Document:

exv10w3

 

Exhibit 10.3

AMENDMENT TO SUBLEASE BETWEEN

NOVAVAX, INC. AND STERILOX TECHNOLOGIES INC.

This Amendment, dated as of the 25th day of October 2006, is made by and between
Novavax, Inc., a company organized under the laws of the State of Delaware, with its principal
office at 508 Lapp Road, Malvern, PA, (“Novavax” or “Sublandlord”) and PuriCore Inc., formerly
known as Sterilox Technologies, Inc. (“PuriCore” or “Subtenant”).

WHEREAS, Novavax and PuriCore have entered into a Sublease as of April 7, 2006 (“Sublease”);

WHEREAS, Novavax and PuriCore desire to amend the Sublease.

NOW THEREFORE, Novavax and PuriCore hereby agree to amend the Sublease as follows:

	 	1.	 	All capitalized terms used herein but not otherwise defined shall have the meaning
given to such terms in the Sublease.
	 
	 	2.	 	PuriCore assumes all obligations and liabilities of Sterilox as Subtenant in the
Sublease and references to Sterilox or Subtenant shall be deemed to be references to
PuriCore.
	 
	 	3.	 	The Sublease Premises is expanded to include the offices on the second floor of the
Premises, together with shared access to the Common Areas (the “Expansion Premises”)
delineated on the attached Exhibit A-1 (approximately 7500 square feet). Sublandlord
shall retain full use and access to the Common Areas and Storage delineated on Exhibit
A-1.
	 
	 	4.	 	The Expansion Premises shall be Delivered, as defined below, to Subtenant on a
rolling basis, office by office, based on the time over which Sublandlord vacates the
offices in the Expansion Premises. Delivery or Delivered shall mean the date on which the
obligations of Sublandlord to deliver all or part of the Expansion Premises have been met.
	 
	 	5.	 	Before Delivery shall be deemed to have occurred for any portion of the Expansion
Premises, Sublandlord shall (a) leave each office vacant in a broom cleaned condition, and
(b) notify Subtenant of such portion of the Expansion Premises that Sublandlord now deems
Delivered including the square footage of such space.
	 
	 	6.	 	Subject to Paragraph 8 of this Amendment, Sublandlord anticipates that the initial
Delivery of the first available office in the Expansion Premises (“Initial Delivery Date”)
will begin on or about October 28, 2006. Sublandlord will continue to
deliver offices to Subtenant until all offices in the Expansion Premises have been
delivered (“Final Delivery Date”).

-1-

 

	 	7.	 	The annual rent payable to Subtentant under this Amendment (“Expansion Subrent”)
shall be twenty dollars ($20.00) per square foot of the Expansion Premises which have been
Delivered to Subtenant until the Final Delivery Date. The final determination of the
amount of square feet in any portion of the Expansion Premises before the Final Delivery
Date shall be determined by the square foot allocations given to each office on the
attached Exhibit A-1. The Expansion Subrent for the entire Expansion Premises following
the Final Delivery Date through the remainder of the Term shall be monthly payments of
Twelve Thousand Five Hundred Dollars ($12,500.00) and shall be payable in accordance with
the terms governing Subrent under the Sublease. Subtenant shall have no obligation to pay
any Expansion Subrent until at least one office of the Expansion Premises is Delivered to
Subtenant in the manner set forth in Paragraph 5 above.
	 
	 	8.	 	This Amendment is contingent upon (a) the prior written approval of the Prime
Landlord (the “Landlord Consent”) and (b) Sublandlord’s final execution of a Lease or
Sublease for office, laboratory, and manufacturing space in connection with its proposed
relocation to the State of Maryland (the “Relocation Lease”). If Sublandlord fails either
(a) to obtain the Landlord Consent or (b) to execute a Relocation Lease on or before
November 1, 2006, this Amendment may be terminated in writing by either Sublandlord or
Subtenant and neither Subtenant or Sublandlord shall have any further liability in
connection with this Amendment. Subtenant shall not be obligated to deliver any of the
Expansion Premises unless or until it executes the Relocation Lease.
	 
