-time scrub of PAS by the PA.

	•	 	Concurrent with this one-time scrub, the PA [shall] prepare and
propose to the INC that a self-certification statement be added to
the Appendix 2 donation form. This proposed certification would
require the SP to certify that (1) the information being provided
has met certain designated stipulations and (2) the donating SP
has properly marked/checked the appropriate items on the form
prior to its submission, whether it be either an electronic or
manual submission.

	•	 	Concurrent with this one-time scrub, the PA [shall] work with INC
to review the TBPAG directions for donating SPs in an effort to
ensure the verbiage and responsibilities are thorough and clear
for both SPs and the PA.

	•	 	During the one-time scrub, the PA [shall] seek the appropriate
support and assistance from the FCC and/or state commissions in
enforcing SP participation in the one-time reconciliation process
in situations where the PA is unable to obtain sufficient
cooperation from individual service providers, e.g., answer PA
inquiries in a timely manner in order for the PA to complete the
one-time scrub.

	•	 	Quarterly, the PA should distribute via their email exploder a
“tip “ describing SP obligations when donating blocks to a pool
and to remind SPs to follow the INC guidelines as they relate to
the underlying causes of mismatches between PAS and the NPAC.
Also, the PA should include any one-time scrub related information
that it believes will help SPs understand where their efforts are
substandard and therefore contribute(s) to this mismatch in the
past and/or in the present.

	•	 	Finally, the NOWG recommends that one year after the first full
reconciliation has been completed by the PA, the NOWG and PA
should then seek input from the industry as to any increase or
decrease in the frequency in which SPs encounter erroneous block
contamination. If the instances have increased, further action
may be warranted, however, the NOWG does not recommend any
further/additional activities other than those related to the
“one-time scrub of the entire PAS database for
unassigned/available blocks in the pool inventory” at this time.

On January 10, 2005, the FCC directed the PA to withdraw Change Order #24 and resubmit a new change
order to conform to the NOWG’s recommendations. Subsequent to the FCC’s direction, the INC and the
LNPA WG met with the NOWG, and agreed to re-examine the issues. In the meantime, however, the NOWG
has now advised the PA by email that:

The NOWG has discussed and has come to consensus that the ‘one time
scrub’ associated with change order 24 needs to be in the works as soon
as possible. This is the shorter term solution that we all have
discussed many times. We understand that the INC and the LNPA WG are
discussing the longer term approach in terms of how to enforce this
going

					
	 	 	 	 	 
	 

	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	- 5

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	May 4, 2005

 

forward but we feel the shorter term solution should be submitted as a
change order as soon as possible.

This Change Order #41 constitutes a resubmission of the request for a one time scrub associated
with Change Order #24, as requested by the NOWG.

Industry Issues Leading to the Change Orders

LNPA WG PIM 24

The issue identified in PIM 24 relates to service providers who cannot use blocks that have been
assigned to them either because the NPA-NXX has not been activated in the Number Portability
Administration Center (NPAC), the thousands-block contamination level is greater than 10%, or the
code holder failed to complete its intra-service provider ports prior to donating the blocks. To
address these problems, the PA and AT&T Wireless submitted a joint PIM at the March 2003 LNPA WG
meeting, which was accepted as PIM 24. PIM 24 proposed allowing the PA to obtain NPAC reports,
which would enable the PA to check for contamination on a donated thousands-block and ensure the
NPA-NXX is opened in the NPAC.

PIM 24, which the PA and AT&T Wireless submitted to the LNPA WG, is reproduced below:

Submittal Date (mm/dd/yyyy): 03/07/03          PIM #

Company(s) Submitting Issue: NeuStar Pooling, AT& T Wireless

Contact(s): Name Barry Bishop, Stephen Sanchez

Contact Number 847-698-6167, 425-288-7051

Email Address barry.bishonAneustar.biz, stephen.sanchez@attws.com

(NOTE: Submitting Company(s) is to complete this section of the form along with Sections 1, 2 and 3.)

1. Problem/Issue Statement: (Brief statement outlining the problem/issue.)

Blocks that are being assigned to Service Providers are either contaminated when they are donated
as a non-contaminated block or the blocks have been contaminated over 10%. This is causing
customers to be out of service or blocks being exchanged for a less contaminated or
non-contaminated block.

In addition when the PA has assigned a block, at times the block is being rejected in the NPAC for
not having the NXX as opened in the NPAC as portable.

2. Problem/Issue Description: (Provide detailed description of problem/issue.)

A. Examples & Impacts of Problem/Issue:

					
	 	 	 	 	 
	 

	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	- 6

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	May 4, 2005

 

When a SP donates a block they mark the block as either contaminated or not contaminated. They do
not indicate how many TN’s are contaminated. SP’s are suppose to do a Intra SP port on their
contaminated TN’s prior to donating a block so that the block can be ported to the new SP and they
can begin using the block on the effective date. The new SP should query the NPAC prior to
assigning any TNs to determine which TN’s are contaminated and exclude those from their inventory
assignment.

In one situation what is happening is that a block is assigned, the new SP goes to put those
numbers in service, the old SP has not done their Intra SP ports causing their customers to be out
of service. To resolve this, the 1000 block has to be deported, so that the old SP can Intra SP
port their numbers then the 1000 block is reported to the new SP.

In another situation a block has been assigned either uncontaminated or contaminated and it is
discovered the block has over 10% contamination. In this case the block has to be deported and a
new block has to be assigned to the SP.

When a block is assigned and the NXX is not opened for porting in the NPAC, the block is rejected.
The SP of the code then has to go into the NPAC and add their code as portable so that the block
can be then ported. Even though this may take a matter of minutes to add, getting a hold of the
correct person at a company to do this may take some time.

B. Frequency of Occurrence:

Ongoing

C. NPAC Regions Impacted:

Canada___Mid Atlantic___Midwest___Northeast___Southeast___Southwest

Western___West Coast___ALL X 

D. Rationale why existing process is deficient:

It is up to the SP’s to do their INTRA SP ports and make sure they take the 1000 block out of their
inventories when donating the block. This is not always happening.

It is up to the SP to add their NXX to the NPAC as a portable NXX prior to donating blocks. They
indicate so on their donation form. However, this has not been the case in many situations.

E. Identify action taken in other committees / forums:

Issue raised at INC on two different occasions, they felt the guidelines already addressed the
issue by leaving the responsibility to the SP to do the necessary work when they donated the
blocks.

F. Any other descriptive items:

					
	 	 	 	 	 
	 

	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	- 7

 

 

			
	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
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3. Suggested Resolution:

The following actions are proposed to resolve this issue:

Provide the PA access to the NPAC to check for contamination prior to the assignment of a thousands
block.

Provide the PA access to the NPAC to check if the code is opened as portable.

LNPA WG: (only)

Item Number: ___ ___ ___ ___

Issue Resolution Referred to:

	 	 	 	 	 
	 

Why Issue Referred:

	 	 	 	 
	 
	 	 	 	 
	 	 	 
	 
	 	 	 	 
	 
	 
	 	 	 	 
	 

The LNPA WG submitted PIM 24 to the North American Portability Management Limited Liability
Corporation (LLC) for approval. The LLC approved permitting the PA to obtain NPAC reports.

The PA subsequently gave the following report requirements to the NPAC:

The report generated from the NPAC should include the NPA-NXX-X, how many intra-SP
ports are associated with it, how many total active and pending SVs there are, plus
the company name associated with the active and pending SVs in an excel format by
region. If an NPA-NXX is not found in the NPAC as portable, it should still come back
to the PA with a note that the NPA-NXX does not exist in the NPAC.

CO/NXX Issue 364

The issue identified in INC CO/NXX Issue 364 relates to service providers who must transfer pooled
codes to other carriers, because they are proactively shutting down a network or service. As with
donations, the PA must be able to verify whether and to what degree there is contamination of the
affected blocks.

Quoted below are both the INC official issue statement and its final resolution, which can also be
found under INC working documents on the ATIS website (http://www.atis.org) for CO/NXX
Issue 364 “Modification to Procedures for Code Holder/LERG Assignee Exit:”

					
	 	 	 	 	 
	 

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A. ISSUE STATEMENT

INC’s newly defined and issued procedures for CO Code transfer process are not
sufficient in aiding carriers that are proactively shutting down a network or service.
The existing procedures were mostly developed from the perspective of a carrier going
out of business in an unexpected manner(bankruptcy). The INC CO Code transfer
guidelines are not sufficient in aiding carriers that are proactively shutting down a
network or service. There are many independent activities evolving many internal
organizations as well as the NANPA and other carriers.

The main problem is a complex timing issue, this because it involves the donating
carrier, NANPA, NPAC, and the receiving carrier. In addition all other carriers must
update their networks and OSSs to ensure that customers receive calls originating from
their networks.

Donating Carrier issues:

	•	 	Timing of Customer notification, disconnect timing

	•	 	Timing of Network and trunk engineering disconnect timing

	•	 	Timing of Support system disconnect

	•	 	Timing of Co Code transfer/disconnect timing

	•	 	Determine when the last day a user can port on CO Codes that already have port(s).

	•	 	Determine when the last day a user can port on CO Code that does NOT already have port(s).

NANPA Issues:

	•	 	The NANPA does not have immediate access to NPAC records to determine if there are
ported customers associated with the CO-NXX that are being returned by a carrier. The
North American Portability Management (NAPM), LLC currently does not allow the NANPA
access to the NPAC. The NANPA has to request reports from the NPAC to determine if a CO
Code has numbers that have been ported. This requires up to an additional week before a
potential carrier can be contacted to takeover CO Code ownership.

	•	 	The NANPA is required to adhere to existing INC guidelines and FCC Orders that may
prevent a timely and non-service impacting transfer of CO Codes that require a new CO
Code holder.

					
	 	 	 	 	 
	 

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Examples:

	 	•	 	Due to neutrality and non-disclosure requirements the NANPA can not identify a
carrier that agreed to become the CO Code holder to the donating carrier until it is
published in the LERG (up to 30 days).
	 
	 	•	 	The NANPA denies a disconnect request on a CO Code that has ported number, however
the AOCN can enter the LERG effective disconnect date as long as the interval from the
request to the LERG effective date is greater than or equal to the required 66 day CO
Code interval.
	 
	 	•	 	NANPA approves CO Code disconnects request that currently do not have ported
customers, but have a high probability that a customer will port before the LERG
disconnect date.

Receiving Carrier Issues:

	 	•	 	Ensure that ported- in customer(s) do not have degraded or no service due to the
transfer of the CO Code.

Attached: NANPA’s Proposed Process for Disconnecting or Finding New LERG Assignees for
NXXs Assigned to a Service Provider Seeking to Disconnect Service

B. ISSUE RESOLUTION

INC created the attached new COCAG Appendix C to replace the existing Appendix C.
The new Appendix C also replaces the interim NANPA process document titled
“Procedures for Returning Non-Pooled Codes with Active or Pending Ported Telephone
Numbers (TNs)” dated April 25, 2002. This new Appendix C becomes effective when
posted to the ATIS web site.

In addition, INC also created the attached new TBPAG Appendix 7 (attached as
Appendix A) replace the existing Appendix 7. However, this new Appendix 7 will
NOT be posted on the ATIS web site because INC anticipates that the PA will be
generating a Change Order for FCC approval. Posting of the document will be held
in abeyance until any potential Change Order has been approved by the FCC and
implemented by the PA.

This resolves the issue.

3 The Proposal

NeuStar’s National Pooling Administrator reviewed the NOWG’s recommendation dated August 26, 2004
from both the operational and technical perspectives. We believe that our proposed

					
	 	 	 	 	 
	 

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solution based on NOWG recommendations as set forth below will address the NOWG’s
recommendation in a cost-effective and efficient manner.

To conform to the NOWG recommendation, we propose to perform the following actions:

	•	 	Conduct a one-time scrub of the PAS database using NPAC data. We will receive seven
(7) NPAC reports, one for each NPAC region. This data will be compared to what is in
PAS and SPs will be contacted to correct the data.
	 
	•	 	During the scrub we will seek appropriate support and assistance from the FCC and/or
state commissions to enforce SP participation, if needed.
	 
	•	 	Concurrent with the one-time scrub, we will prepare and propose to the INC that a
self-certification statement be added to the Appendix 2 donation form (which may
result in a additional change order to modify PAS)
	 
	•	 	Concurrent with this one-time scrub, we will work with INC to review the TBPAG
directions for donating SPs in an effort to ensure the verbiage and responsibilities
are thorough and clear for both SPs and the PA.
	 
	•	 	Quarterly, we will distribute via our email distribution a “tip” describing SP
obligations when donating blocks to a pool and to remind SPs to follow the INC
guidelines as they relate to the underlying causes of mismatches between PAS and the
NPAC. Also, we will include any one-time scrub related information that we believe
will help SPs understand where their efforts are substandard and therefore
contribute to the mismatch in the past and/or in the present.
	 
	•	 	One year after the reconciliation has been completed, the NOWG and the PA will seek
input from the industry as to any increase or decrease in the frequency in which SPs
are encountering erroneous block contamination.

It is our opinion that this proposal clearly does not meet the requirements of the industry
as delineated in LNPA WG PIM 24 and CO/NXX #364, and set forth in TBPAG Appendix 7 (attached hereto
as Appendix A). However, it does address the NOWG’s short-term concern, as expressed in its e-mail
to the PA.

Specifically, the INC has directed us as follows in Appendix 7:

From section 4.1 relating to Returned Thousands-Blocks Containing Ported Numbers.

When the Block Holder is not the LERG Assignee:

The PA shall request an ad hoc report from the NPAC to determine if there are any
ported TNs or pending ports on the block(s) being returned. This information will
assist the PA in re-allocating the block. If the block is 10% or less contaminated
the PA will process the block return. This will effectively be a contaminated block
donation to the pool inventory. If the contamination level is greater than 10%, the
PA will follow the order below to select a new block holder:

From section 4.2 relating to Returned Thousands-Blocks Containing Ported Numbers.

When the Block Holder is also the LERG Assignee:

The PA shall request an ad hoc report from the NPAC to determine if there are any
ported TNs or pending ports on the block(s) being returned. The PA will follow the
order below to select a new LERG assignee:

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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From section 5.1 relating to Abandoned Thousands-Blocks Containing Ported Numbers.

When the Block Holder is not the LERG Assignee:

The PA shall request an ad hoc report from the NPAC to determine if there are any
pending or completed TN ports. The PA will contact the appropriate regulatory
authority and seek guidance concerning the return or reassignment of the abandoned
block. If the block contamination level is 10% or less, the block is returned to the
pool once written confirmation (email or fax) is received from the regulatory
authority to reclaim the block. If the block contamination level is greater than 10%,
the PA will follow the order below to select a new block holder unless otherwise
directed by the regulatory authority:

From section 5.2 relating to Abandoned Thousands-Blocks Containing Ported
Numbers.
 When Block Holder is also the LERG Assignee:

The PA shall request the ad hoc report from the NPAC to determine if there are any
pending or completed TN ports. This information will assist the PA in reallocating
the NXX code/blocks. The PA will follow the order below to select a new LERG assignee
unless otherwise directed by the appropriate regulatory authority:

The PA receives returned blocks literally on a daily basis. Under the NOWG proposal, the PA will
not be able to determine, except on the day it examines a particular NPA, if there are any pending
or completed ported TNs on any blocks that are voluntarily returned, so blocks that could be
potentially over 10% contaminated will just be returned to the pool. The new assignee simply will
not know whether it is getting a block that is less than 10% contaminated until it runs its own
report with the NPAC. Essentially, the industry will have to continue proceeding in caveat emptor
mode, and all the work that went into the crafting of Appendix 7 will have been for naught.

	4	 	Risks and Assumptions

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

	A.	 	Assumptions

The PA assumes that this is a short-term fix to assure the accuracy of the PAS database as of a
specific date, the date the one-time scrub is completed. The PA does not assume that this solution
addresses PIM 24 and INC Issue #364, and assumes those will have to be addressed at a later date.

	B.	 	Risks

The proposed solution does not present any additional risks to our operations. It does not,
however, decrease the risk to carriers of service-affecting outages on contaminated blocks that PIM
24 and Appendix 7 intended.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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	C.	 	Impact on Operations

This proposed solution has a one-time impact on our operations because it will take a significant
amount of staff time to do the initial scrub of the data, send notifications to the service
providers of any discrepancies, and receive responses from the industry.

	5	 	Cost Assumptions and Summary

As with any change order proposal, NeuStar’s National Pooling Administrator considered the
associated costs that can be incurred in implementing the proposed solution. These cost
assumptions are based upon the NPAC’s standard charges.

The anticipated cost to implement this proposed solution is $6,209.00, which includes the price for
the extensive staff hours that will be required to perform this task, along with the costs of the
reports we must obtain from the NPAC. The PA staff members are already carrying heavy workloads,
due to the steady rise in volumes, which have increased significantly over the past few months. We
respectfully request that this Change Order be approved giving the PA authorization to charge
straight overtime for the staff members involved in the project.

The alternative would be to hire a temporary employee for this project, but we have considered and
rejected that option because it would not facilitate timely completion of the project, or keep
costs down, for the following reasons:

	•	 	it would add the time of posting the position, interviewing, and obtaining the appropriate security clearance for the
person

	•	 	training time would be needed

	•	 	the person would not have the familiarity with carrier contacts that pooling staff members have

	•	 	the person would not have the familiarity with the two databases involved, or the previously developed personal
contacts at the NPAC, that existing pooling personnel have.

	6	 	Conclusion

In conclusion, the NeuStar National Pooling Administrator has offered a viable solution that
supports the NOWG’s August 26, 2004 recommendation in accordance with contract terms, and we ask
that the FCC review and approve this change order proposal. However, we reiterate our concern that
this proposed solution does not address the original solutions for INC Issue #364 and the LNPA WG
PIM 24, as resolved in Appendix 7 to the TBPAG.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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Appendix A

	 	 	 
	May 8, 2003

	 	TBPAG Appendix 7

Procedures for Block Holder/LERG Assignee Exit

	1.0	 	Purpose

This appendix describes the responsibilities of NANPA, service providers, and the PA in situations
when a service provider (SP) is returning or abandoning NXX codes/blocks that contain ported
telephone numbers and a new LERG assignee must be selected with minimal impact on ported customers.
The specific circumstances addressed cover:

	 	•	 	Voluntary Return of Thousands Blocks Containing Ported Numbers
	 
	 	•	 	Abandoned Thousands Blocks Containing Ported Numbers

	2.0	 	Assumptions

	2.1	 	Reasonable efforts should be taken to re-establish a LERG assignee in order to maintain
default routing. Should the LERG assignee vacate their responsibilities, calls to the donor
switch will not be processed.