	 	9.	 	The obligation of Sublandlord in Section 6(c) of the Sublease to provide reception
services is hereby removed. Notwithstanding the foregoing, Subtenant shall be obligated to
pay the Additional Rent of $1.75 per rentable square foot to Subtenant for Common Areas,
cafeteria, bathrooms and first floor service rooms as set forth in Section 6 (c) of the
Sublease.
	 
	 	10.	 	Notwithstanding Section 8 of the Sublease, Sublandlord’s execution of the Relocation
Lease, subject to the provisions of this Section 10, Subtenant shall be entitled to 100%
of the area of the existing monument road sign, and Sublandlord shall release any rights
to use any portion of such sign for the remainder of the Term, provided that Novavax shall
have the right to place its name on the front door and at the front entrance, subject to
approval, if required, of the Prime Landlord. If Novavax is not permitted to place its
name on the front door and at the front entrance, then, notwithstanding any other
provision of this Section 10, Novavax shall be entitled to utilize 20% of the area
existing monument road sign for its name. Sublandlord shall remove any of its existing
signage at Sublandlord’s sole cost and expense within 30 days of execution of the
Relocation Lease. Subtenant shall be responsible for any modifications to such sign at
Subtenant’s sole cost and expense after Sublandlord removes its signage as set forth above.

-2-

 

	 	11.	 	Sublandlord represents and warrants to Subtenant that: (i) Sublandlord has paid to
Prime Landlord any and all sums owed to Prime Landlord under the Prime Lease as of the
date of this Amendment; (ii) neither Prime Landlord nor Sublandlord is in default under
the Prime Lease, and there exists no state of facts and no event has occurred which, with
the passage of time or the giving of notice, or both, would constitute a default by either
Prime Landlord or Sublandlord under the Prime Lease; (iii) no part of the Security Deposit
has been applied by Prime Landlord to satisfy Sublandlord’s obligations under the Prime
Lease; (iv) to Sublandlord’s knowledge, the Expansion Premises is in good condition and
repair; and (v) Sublandlord has no knowledge of any environmental condition that affects
the use or operation of the Expansion Premises in any way. Other than the foregoing
representations and warranties concerning the Sublease Premises, Subtenant hereby
acknowledges that Subtenant is accepting the Expansion Premises in its “as is” condition,
without any representations and warranties by Sublandlord.
	 
	 	12.	 	Except as expressly set forth herein, all other terms and conditions of the Sublease
shall remain in full force and effect and shall be fully applicable to the Expansion
Premises.
	 
	 	13.	 	This Amendment may be executed in counterparts, each of which, when taken together as
a whole, shall constitute one and the same instrument.
	 
	 	14.	 	This Sublease shall be construed and governed by the laws of the Commonwealth of
Pennsylvania.

-3-

 

     IN WITNESS WHEREOF, the parties have caused this Sublease to be duly executed as of the date
first above written.

	 	 	 	 	 
	WITNESS:

	 	 	 	SUBLANDLORD:
	 
	 	 	 	 
	 

	 	 	 	Novavax, Inc.
	 

	 	 	 	By: /s/ Raymond J. Hage
	 

	 	 
	 	Name: Raymond J. Hage
	 

	 	 	 	Title: Sr. VP & Chief Operating Officer
	 
	 	 	 	 
	WITNESS:

	 	 	 	SUBTENANT:
	 
	 	 	 	 
	 

	 	 	 	PuriCore, Inc.
	 

	 	 	 	By: /s/ Greg Bosch
	 

	 	 
	 	Name: Greg Bosch
	 

	 	 	 	Title: President & CEO

-4-exv10w3w5

 

Exhibit 10.3.5

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	 	 	1. CONTRACT ID CODE	 	 	Page
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	A	 	 	 	 	 	 	 	 	1 of 3
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	2. AMENDMENT/MODIFICATION NO.	 	 	3. EFFECTIVE DATE	 	 	4. REQUISITION/PURCHASE REQ. NO.	 	 	5. PROJECT NO. (If applicable)
	     0019	 	 	 	    07/31/2006	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	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
Sterling, VA 20166

	 	 	 	 	 	(X)
	 	 	10A. MODIFICATION OF CONTRACT/ORDER
NO. CON01000016	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(X)
	 	 	10B. DATED (SEE ITEM 13)	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	CODE*

	 	 	FACILITY CODE	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 	 	 	 	 	 	 	 	 	 

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

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

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

	 	 	 
	 
	12. ACCOUNTING AND APPROPRIATION DATA (If required)
	       No Funding Information
	 
	13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.