	2.2	 	The SP returning an NXX code will coordinate with NANPA to ensure that the code is not
removed from the LERG as an active code until the Part 3 with the effective date of the
disconnect is received. This is to prevent an adverse effect on ported-out customers.

	2.3	 	A LERG assignee must be LNP capable, may put the code/block on any switch in the rate center,
and should already be providing service in the rate center. This should eliminate any
potential problems with facilities readiness.

	2.4	 	It is desirable to avoid having to designate a new LERG assignee in the NPAC because all
ported customers will experience a temporary interruption of incoming service during
transition to the new assignee while the Service Provider Identification (SPID) is updated in
the Number Portability Administration Center (NPAC). However, it is a regulatory requirement
to allow continued porting of any number in the NXX, a process that requires correct
SPID/number association at NPAC for NPAC’s message validation
process.2

 

			
	2	 	The LNP CO Code Reallocation Process,
implemented on August 30, 2001, eliminates the necessity of maintaining the
original LERG assignee in the NPAC because it eliminates service disruption
that would be caused by changing the SPID in the NPAC. The process involves
porting the code in thousands-blocks to the LERG assignee. In this way, the
NPAC’s block-ownership tables override the NPAC’s NXX-ownership tables,
allowing continued porting of any number in the NXX. The LNP CO Code
Reallocation Process allows numbers to snap back to the new LERG assignee, the
same as if the SPID had been changed in the NPAC without ported numbers having
been taken out of service.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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	2.5	 	The PA shall work closely with regulatory authorities to obtain timely information about SPs
abandoning service or filing bankruptcy. Such circumstances are under the direction of a
regulatory authority or court.

	2.5	 	A SP has the option to refuse a NXX code/block re-allocation. Refusal will not adversely
impact any pending NXX code/block assignment request because it is unrelated to the
reallocation.

	2.7	 	These guidelines also apply in jeopardy/rationing situations.

	2.8	 	It is the responsibility of each SP to provide an accurate E911 record for each of its
customers to the E911 Service Provider. It is essential that the outgoing SP unlock its E911
records in the regional E911 database, and the new SP must transition the affected customers
records to its own company ID in the E911 database.

	2.9	 	It is the responsibility of the new LERG assignee and new block holder to notify TelcordiaTM
to update the AOCN responsibility in BIRRDS for the reallocated NXX code/block(s).

	2.10	 	The SP returning the NXX code/block has the responsibility to assure that affected parties,
especially any end-users, are notified consistent with state or regulatory requirements.

	2.11	 	It is the responsibility of the SP returning the NXX code/block to disconnect and remove all
records related to the LRN and NXX code, including intra-SP ported TNs, from the NPAC
database. If a NXX code/block is reassigned and there are still old records in NPAC, the new
LERG assignee will encounter problems with the affected numbers from the reassigned NXX
code/block, e.g., porting records on TNs not in service.

	2.12	 	When an NXX code is re-allocated and there are no active or pending ported numbers in the
NPAC, the NPAC, via receipt of the LNP NXX LERG Assignee Transfer Form, should ensure that any
existing NXX records of the code are deleted from its database on the effective date of the
reallocation.

	2.13	 	In certain situations the decision to actually change the NPAC code ownership record (i.e.,
by deleting and subsequently re-creating records for all ported numbers in the returned NXX
code and accepting the likely adverse customer service impact) may be acceptable. This
decision should be based on the quantity and type of customers involved, and the agreement of
the involved SPs that would have to coordinate the change.

 

The LNPA WG has developed requirements for the ability to mass update the SPID
associated with an NXX code without taking ported customers out of service.
This functionality has been assigned NANC Change Orders 217 and 323 which is
expected to be available in Release 3.2.

 

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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	2.14	 	If there are no active or pending ports on the returned NXX code pending disconnect, the NPAC
will use the Part 3 disconnect information received via email from the NANPA in order to
remove the capability to port numbers from the returned NXX code 15 business days prior to the
effective date of the disconnect. This removal will cause any new port attempts against the
returned NXX code to fail at the user interface, thus avoiding additional impediments to the
code return process.

	2.15	 	It is the responsibility of the new LERG assignee or block holder to notify NECA to update
the NECA Tariff FCC No. 4 database with the new OCN for the reallocated NXX code/block(s).
NECA currently requires a copy of the new Part 3 form.

	3.0	 	Notification Procedures for Returned NXX Codes/Blocks

NANPA is required to post the effective dates of pending NXX code disconnects on the NANPA website
in order for SPs to be aware of approved NXX code disconnects.

LERG assignees should notify the PA if they are no longer able to perform default routing functions
(e.g., the SP is no longer providing service in the area served by that NXX code).

NANPA must inform the outgoing LERG assignee of their responsibility to update the appropriate
routing databases upon receipt of the Part 3.

There are specific actions related to LNP processes to be taken by SPs, the PA, and NPAC during the
NXX code reallocation process. An overall description, including a required form, can be found at:
(http://www.nationalpooling.com/guidelines/index.htm).3

In addition, it is the responsibility of the SP returning the NXX code/block to remove any LRN
record it has associated with the returned NXX code and all ported in TNs associated with that LRN,
including intra-SP ports. In addition, if the NXX is being disconnected, the NXX should be
disconnected in the NPAC as well. If a block is being reallocated, the SP returning the block
should not attempt to disconnect the NXX in the NPAC; it should only remove its LRN and any ported
in TNs associated with that LRN, including any intra-SP ports.

If there are no active or pending ports on the NXX code, a Part 3 disconnect should be issued by
NANPA to the SP. The Part 3 disconnect information shall be entered into BIRRDS by the SP’s AOCN.
The NXX code should be included in the Part 3 disconnect report posted on the NANPA web site.

If there are no active or pending ports on the returned NXX code pending disconnect, the NPAC will
use the Part 3 disconnect information received via email from the NANPA in order to remove the
capability to port numbers from the returned NXX code 15 business days prior to the

 

			
	3	 	See footnote 1.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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effective date of the disconnect. This removal will cause any new port attempts against the
returned NXX code to fail at the user interface, thus avoiding additional impediments to the code
return process.

If porting of TNs occurs on a returned NXX code after NANPA has issued a Part 3 disconnect but
prior to the 15 business days before the effective date of the disconnect, NPAC should notify NANPA
that a port has occurred. NPAC also will disregard the Part 3 disconnect information and not
suspend porting at 15 business day timeframe.

	4.0	 	Returned Thousands-Blocks Containing Ported Numbers
	 
	4.1	 	When Block Holder is not the LERG Assignee

In a pooled area where thousands-blocks are voluntarily returned and there are ported numbers or
pending ports contained in those returned blocks, the SP will return the blocks to the PA and the
ported customers are not affected.

The PA shall request an ad hoc report from the NPAC to determine if there are any ported TNs or
pending ports on the block(s) being returned. This information will assist the PA in reallocating
the block. If the block is 10% or less contaminated the PA will process the block return. This
will effectively be a contaminated block donation to the pool inventory. If the contamination
level is greater than 10%, the PA will follow the order below to select a new block holder:

	a)	 	The PA will notify SPs with ported TNs, the LERG assignee, SPs with a forecasted need, and
the outgoing block holder within the applicable rate center. SPs will have ten business days
to respond. The PA will provide the date and hour the responses are due. The first SP to
respond with a completed and correct Part 1A and LNP NXX LERG Assignee Transfer Form will
become the new block holder. MTE and utilization requirements are waived for SPs with ported
TNs.

	b)	 	If no SPs respond within ten business days or all refuse the block holder functions, the PA
will contact the appropriate regulatory authority and seek guidance concerning the return or
reassignment of the contaminated block. Should a new block holder be designated, regulatory
authorities may waive MTE and utilization requirements.

The PA will work with the new block holder to determine if a Part 4 submission is necessary.

	4.2	 	When Block Holder is also the LERG Assignee

The PA shall request an ad hoc report from the NPAC to determine if there are any ported TNs or
pending ports on the block(s) being returned. The PA will follow the order below to select a new
LERG assignee:

	a)	 	The PA will contact SPs with blocks assigned from the affected NXX, SPs with ported TNs and
SPs with a forecasted need within the applicable rate center. SPs will have ten business days
to respond. The PA will provide the date and hour the responses are due.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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	 	?	 	The first SP with blocks assigned from the affected NXX to respond with a Part 1
and LNP NXX LERG Assignee Transfer Form will become the new LERG assignee. MTE and
utilization requirements are waived.
	 
	 	?	 	If no SPs with blocks assigned from the affected NXX respond or all refuse the
LERG assignee functions, the first SP with ported TNs to respond with a Part 1 and LNP
NXX LERG Assignee Transfer Form will become the new LERG assignee. MTE and utilization
requirements are waived.
	 
	 	?	 	If no SPs with ported TNs respond or all refuse the LERG assignee functions, the
first SP with a forecasted need with a Part 1 and LNP NXX LERG Assignee Transfer Form
that meets the MTE and utilization requirements will become the new LERG assignee.

NPAC, upon the receipt of the LNP NXX LERG Assignee Transfer Form, will remove the LRN and all
ported in TNs of the LRN (including intra-SP ports) in its database associated with the reallocated
code after the effective date.

The PA will automatically update the BCD record in BIRRDS with the new LERG assignee’s information
upon receipt of the Part 3 from NANPA.

The new LERG assignee shall:

	§ 	 	notify the PA via email which blocks assigned to the original LERG assignee are to be reallocated to the new
LERG assignee because the contamination level is over 10%. This notification will take place within 90 calendar
days of receiving the Part 3 confirmation.

	§ 	 	notify the PA via email which blocks assigned to the original LERG assignee are to be donated by the new LERG
assignee because the contamination level is 10% or less. This notification will take place within 90 calendar
days of receiving the Part 3 confirmation.

	§ 	 	work with the PA to determine if any Part 4 submissions are necessary.

Blocks that were previously donated by the original LERG assignee will remain in the pool.

It is recommended that the new LERG assignee retain at least one block to ensure that
responsibilities in section 4.2.1 of the Thousands-Block Number (NXX-X) Pooling Administration
Guidelines (TBPAG) are maintained. However, once the responsibilities of the SP outlined in
section 4.2.1 are fulfilled and the SP determines that the block is not needed, the SP does have
the option of returning the block to the PA.

	b)	 	If no SPs respond within ten business days or all refuse to become the new LERG assignee, the
PA will proceed with the NXX return, notify those SPs with ported TNs and/or pooled blocks
from the affected NXX. Further, the PA will request that NANPA notify the appropriate
regulatory authorities that a NXX code is going to be disconnected and that some working
customers will lose service. NANPA will follow the disconnect process as outlined in Sections
4.0.f through 4.0. h of COCAG Appendix C.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
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	5.0	 	Abandoned Thousands-Blocks Containing Ported Numbers

The difference between an abandoned block and a returned block is that if abandoned, the PA is
unable to reach the incumbent block holder to ask it to maintain default routing functions.

	5.1	 	When Block Holder is not the LERG Assignee

In the case when the block holder is not the LERG assignee and blocks containing ported numbers or
pending ports are abandoned, the ported customers are not affected. Typically, customer complaints
are the catalyst for initiating the steps that follow. The PA shall request an ad hoc report from
the NPAC to determine if there are any pending or completed TN ports. The PA will contact the
appropriate regulatory authority and seek guidance concerning the return or reassignment of the
abandoned block. If the block contamination level is 10% or less, the block is returned to the
pool once written confirmation (email or fax) is received from the regulatory authority to reclaim
the block. If the block contamination level is greater than 10%, the PA will follow the order
below to select a new block holder unless otherwise directed by the regulatory authority:

	 	a)	 	The PA will notify SPs with ported TNs, the LERG assignee, SPs with a forecasted
need, and the outgoing block holder within the applicable rate center. SPs will have
ten business days to respond. The PA will provide the date and hour the responses are
due. The first SP to respond with a completed and correct Part 1A and LNP NXX LERG
Assignee Transfer Form will become the new block holder. MTE and utilization
requirements are waived for SPs with ported TNs.
	 
	 	b)	 	If no SPs respond within ten business days or all refuse the block holder
functions, the PA will contact the appropriate regulatory authority and seek guidance
concerning the return or reassignment of the contaminated block. Should a new block
holder be designated, regulatory authorities may waive MTE and utilization requirements.

The PA will work with the new block holder to determine if a Part 4 submission is necessary.

	5.2	 	When Block Holder is also the LERG Assignee

In the case when the block holder is the LERG assignee and blocks containing ported numbers or
pending ports are abandoned, the PA may not have prior knowledge of the situation. Typically,
customer complaints are the catalyst for initiating the steps that follow. The PA shall work
closely with the appropriate regulatory authority to obtain timely information about SPs abandoning
service or filing bankruptcy. Such circumstances are under the direction of a regulatory authority
or court.

The PA shall request the ad hoc report from the NPAC to determine if there are any pending or
completed TN ports. This information will assist the PA in re-allocating the NXX code/blocks. The
PA will follow the order below to select a new LERG assignee unless otherwise directed by the
appropriate regulatory authority:

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
	© NeuStar, Inc. 2005

	 	NeuStar Proprietary and Confidential
	 	- 19

 

 

	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)

	 	May 4, 2005
	 	 	 
	 
	 	 

	a)	 	The PA will contact SPs with blocks assigned from the affected NXX, SPs with ported TNs, and
SPs with a forecasted need within the applicable rate center. SPs will have ten business days
to respond. The PA will provide the date and hour the responses are due.

	 	?	 	The first SP with blocks assigned from the affected NXX to respond with a Part 1
and LNP NXX LERG Assignee Transfer Form will become the new LERG assignee. MTE and
utilization requirements are waived.
	 
	 	?	 	If no SPs with blocks assigned from the affected NXX respond or all refuse the
LERG assignee functions, the first SP with ported TNs to respond with a Part 1 and LNP
NXX LERG Assignee Transfer Form will become the new LERG assignee. MTE and utilization
requirements are waived.
	 
	 	?	 	If no SPs with ported TNs respond or all refuse the LERG assignee functions, the
first SP with a forecasted need with a Part 1 and LNP NXX LERG Assignee Transfer Form
that meets the MTE and utilization requirements will become the new LERG assignee.

	 	 	NPAC, upon the receipt of the LNP NXX LERG Assignee Transfer Form, will remove the LRN and
all ported in TNs of the LRN (including intra-SP ports) in its database associated with the
reallocated code after the effective date.
	 
	 	 	The PA will automatically update the BCD record in BIRRDS with the new LERG assignee’s
information upon receipt of the Part 3 from NANPA.
	 
	 	 	The new LERG assignee shall:

	 	§ 	 	notify the PA via email which blocks assigned to the original LERG assignee are to be
reallocated to the new LERG assignee because the contamination level is over 10%. This
notification will take place within 90 calendar days of receiving the Part 3
confirmation.
	 
	 	§ 	 	notify the PA via email which blocks assigned to the original LERG assignee are to be
donated by the new LERG assignee because the contamination level is 10% or less. This
notification will take place within 90 calendar days of receiving the Part 3
confirmation.
	 
	 	§ 	 	work with the PA to determine if any Part 4 submissions are necessary.

	 	 	Blocks that were previously donated by the original LERG assignee will remain in the pool.
	 
	 	 	It is recommended that the new LERG assignee retain at least one block to ensure that
responsibilities in section 4.2.1 of the TBPAG are maintained. However, once the
responsibilities of the SP outlined in section 4.2.1 are fulfilled and the SP determines that
the block is not needed, the SP does have the option of returning the block to the PA.
	 
	b)	 	If no SPs respond within ten business days or all refuse to become the new LERG assignee, the
PA will proceed with the NXX return, notify those SPs with ported TNs and/or pooled blocks
from the affected NXX. Further NANPA will follow the disconnect process as outlined in Section
5.0.b of COCAG Appendix C.

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
	© NeuStar, Inc. 2005

	 	NeuStar Proprietary and Confidential
	 	- 20

 

 

 

 

National Pooling Administration

Change Order Proposal #43

(INC Issue #475 – “Update Appendix 1: Thousands-Block

Forecast Report Directions”)

August 12, 2005

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

 

 

	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)

	 	August 12, 2005
	 	 	 

Table of Contents

	 	 	 	 	 	 	 
	 	 	 	 	Page	 
	1
	 	Introduction	 	 	3	 
	2
	 	Industry Numbering Committee’s Proposed Change	 	 	4	 
	3
	 	The Proposal	 	 	6	 
	4
	 	Assumptions and Risks	 	 	6	 
	5
	 	Cost	 	 	6	 
	6
	 	Conclusion	 	 	 	 

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
	© NeuStar, Inc. 2005

	 	NeuStar Proprietary and Confidential
	 	-ii -

 

 

	 	 	 
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)

	 	August 12, 2005
	 	 	 
	 
	 	 

	I	 	Introduction
	 
	1.1	 	Purpose and Scope

In accordance with NeuStar’s National Pooling Administration contracts1 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 Attachment B, Section C of the Thousands-Block Pooling
Contractor Technical Requirements, dated November 30, 2000, Sections 2.5 through 2.5.4, which read
as follows:

	 	 	2.5 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. The
contractor is additionally subject to the provisions of the changes clause in Section I.
	 
	 	 	2.5.1 Process
	 
	 	 	Accordingly, after a contractor is selected, the FCC, the NANC and/or the INC may establish
NANP numbering resource plans, administrative directives, assignment guidelines (including
modifications to existing assignment guidelines), and procedures that may have an effect on
the functions performed by the contractor.
	 
	 	 	2.5.2 Changes
	 
	 	 	The contractor shall review changes when numbering resource plans, administrative directives,
assignment guidelines, and procedures are initiated or modified to determine if there is any
impact on the functions that they must perform.
	 