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

	 	 	 	 
	 	 	 	 
	CHECK ONE
	 	 	 
	 	 	 	 
	 

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

	 	 	 	 
	 

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

	 	 	 	 
	 

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

	 	 	 	 
	x

	 	 	D. OTHER (Specify type of modification and authority)
	 

	 	 	Clause H.4, Key Personnel Requirements; FAR 43.103(a)(3), Mutual Agreement
	 	 	 	 

	 	 	 
	E. IMPORTANT: Contractor o 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 no-additional cost modification is to incorporate changes to Key Personnel. Accordingly, the following represents the updated applicable changes:

	 	 	 	 	 
	 
	 	Key Personnel	 	               Title
	 
	 
	 	1. Gary Zahn	 	Acting Regional Director
	 
	 	2. Dara Sodano	 	Acting Senior Pooling Administrator
	 
	 	3. Tara Farquhar	 	Industry Interface Representative
	 
	 	4. Vacant	 	Pooling Administrator

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	All other terms and conditions of the contract remain unchanged.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	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 of print)
	 

	 	 	Digitally signed by Amy L. Putnam
	 	 	 	 	 	 	 	Anthony Wimbush	 	 	 	 	 
	 

	 	 	DN: on-Amy L. Putnam, Esq.	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	Date: 2006.08.22	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	15:58:53 -04’00’	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	15B.

	 	 	CONTRACTOR/OFFEROR
	 	 	15C. DATE SIGNED
	 	 	16B.
	 	United States of America
	 	 	16C. DATE SIGNED 8/22/06	 	 
	 

	 	 	/s/ Amy L. Putnam	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	(Signature of person authorized to sign)
	 	 	 	 	 	BY
	 	      /s/ Anthony S. Wimbush	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	            (Signature of Contracting Officer)	 	 	 	 	 

	 	 	 	 	 
	NSN 7540-01-152-8070

	 	 	STANDARD FORM 30 (REV. 10-83)

	PREVIOUS EDITION

	 	 	Prescribed by GSA FAR (48 CFR)

	UNUSABLE

	 	 	53.243

\

 

	 	 	 	 	 	 	 
	  AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

	 	 	1. CONTRACT ID CODE
	 	 	PAGE OF PAGES
	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  2. AMENDMENT/MODIFICATION NO.	 	 	3. EFFECTIVE DATE	 	 	4. REQUISITION/PURCHASE REQ. NO.	 	 	5. PROJECT NO. (If applicable)
	      0020

	 	 	 	 	    09/15/06	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  6. ISSUED BY	 	CODE	 	 	 	 	 	 	 	7. ADMINISTERED BY (If other than Item 6)	 	 	 	CODE	 	 
	 

	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  FCC/Contracts and Purchasing Center	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  445 12th Street, 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. CON01000016
	 	 	 	 	 	 	 	 	 	 	 
	  Sterling, VA 20166	 	 	 	 	X	 	 	10B. DATED (SEE ITEM 13)
	 

	 	 	 	 	 	 	 	 	 	06/15/01
	 	 	 	 	 	 	 	 	 
	  CODE

	 	 	 	FACILITY CODE	 	 	 	 	 	 
	 	 	 	 	 	 	 

	 	 	 	 	 
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
	 

	 	 	 
	  c

	 	The above numbered solicitation is
amended as set forth in Item 14. The hour and date specified for receipt of Offers c is extended, c is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

	 
	 

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

	 
	  12.

	 	ACCOUNTING AND APPROPRIATION DATA (If required)

No Funding Information
	 

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

	 	 	 	 	 	 
	  CHECK ONE

	 	 	 
	 	 
	 

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

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

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

	 	 	 	 	FAR 52.217-9, Option to Extend the Term of the Contract
	 	 	 	 
	x

	 	 	D.
	 	OTHER (Specify type of modification and authority)
	 

	 	 	 	 	FAR 1.6, Authority of the Contracting Officer
	 	 	 	 

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

 

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The purpose of this unilaterally executed modification is to exercise Option Period 4a. The period of performance is hereby extended from September 15, 2006 through October 14, 2006. Funding in the amount of $296,419.31 is funded via NANPA and
will be paid by FCC Billing & Collection Agent, Welch & Co.

 

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

 

	 	 	 	 	 	 	 	 	 	 	 	 
	  15A. NAME AND TITLE OF SIGNER (Type or print)
  UNILATERAL MODIFICATION	 	 	16A.	 	NAME AND TITLE OF CONTRACTING OFFICER (Type or print) 
Wilma S. Mooney
	 	 	 	 	 	 	 	 	 	 
	  15B. CONTRACTOR/OFFEROR

	 	  15C. DATE SIGNED
	 	16B.
	 	UNITED STATES OF AMERICA
	 	 	16C. DATE SIGNED
9/7/06
	 
	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	BY
	 	     /s/ Wilma S. Mooney
	 	 	 
	(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

 

	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	 	 	1. CONTRACT ID CODE	 	PAGE   	 	OF    PAGES
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 		 	 	 	 	 	 	 	1	 	1
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	2. AMENDMENT/MODIFICATION NO.	 	 	3. EFFECTIVE DATE	 	 	4. REQUISITION/PURCHASE  REQ. NO.	 	 	5. PROJECT  No. (if applicable)
	0021	 	 	09/08/06	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	6. ISSUED BY
                  
                    CODE
	 	 	 	 	 	 	 	7. ADMINISTERED BY (if other than Item 6)	 	 	CODE	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Federal
Communications Commission
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	445 12th Street, SW
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Washington, DC 20554

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 
	8. NAME AND ADDRESS OF
CONTRACTOR (No., street, county, State and Zip Code)	 	 	(X)	 	9A. AMENDMENT OF SOLICIATION NO.
	 	 	 	 	 	 	 	 	 	 	 	 
	NeuStar, Inc.

	 	 	 	 	 	 	 	 	 	9B. DATED (SEE
ITEM 11)
	 	 	 	 	 	 	 	 	 	 	 	 
	46000 Center Oak Plaza
Sterling, VA 20166

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

	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	10B. DATED (SEE ITEM 11)
	 	 	 	 	 	 	 	 	 	 
	CODE

	 	 	FACILITY CODE	 	 	 	 	 	 	 	            06/15/01 
	 	 	 	 	 	 	 	 	 	 
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 	 	 	 	 	 	 	 	 	 

	 	 	 
	þ

	 	The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers     o is extended,    o is not extended.
	 
	 	 
	Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following
methods:
	 
	 	 
	(a) By completing items
8 and 15, and returning ___ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the
solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment
you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment,
and is received prior to the opening hour and date
specified.

	 	 	 
	 
	12. ACCOUNTING AND APPROPIRATION DATA (if
required)
          N/A
          
	 
	13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.
IT MODIFIES THE CONTRACT/ORDER NO. AS
DESCRIBED IN ITEM 14.

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

	 	 	 	 
	X

	 	 	FAR 52.243-2, Changes - Cost Reimbursement - Alt. 1

	 	 	 	 
	 

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

	 	 	 	 
	 

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

	 	 	 	 
	 

	 	D.	OTHER (Specify type of modification and authority)

	 	 	 	 

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

 

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject
matter where feasible.)

The purpose
of this Change Order Issuance is to direct NeuStar, Inc. to
immediately commence serving as the Interim Routing Number
Authority (RNA) and performing the p-ANI administration functions. Accordingly, see the attached letter dated September
8, 2006 and the December 5, 2005 revision of the “pANI Interim
Assignment Guidelines for ESQK”. 

 

 

 

 

 

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)	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	Anthony S. Wimbush, Contracting Officer	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 
	15B. CONTRACTOR/OFFEROR

	 	 	15C. DATE SIGNED
	 	 	16B.
	 	UNITED STATES OF AMERICA
	 	 	 	 	16C. DATE SIGNED
	 	 	 	 	 	 	/s/ Anthony S. Wimbush
	 	 	 	 	10-4-06
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	         (Signature of person authorized to sign)	 	 	 	 	 	(Signature of Contracting Officer)
	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 

					
	NSN 7540-01-152-8070

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

 

	 	 	 	 	 
	

	 	Federal Communications Commission

Washington, D.C. 20554	 	 

September 8, 2006

Thomas M. Koutsky

Chair, North American Numbering Council

c/o Phoenix Center for Advanced Legal and Economic Public Policy Studies

5335 Wisconsin Avenue, NW

Suite 440

Washington, D.C. 20015

Ms. Amy L. Putnam

Director, Number Pooling Services

NeuStar, Inc.