	 	 	2.5.3 Notifications
	 
	 	 	The contractor shall then, within a period of not more than 30 calendar days from said event
(e.g., the date INC places an issue into Final Closure), provide the Contracting Officer,
state PUCs, and the NANC with written notice regarding these changes and summarize the
potential impact of the changes upon service and cost, if any.
	 
	 	 	2.5.4 Roles
	 
	 	 	The NANC shall review the notice and provide a recommendation to the FCC regarding the effect
of the contractor’s notice and supporting documentation.
	 
	 	 	The contractor shall comply with state regulatory decisions, rules and orders with respect to
pooling, as applicable, as long as they are not in conflict with FCC decisions, orders, and
rules and are within state jurisdiction.

 

			
	1	 	FCC Contract Number CON01000016

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 	 	 
	© NeuStar, Inc. 2005

	 	NeuStar Proprietary and Confidential
	 	-3 -

 

 

			
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	August 12, 2005

 

This document provides the information required by the contract, such as identifying the new
requirements of the expanded scope of work, offering our proposed solution, and addressing its
cost, risks, and assumptions as a result of the Industry Numbering Committee’s (INC) disposition of
Issue 475.

2 Industry Numbering Committee’s Proposed Change

On July 15, 2005, INC placed Issue 475 into Final Closure. As a result of this resolution of INC
Issue 475, the directions on the INC Appendix 1: Thousands-Block Forecast Report form were
modified. Therefore, PAS will need to be updated to reflect the modified directions.

INC Issue 475 Update Appendix 1: Thousands-Block Forecast Report Directions

Quoted below are the INC official issue statement and final resolution, which can also be found on
the ATIS website (http://www.atis.org):

	 	A)	 	Issue Statement

	 	 	The directions on the Thousands-Block Number Pooling Administration Guidelines (TBPAG)
Thousands-Block Forecast Report (Appendix 1), dated 6/3/02, states:
	 
	 	 	“If any of the forecasted demand above includes the need for a new NXX due to a LRN,
please indicate in the space provided below how many LRNs and specify the month that
the new NXX will be placed in service.”
	 
	 	 	This sentence needs to be amended to remove the step where the applicant would specify
the month that the new NXX(s) will be placed in service since there is no field on the
Appendix 1 to input that data into. The applicant only has a field to indicate how
many new NXX(s) are needed due to a LRN.

	 	B)	 	Following Resolution from INC

	 	 	The following text changes were made to the Thousands-Block Number Pooling Administration
Guidelines (TBPAG) Appendix 1:

	 	 	 	 	 
	[tbd]	 	Thousands-Block Forecast Report	 	Appendix 1
	Company
	 	 	 	 
	Name

	 	                    	 	 
	OCN

	 	                    	 	 
	Contact

	 	                    	 	 
	Contact TN

	 	                    	 	 
	Fax#

	 	                    	 	 
	E-mail

	 	                    	 	 
	Date
	 	 	 	 
	Submitted

	 	                    	 	 

 

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-4 -

 

 

			
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	August 12, 2005

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month
	Rate Area	 	NPA(s)	 	1	 	2	 	3	 	4	 	5	 	6	 	7	 	8	 	9	 	10	 	11	 	12
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

	 	 	Directions:
	 
	 	 	Please provide the forecasted number of thousands blocks in each Rate Area that your company
expects to take from the pool each month for the next 12 months
	 
	 	 	Only the total quantity of thousands blocks that are forecasted should be entered. Do not include
in the forecast the thousands blocks or full NXXs that are already in your inventory. If full
NXX(s) is/are forecasted, please reflect this in thousands blocks, e.g., a full NXX = 10 thousands
blocks.
	 
	 	 	If any of the forecasted demand above includes the need for a new NXX due to a LRN, please indicate
in the space provided below, e.g. a new NXX due to a LRN = 1.

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month	 	Month
	NXX(s) Month	 	1	 	2	 	3	 	4	 	5	 	6	 	7	 	8	 	9	 	10	 	11	 	12
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

	 	 	If further assistance is required, please contact the PA on 866-638-7665.

 

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-5 -

 

 

			
	Nat’l PAS — Change Order #39 (LNPA WG PIM 24 and CO/NXX 364)
	 	August 12, 2005

 

3 The Proposal

NeuStar’s National Pooling Administrator has reviewed INC Issue 475 from both the operational and
technical perspectives. The proposal set forth below will conform to the changes in the INC
guidelines and meet the requirements of the industry in a cost-effective and efficient manner.

Solution

Modify the existing text under the “Directions” section of the Thousands-Block Forecast Report
screen in PAS to conform to the new directions as altered by INC Issue 475.

4 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.

There are no associated assumptions.

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

5 Cost

As with any change order proposal, we also considered the associated costs that would potentially
be incurred in implementing the proposed solution. These costs include the resources required to
complete the milestones on a timeline for implementing the processes and system delineated in this
change order. The timeline includes preparation, proper documentation updates, development,
testing, monitoring, and execution of the solution.

The cost to implement our proposed solution would be $605.00

6 Conclusion

In conclusion, the Pooling Administrator offers this viable solution to conform the PAS to INC
Issue 475, and in accordance with contract terms, requests that the FCC review and approve this
change order.

 

					
	© NeuStar, Inc. 2005
	 	NeuStar Proprietary and Confidential
	 	-6 -

 

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

	 	 	1. CONTRACT ID CODE
	 	 	PAGE OF PAGES
	 

	 	 	A
	 	 	                  1          |           3          

	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 
	2. AMENDMENT/MODIFICATION NO.

	 	 	3. EFFECTIVE DATE
	 	 	4. REQUISITION/PURCHASE REQ. NO.
	 	 	5. PROJECT NO. (If applicable)
	0017

	 	 	05/24/2006	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 
	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.	 	 	 	 	 	9B. DATED (SEE ITEM 11)
	 
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 
	     46000 Center Oak Plaza	 	 	(X)	 	 	10A.
MODIFICATION OF CONTRACT/ORDER NO. CON01000016

	 
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	     Sterling, VA 20166	 	 	(X)	 	 	10B. DATED (SEE ITEM 13)
	 
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	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 ACKNOWLEDGEMENT 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 APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

	IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

	 	 	 	 
	
 

	
 

	 	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:
Mutual Agreement of the Parties
	 	 	 	 
	    X

	 	 	 	 	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 3     copies to the issuing office.
	 	 	 	 
	14.	 	DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
	 	 	 	 
	 	 	This modification revises the associated cost for Change order #41 to $6,209.00 in lieu of $0.
	 	 	 	 
	 	 	 	 

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

	 	 	 	     Wilma Mooney	 	 
	 
	 	 	 	 	 	 
	 
	15B. CONTRACTOR/OFFEROR

	 	15C. DATE SIGNED
	 	16B. UNITED STATES OF AMERICA
	 	16C. DATE SIGNED
	 
	 	 	 	 	 	 
	 

	 	 	 	BY                                          
                    
           
	 	05/24/2006
	 	 	 	 	 	 	 
	(Signature
of person authorized to sign)

	 	 	 	               (Signature
of Contracting Officer)	 	 
	 

	 	 	 
	NSN 7540-01-152-8070              
                    
                    
                    
     30-105

	 	STANDARD FORM 30 (Rev. 10-83)
	PREVIOUS EDITION UNUSABLE

	 	Prescribed by GSA
	 

	 	FAR (48 CFR) 53.243
	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	LINE ITEM	 	Document Number	 	Title	 	 	 	 	 	Page	 
	 	SUMMARY	 	CON01000016/0017	 	Pooling Administrator   –  Neustar	 	 	 	2 of 3	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	Line Item

	 	 	 	 	Delivery Date
	 	 	 	Unit of	 	 	 	 	 	 	 
	 	Number

	   Description
	 	(Start date to End date)
	 Quantity
	 	Issue
	 	 	Unit Price
	 	 	Total Cost
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	  	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	          No Changed Line Item Fields	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	Previous Total:	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	Modification Total:	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	Grand Total:	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  Address Detail	 	 	 	Title	 	Document Number	 	Page
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	Pooling Administrator – Neustar
	 	CON01000016/0017
	 	3 of 3
	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Shipping Addresses	 	 	 	 	 	 	 	 
	 

	 	Code
	 	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.	 	 	 	 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	1. CONTRACT ID CODE	 	 	 	 	 	PAGE OF PAGES
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	 	 	 	 	            A	 	 	 	 	 	  1 of 9	4
	 	 	 	 	 	 	 	 	 
	2.	 	AMENDMENT/MODIFICATION NO. 0018	 	3. EFFECTIVE DATE	 	4. REQUISITION/ PURCHASE REQ. NO.	 	5. PROJECT NO. (If applicable)
	 
	 	 	 	 	 	 	 	06/14/2006	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 
	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)	(x)	9A.     AMENDMENT OF SOLICITATION NO.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	     Neustar, Inc.	 	 	 	 	 	 	 	 	 	 
	 	 	     46000 Center Oak Plaza	 	9B.     DATED (SEE ITEM 11)
	 	 	     Sterling, VA 20166	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	10A.   MODIFICATION OF CONTRACT/ORDER NO.
	 	 	 	 	 	 	 	 	 	 	 	(X)	         NO. CON01000016
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	CODE	 	 	 	 	FACILITY CODE	 	 	 	 	(X)	10B.   DATED
(SEE ITEM 13) 12/13/01
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	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 ACKNOWLEDGEMENT 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 APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
	 
	 	 	 	 	 	 	 	 	IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
	 	 	 	 
	 	(X)	 	 	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).
	 	 	 	 
	 	X	 	 	C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

41.103(a)(3), Mutual Agreement; FAR 1.6; Authority of the Contracting Officer
	 	 	 	 
	 	 	 	 	 	D. OTHER (Specify type of modification and authority)
	 
	 	 	 	 	 	 	 	 	 
	 	 	 	 
	E.	 	IMPORTANT: Contractor [   ] is not, [X] 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 contract modification is to extend the period of performance and to incorporate FCC Suitability and Security Processing Clause.
     Accordingly:
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	1. 	This modification incorporates NeuStar’s Inc. proposal dated June 5, 2006.
	 
	2. 	The period of performance for Option Year 4 is hereby extended from June 15, 2006 through September 14, 2006 with two (2) one (1) month Optional
          Periods and is costed as follows:
	 	 	a.         Option Period 4 Extension (06/15/06 – 09/14/06):  $889,257.93 ($296,419.31 per month)
	 
	 	b.         Options 4a (09/15/06 – 10/14/;06) and 4b (10/15/05 – 11/14/06), if exercised:  $592,838.62 ($296.419.31 each)
	 	 	c.         Funding continues via NANPA and will be paid by FCC Billing & Collection Agent, Welch & Company.

	(Continued on Page 4)

	 
	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)
Amy L. Putnam	 	 	16A.	 	NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	 	 	 	 	 	 	 	 	 	 	 	 	Wilma Mooney
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	15B.	 	CONTRACTOR/OFFEROR	 	 	15C. DATE
 SIGNED	 	 	16B.	 	UNITED STATES OF AMERICA	 	 	16C. 	DATE SIGNED	 
	 
	 	Digitally signed by Amy Putnam	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	BY	 	 	 	 	/s/	 	 	06/14/2006
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(Signature of person authorized to sign)
	 	 	 	 	 	 	 	 	 	 	 	 	(Signature of Contracting Officer)	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	NSN 7540-01-152-8070	 	 	 	 	 	 	 	STANDARD FORM 30 (Rev. 10-83)	 
	PREVIOUS EDITION UNUSABLE	 	 	 	 	 	 	 	 	Prescribed by GSA	 
	 

	 	 	 	 	 	 	 	 	 	 	FAR (48 CFR) 53.243	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	LINE ITEM	 	Document Number	 	Title	 	 	 	 	 	Page	 
	 	SUMMARY	 	CON01000016/0018	 	Pooling Administrator   –  Neustar	 	 	 	2 of 9	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	Line Item

	 	 	 	 	Delivery Date
	 	 	 	Unit of	 	 	 	 	 	 	 
	 	Number

	   Description
	 	(Start date to End date)
	 Quantity
	 	Issue
	 	 	Unit Price
	 	 	Total Cost
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	  	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	          No Changed Line Item Fields	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	Previous Total:	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	Modification Total:	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	Grand Total:	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  Address Detail	 	 	 	Title	 	Document Number	 	Page
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	Pooling Administrator – Neustar
	 	CON01000016/0018
	 	3 of 9
	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Shipping Addresses	 	 	 	 	 	 	 	 
	 

	 	Code
	 	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.	 	 	 	 

 

	 	 	 
	 

	 	Contract No. CON01000016
	 

	 	Modification No. Eighteen (18)
	 

	 	Page 4 of 9

	3.	 	Clause H.7, Suitability and Security Processing is hereby incorporated. Accordingly, see
attached Clause H.7 and FCC Forms A-200 and A-600.

	4.	 	FAR Clause 52.217-9, Option to Extend the Term of the Contract, is hereby incorporated for
the Option Periods and reads as follows:
	 
	 	 	52.217-9 Option to Extend the Term of the Contract (Mar 2000)
	 
	 	 	(a) The Government may extend the term of this contract by written notice to the
Contractor within five (5) business days; provided that the Government gives the
Contractor a preliminary written notice of its intent to extend at least seven (7)
business days before the contract expires. The preliminary notice does not commit the
Government to an extension.
	 
	 	 	(b) If the Government exercises this option, the extended contract shall be considered
to include this option clause.
	 
	 	 	(c) The total duration of this contract extension, including the exercise of any
options under this clause, shall not exceed five (5) months.

 

 

	 	 	 
	 

	 	Contract No. CON01000016
	 

	 	Modification No. Eighteen (18)
	 

	 	Page 5 of 9

Clause H.7, Suitability and Security Processing

          1. General

     (a) All contract personnel are subjected to background investigations for the purpose of
suitability determinations. Based on their proposed duties, some contract personnel may also be
required to have security clearance determinations. No contract personnel may be assigned to work
on the contract without a favorable initial review of the OF 306, Declaration for Federal
Employment (http://www.opm.gov/forms/pdf_fill/of0306.pdf) or a written waiver from the FCC Security
Operations Center (SOC).

     (b) Suitability, waiver, and security clearance determination investigations are currently
conducted through the FCC Security Operations Center (202- 418-7884). The individual contract
employee will be provided with a review process before a final adverse determination is made. The
FCC requires that any contract personnel found not suitable, or who has a waiver cancelled, or is
denied a security clearance, be removed by the contractor during the same business day that the
determination is made.

     (c) If the contract personnel is re-assigned and the new position is determined to require a
higher level of risk suitability than the contract personnel currently holds, the individual may be
assigned to such position while the determination is reached by the SOC. A new A-600 shall be
necessary for the new position.

     (d) Contract personnel working as temporary hires (for ninety (90) days or less) must complete
and receive a favorable initial review of the OF 306 and complete the contract personnel section of
the FCC Form A-600, FCC Contractor Record Form. If during the term of their employment they will
have access to any FCC network application, they must also complete and sign the FCC Form A-200,
FCC Computer System Application Access Form.

2. At Time of Contract Award

     (a) The FCC Security Operations Center must receive the completed, signed OF 306 for all
proposed contractor employees at the time of contract award. Resumes for all personnel proposed
for assignment on the contract should be provided to the Security Office prior to the time of
in-take processing (see below, 2.3.2). The FCC Security Operations Center requires up to five

 

 

	 	 	 
	 

	 	Contract No. CON01000016
	 

	 	Modification No. Eighteen (18)
	 

	 	Page 6 of 9

(5) working days (from the date they are received) to process the OF 306 before any employee is
allowed to begin work on the contract. A written waiver from the SOC may be obtained in special
circumstances.

All contract personnel, regardless of task description, must complete this form. Without an
approved, completed OF 306 on file at the SOC, no contractor employee may begin work. An
approved OF 306 is one that has passed initial review by the SOC. During the course of the SOC
review of the OF 306, the contract personnel may be interviewed by SOC staff regarding information
on their OF 306.

     (b) In addition, the Contractor is responsible for submission of completed, signed computer
security forms for each employee prior to that person beginning work on the contract (See Appendix
No. 3, FCC Instruction 1479.1, FCC Computer Security Program Directive and sample forms.) These
forms should be submitted to the FCC Computer Security Office.

     (c) The COTR shall begin processing their section of the FCC Contract Personnel Record (FCC
Form A-600) at this time. This form, with the COTR and CO portions completed, will be distributed
at the time of contract award and must be submitted to the SOC within ten (10) working days.

     (d) The Office of Personnel Management (OPM) will issue a Certificate of Investigation (CIN)
following the appropriate background investigation. The SOC notifies the CO and COTR and contract
personnel who have received a favorable adjudication so they may receive their permanent access
credential.

3. IDENTITY PROOFING, REGISTRATION AND CHECKOUT REQUIREMENTS

     3.1 Locator and Information Services Tracking (LIST) Registration

The Security Operations Center maintains a Locator and Information Services Tracking (LIST)
database, containing contact information for all Commission and contract employee personnel,
regardless of work location.

The contract employee’s FCC Form A-600, FCC Contractor Record Form” captures the information for
data entry into the LIST system.

 

 

	 	 	 
	 

	 	Contract No. CON01000016
	 

	 	Modification No. Eighteen (18)
	 

	 	Page 7 of 9

     3.2 Intake Processing

     (a) Following the processing of the OF 306 and an initial favorable suitability determination,
(unless otherwise waived) the contract personnel shall report to the FCC for identity verification
and access badge issuance on their first scheduled workday.

     (b) All new contract personnel must be escorted to the SOC by either the CO or COTR
responsible for the contract. At this time the contractor personnel must present two forms of
identification; one of which must be a picture ID issued by a state, or the Federal, government.
The other piece of identification should be the original of one of the following:

U.S. Passport (unexpired or expired)

Certificate of U.S. Citizenship (Form N-560 or N-561)

Certificate of Naturalization (Form N-550 or N-570)

School ID

Voter’s registration card

U.S. Military card

Military dependent’s ID card

U.S. Coast Guard Merchant Mariner card

Native American Tribal document

U.S. Social Security card

Certification of Birth Abroad, (Form FS-545 or Form DS-1350)

Original or certified copy of a birth certificate, bearing an official seal

     (c) After identity verification, the individual shall complete the Fingerprint Card form, FD
258, the Fair Credit Report Act form, and be photographed and issued the appropriate access badge.

     (d) At this time the contract employee will be given one of the following forms, based on the
security risk designation for the proposed support classification/position, to complete and return
to the SOC within seven (7) business days:

	 	(i)	 	Low Risk Positions - SF 85, Questionnaire for Non-Sensitive
Positions
	 
	 	(ii)	 	Moderate Risk Positions - SF 85-P, Questionnaire for Public Trust
Positions
	 
	 	(iii)	 	High Risk Positions/Secret or Top Secret Security Clearances -
Standard Form (SF) 86, Questionnaire for Sensitive Positions

 

 

	 	 	 
	 

	 	Contract No. CON01000016
	 

	 	Modification No. Eighteen (18)
	 

	 	Page 8 of 9

     (e) For any contract employee whose name is provided to the Commission for security
investigation at (ii) or (iii) level, who subsequently leaves the subject contract, due to
Contractor or contract employee decision, within the first year, the Contractor shall reimburse the
Commission for the cost of the investigation. If the contract or task order is scheduled for
completion in under one year and the contract employee for whom a security investigation has been
done leaves prior to the work being done, the Contractor and SOC shall agree on a pro-rated amount
for reimbursement. The cost may range from approximately $400.00 (moderate risk) to $3,000.00
(high risk). The Contractor will be provided a copy of the investigation invoice with the
reimbursement request.

     3.3. Monthly Contractor Personnel Reports

The monthly report verifying contract personnel working at the FCC is a crucial element in the
agency’s compliance with Homeland Security Presidential Directive (HSPD) 12. Accurate and timely
reporting are required as part of the ongoing access control efforts as mandated by HSPD-12 and
implementing directives.

     (a) The Contractor’s Program Manager shall submit a contract personnel list to the SOC on the
first working day of each month. This report shall be identified by the contract name and FCC
number, and shall list all the contract employees working at the FCC in the immediately previous
month.

     (b) The report shall highlight or list in some way those individuals who are no longer
employed by the Contractor or who are no longer working on the subject contract. As well, any
additional contract personnel who have been successfully processed for work on the contract since
the previous report shall also be noted.

     (c) The report may be delivered electronically in MS Excel format. The covering email should
contain a statement of certification of accuracy and should originate with the Contract Program
Manager or other Contractor executive personnel. The author of the email shall be considered the
signatory.

     (d) No later than the 15th of each month, the SOC will notify the Contract Program Manager,
the author of the email covering the Monthly report (if different), the COTR and the Contracting
Officer if the report is a) received after the first working day of the month, or b) contains
errors in the listing. The notification will identify the reason for deficit in the report.

 

 

	 	 	 
	 

	 	Contract No. CON01000016
	 

	 	Modification No. Eighteen (18)
	 

	 	Page 9 of 9

     (e) The first instance of either a) or b) above shall result in a Five Hundred Dollar
($500.00) penalty against the Contractor. The assessed penalty shall increase in Five Hundred
Dollar ($500.00) increments for each subsequent Monthly report received either late or containing
errors.

     3.4. Checkout Processing:

     (a) All contract employees no longer employed on the subject contract, or at the termination
of the contract, are required to report to the SOC and complete the sign-out portion of the FCC
A-600, Contract Personnel Record.

     (b) This process verifies the access badge has been returned to the SOC by the contract
personnel.

     (c) If the checkout processing is not completed by the contract employee, the Contractor shall
take action to ensure its accomplishment no later than thirty (30) calendar days after the
employee’s departure from the FCC.

     (d) The Contractor shall be liable to the FCC for an administrative processing charge of
$150.00 (One Hundred Fifty Dollars), for each of their employees who leaves their duty assignment
at the Commission and fails to complete the checkout processing within thirty (30) calendar days of
departure. Mellon Bank, N.A., handles collection and processing of all Commission administrative
charges and should payment become necessary, the Contractor will be provided the appropriate
directions for an EFT.

     (e) The Contractor shall be liable for any actual damages arising from a failure to ensure
that the checkout processing occurs within the thirty (30) calendar days of the contract employee’s
departure from the FCC.

 

 

	 	 	 
	          

	 	FCC Computer System

Application Access Assignment Form

Employees and contractors who are requesting application access must have
this form completed and returned to the Application Owner. Access must be
granted in accordance with FCC Instruction 1479.2 Computer Security Program
Directive.

	 	 	 	 	 	 
	 	USER INFORMATION

(To be completed by Application Owner)

	 	User Name (Print Last, First MI):

	 	 	User Name ID:	 
	 	Bureau/Office or Contract Name:

	 	 	Date Access Required:	 
	 	Major Application Access:

	 	 	Access Level:	 
	 

	 	 	 	 	 
	 	 	 
	 	APPLICATION RULES OF BEHAVIOR ACKNOWLEDGEMENT
	 
	 	(To be completed by user and returned to Application Owner when Completed)
	 
	 	 	 
	 	I have received a copy of the attached Application Rules of Behavior that provide
information on Federal regulations, user responsibilities and the consequences of my
actions, and computer security policies and procedures. I have read and will fully comply
with the rules in their entirety. I recognize that it is my responsibility to ensure that
I comply with the Federal computer security policies and procedures described in the FCC
Computer Security Program Directive.	 
	 	 
	 	 	 
	 	                Printed Name:
                    
                    
                  

	 	     Organization:                                                                  
	 
	 	 
	 	 	 
	 	                    Signature:
                                     
           
         

	 	               Date:                                                          
	 
	 	 
	 	 	 
	 	 	 

	 	 	 	 	 	 	 	 
	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 
	 	ACCESS APPROVAL
	 
	 	 
	 	 	 	 	 	 
	 	 	 	 	 	 
	 	I am aware that the following access has been granted to this userID:	 
	 	 
	 	 	 	 	 	 
	 	         o          Privileged, Administrative Account	 	 	o   Non-Privileged, Non-Administrative User Account	 
	 	 
	 	 	 	 	 	 
	 	 	 	 	 	 
	 	Supervisor or COTR (Printed Name): 

	 	 	
Signature:
	 	
Date:	 
	 	 	 	 	 	 
	 	Application Security Custodian (Printed Name):

	 	 	
Signature:
	 	
Date:	 
	 	 	 	 	 	 

Return this form to the Computer Security Officer, Room 1-A325

445 12th Street, S.W., Washington, DC 20554

Form A-200

Revised July 2002

 

 

APPLICATION RULES OF BEHAVIOR

Passwords:

	 	o	 	Passwords must be at
least           characters long.
	 
	 	o	 	Do not write down passwords.
	 
	 	o	 	Do not share your passwords or accounts with others.
	 
	 	o	 	Enable a password protective inactivity screensaver at your station.
	 
	 	o	 	Passwords are to be changed
every           days.
	 
	 	o	 	Use paraphrases instead of dictionary words when creating passwords.

Electronic Data/Media and Paper:

	 	o	 	Do not post system sensitive material in areas subject to public traffic or viewing
(offices next to windows on ground floors please take special note).
	 
	 	o	 	Do not transport system sensitive material in an unprotected manner.
	 
	 	o	 	Lock down all sensitive unclassified material when leaving your work area.
	 
	 	o	 	Protect sensitive unclassified information from alteration, disclosure or loss.
	 
	 	o	 	Ensure all storage media are reformatted before they are removed for storage in a protected environment
	 
	 	o	 	Ensure that appropriate warning labels are printed on each and every page of the sensitive documentation.
	 
	 	o	 	Prevent dumpster diving—do not discard system sensitive materials or communications in public trash containers.
	 
	 	o	 	Deleting a file does not remove its data from the media. Use utilities which delete with
overwriting before releasing media for other assignments or to ensure its destruction.
	 
	 	o	 	Access only information for which you are authorized, “need to know/access.”
	 
	 	o	 	Respect the copyright on the material you reproduce.
	 
	 	o	 	Backup data files at frequent intervals.
	 
	 	o	 	Respect and protect the privacy and confidentiality of records and privacy act information while in your custody.

Dial in Access:

	 	o	 	Dial in users must ensure that adequate safeguards are in place on the remote computer to
ensure the security of the system to which you are dialing in to.
	 
	 	o	 	Lock your terminal or log off if you must leave the work area even briefly.

Laptops:

	 	o	 	Login IDs, passwords and /or sensitive information should not be saved on the hard drive. Use a diskette/CD to save information.
	 
	 	o	 	Protect passwords and user ID’s from hacker, electronic eavesdroppers or shoulder surfers.

Internet Usage:

	 	o	 	Do not transmit sensitive information via the Internet
	 
	 	o	 	Keep your anti-virus software current.
	 
	 	o	 	Periodically virus scan your client.
	 
	 	o	 	Virus scan all e-mail attachments.
	 
	 	o	 	Do not open executable attachments.

General:

	 	o	 	Use FCC computing resources when accessing applications in a manner consistent with its intended purpose.
	 
	 	o	 	Report sensitive circumstances to the help desk.
	 
	 	o	 	Politely challenge unescorted visitors in your area (request identification and purpose).
	 
	 	o	 	Be alert to the risk of theft, espionage and intrusion in the areas you work in and take appropriate countermeasures.
	 
	 	o	 	Attend or participate in annual information security training.
	 
	 	o	 	Report violations of security policies or procedures that come to your attention.
	 
	 	o	 	Prevent social engineering–do not reset passwords for any person via telephone until the
identity of the requestor has been confirmed and verified.
	 
	 	o	 	Do not divulge account access procedure to any unauthorized user.
	 
	 	o	 	Users are not permitted to override technical and management controls.

Form A-200

Revised July 2002

 

 

FCC SECURITY OPERATIONS CENTER

CONTRACT PERSONNEL RECORD

(Please Read Instructions (P.2) Before Beginning)

SECTION A: TO BE COMPLETED BY CONTRACTOR’S PROJECT MANAGER

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	1. Risk

	 	 	 	 	  2. Contract Personnel Name	 	  3. Position Title	 	 
	 	 
	 	 	Designation	 	 	 	 	 	 	 	 

	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	4.	 	 	Secret or Top Secret Security Clearance Required for Position (derived from SoW)           Yes  ̈            No  ̈
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	5.	 	 	Contractor Company Name	 	 	 	 	 	6. Sub-Contractor Company Name (If Any)
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	7.	 	 	New Contract Personnel  ̈	 	 	Replacement  ̈	 	 	Reassigned (    )  ̈
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	8.	 	 	If Replacement or Reassigned, Name of Person Who Vacated the Position [Reassignment may require new A-200]

SECTION B: TO BE COMPLETED BY CONTRACTING OFFICER OR COTR

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	9.

	 	New Statement of Work?
	 	Yes o
	 	No o
	 	 	     10. Funding Source:
	 	 	 
	 	If YES, date copy submitted to SOC	     o Auctions      %       OR       o Appropriated	 
	 	 	 
	 	11.

	 	Contract/Purchase Order Number(s)	 	12. Task Order Number	 	 	 	13. Date of Award

	 	 
	 	 	 
	 	14.

	 	Task Description (Title of Contract or Statement of Work)	 	 	 	 	 	 	 
	 	 	 
	 	15.

	 	Description of Duties and Estimated Length of Employment	 	 	 	 	 	 	 
	 	 	 
	 	16.

	 	ADP/Computer Access?      Yes o      No o	 	 	 	 	17. Date A-200 submitted to SOC	 
	 	If Yes, a copy of the completed, signed FCC Form A-200 must be submitted to SOC.	 	 	 	 	 
	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	Phone:	 
	 	 

	 	 
	 	 

	 	 	 
	 	 	 	 
	 	 

	 	COTR Name (Print)
	 	COTR Signature
	 	 	COTR Bureau/Office
	 
	 	Date:	 
	 	 	 

SECTION C: TO BE COMPLETED BY CONTRACTING PERSONNEL

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	18.	 	I understand and certify that when my work on the above-referenced contract, or any subsequent FCC contract to
which I am assigned, is finished, I shall return my security badge to the Security Operations Center.	 
	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	FCC Location: (floor	 
	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	 	 	 	Name (Print)	 	Signature	 	 	Date	 	and nearest room #)	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	19.
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	In-Processing	 	 	Out-Processing	 	 	 	 	 	 
	 	 

	 	 	 
	 	 	 	 	 	 
	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 

Page 1 of 4

FCC A-600

April 2003

 

INSTRUCTIONS ON COMPLETING FCC Form A-600

THE FCC CONTRACT PERSONNEL RECORD

The FCC has developed this form, A-600, the FCC Contract Personnel Record, to document certain
necessary risk and sensitivity information for the FCC, Security Operations Center (SOC).

The FCC Form A-600 has three sections; to be completed by the Contractor’s Program or Project
Manager, the Contracting Officer and/or (COTR), and the Contract Personnel.

Sections A and B may be completed electronically then printed. Section C of the printed form must
be completed by the individual contractor at the time of their SOC in-processing.

	A:	 	Program Manager:
	 
	2.	 	Contractor Name: This should be as it will appear on the ID badge
	 
	3. 	 	Position Title: Should be exact and include levels (i.e., I, II, Ill, IV), if applicable.
	 
	4.	 	Security Clearance Required for Position: This confirms that a Secret or Top Secret access
level is required for the position duties. Most contractor positions do not require this
access level.
	 
	5.	 	Contractor Company Name: Must be as it appears on the contract.
	 
	6.	 	Sub-Contractor Name: If any, listed here.
	 
	7.	 	New/Replacement/Reassigned: Check appropriate box, you must specify a date, if a
reassignment.
	 
	B:	 	 Contracting Officer/COTR:
	 
	9.	 	New Statement of Work? If YES, a copy must be forwarded to the SOC, specify a date.
	 
	10.	 	Funding Source: Indicate percent funded by Auctions, if any.
	 
	11.	 	Contract/Purchase Order Number(s)
	 
	12.	 	Task Order Number
	 
	14.	 	Task Description: May be the title of the contract or statement of work.
	 
	15.	 	Description of Duties: This is very important. Please be brief and to the point.
	 
	16.	 	ADP/Computer Access: Contract Personnel must have completed FCC Form A-200 before they can
be granted access to the FCC network. A copy of the completed A-200 must be submitted to the
SOC, specify date. Their level of access will depend on the details of the task.
	 
	17.	 	To be completed by SOC.
	 
	C:	 	 Contractor Personnel:
	 
	18.	 	FCC Location: The physical location, if known, of the contractor personnel.
	 
	19.	 	Contractor Personnel Agreement to Submit to Out-Processing: Printed name and signature that
the statement has been read. To be initialed and dated at the time of In- Processing.

The SOC will complete the remaining form in order to determine final placement. SOC will confer
with the COTR and/or the Contractor’s Program/Project Manager for assistance in completing the FCC
Contractor Position Designation Record Justification form.

Page 2 of 4

FCC A-600

April 2003

 

 

PRIVACY ACT STATEMENT

The Federal Communications Commission (FCC or Commission) is authorized to request this
information under 5 U.S.C. Sections 1302, 2951, 3301, 3372, 4118, 8347, and Executive Orders 9397,
9830, and 12107. This form is for contract personnel working for the Commission. If necessary,
and usually in conjunction with another form or forms, this form may be used in conducting an
investigation to determine your suitability or your ability to hold a security clearance, and it
may be disclosed to authorized officials making similar, subsequent determinations.

ROUTINE USES: Any disclosure of this record or information in this record is in accordance with
routine uses found in System of Records Notice OPM/GOVT-1, General Personnel Records. The
Commission may disclose this information under the following circumstances:

	(1)	 	To the appropriate Federal, State, or local agency responsible for responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order,
when the FCC becomes aware of an indication of a violation or potential violation of a civil
or criminal law or regulation.
	 
	(2)	 	To disclose information to any source from which additional information is requested (to the
extent necessary to identify the individual, inform the source of the purpose(s) of the
request, and to identify the type of information requested), when necessary to obtain
information relevant to an agency decision to hire or retain an employee, issue a security
clearance, conduct a security or suitability investigation of an individual, classify jobs,
let a contract, or issue a license, grant, or other benefits.
	 
	(3)	 	To disclose to a Federal agency in the executive, legislative, or judicial branch of
government, in response to its request, or at the initiative of the FCC, information in
connection with the hiring of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation of an individual, the classifying of
jobs, the letting of a contract, the issuance of a license, grant, or other benefits by the
requesting agency, or the lawful statutory, administrative, or investigative purpose of the
agency to the extent that the information is relevant and necessary to the requesting agency’s
decision.
	 
	(4)	 	To provide information to a Congressional office from the record of an individual in response
to an inquiry from that Congressional office made at the request of the individual.
	 
	(5)	 	To disclose to another Federal agency, to a court, or a party in litigation before a court or
in an administrative proceeding being conducted by a Federal agency, when the Government is a
party to the judicial or administrative proceeding.
	 
	(6)	 	To the Department of Justice, or in a proceeding before a court, adjudicative body, or other
administrative body before which the Commission is authorized to appear when:

	 	(a)	 	The Commission, or any component thereof; or
	 
	 	(b)	 	Any employee of the Commission in his or her official capacity; or
	 
	 	(c)	 	Any employee of the Commission in his or her individual capacity where the
Department of Justice or the Commission has agreed to represent the employee; or
	 
	 	(d)	 	The United States, when the Commission determines that litigation is likely to
affect the FCC or any of its components, is a party to litigation, or has an interest in
such litigation, and the use of such records by the Department of Justice or the FCC is
deemed by the Commission to be relevant and necessary to the litigation provided,
however, that in each case it has been determined that the disclosure is compatible with
the purpose for which the records were collected.

	(7)	 	By the FCC or by the Office of Personnel Management (OPM) to locate individuals for personnel
research or survey response, and in the production of summary descriptive statistics and
analytical studies in support of the function for which the records are collected and
maintained, or for related workforce studies. When published statistics and studies do not
contain individual identifiers, in some instances, the selection of elements of data included
in the study may be structured in such a way as to make the data individually identifiable by
inference.
	 
	(8)	 	To disclose, in response to a request for discovery or for appearance of a witness,
information that is relevant to the subject matter involved in a pending judicial or
administrative proceeding.

Page 3 of 4

FCC A-600

April 2003

 

 

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