3519 North Fourth Street

Harrisburg, PA17110

Dear Mr. Koutsky and Ms. Putnam:

     This letter addresses a recommendation by the North American Numbering Council (NANC) that
NeuStar, Inc. (NeuStar), the current Pooling Administrator, serve as the Interim Routing Number
Authority (Interim RNA) for the pseudo Automatic Number
Identification (p-ANI) codes1 used for
routing emergency calls.2 After review of the materials supplied by the NANC, the
Wireline Competition Bureau (Bureau) agrees with the NANC’s recommendation and finds it would be in
the public interest to assign NeuStar to be the Interim RNA. Furthermore, the Bureau concludes that
the p-ANI administration function falls within the broad scope of NeuStar’s existing Pooling
Administration Contract.3 Accordingly, the Bureau hereby

 

			
	1	 	A p-ANI is a number, consisting of the same number of digits as Automatic Number
Identification (ANI), that is not a North American Numbering Plan (NANP) telephone directory number
and may be used in place of an ANI to convey special meaning to the selective router, public safety
answering point (PSAP), and other elements of the 911 system. See IP-Enabled Services, E911
Requirements for IP-Enabled Service Providers, WC Docket Nos. 04-36,
05-196, First Report and Order and Notice of Proposed Rulemaking, 20
FCC Rcd 10245, 10252-53, para.
17 (2005) (VoIP 911 Order); 47 C.F.R. § 9.3.
	 
	2	 	See Letter from Hoke Knox and Karen Mulberry, pANI Issues Management Group Co-Chairs,
to Robert C. Atkinson, NANC Chair (Sept. 2, 2005) in Letter from Robert C. Atkinson, NANC Chair, to
Thomas J. Navin, Chief Wireline Competition Bureau, FCC (Sept. 8, 2005) (NANC Sept. 8 Letter);
p-ANI Issues Management Group, NANC, pANI Interim Assignment Guidelines for ESQK (issued Sept. 1,
2005) (Initial Interim Guidelines) in
NANC Sept. 8 Letter. The Initial Interim Guidelines were revised by
the NANC on December 5, 2005.
See Letter from Robert C. Atkinson, NANC Chair, to Thomas J. Navin, Chief, Wireline Competition
Bureau, FCC (Jan. 5,
2005) at 2; p-ANI Issues Management Group, NANC, pANI Interim Assignment Guidelines for ESQK
(revised Dec. 5, 2005) <http://www.nanc-chair.org/docs/nowg/Jan06_pANI_Guidelines_(Revised).doc> (Interim Guidelines).
	 
	3	 	See generally Pooling Administrator - NeuStar, FCC Contract No. CON01000016, signed by
Sonna Stampone, Contracting Officer, Federal Communications
Commission (dated June 15, 2001)
(Contract). We note that the Thousands-Block Pooling Contractor Technical Requirements are set
forth in Section C of the Contract. See id., Section C (Contract Technical Requirements).

 

 

directs NeuStar to perform the p-ANI administration function. NeuStar must perform this function in
accordance with the NANC’s Interim Guidelines and the instructions in this letter. This assignment
is interim in nature until a permanent p-ANI solution is in place, the expiration of NeuStar’s
performance as Pooling Administrator, or further notice, whichever occurs first.

     As you know, the Federal Communications Commission (FCC) ordered providers of interconnected
voice over Internet Protocol (VoIP) service to supply their customers with enhanced 911
capabilities.4 The NANC proposes temporary measures for the administration and issuance
of p-ANI resources. Specifically, the NANC recommends that NeuStar administer the p-ANI function on
an interim basis until NANC’s p-ANI Issue Management Group proposes a permanent recommendation. In
addition, the NANC proposes Interim Guidelines that would apply to the Interim RNA’s administration
of p-ANI resources, and to entities that seek to obtain p-ANI from the Interim RNA.

     The Bureau accepts, as set forth below, the NANC’s proposed temporary measures for the
administration and issuance of p-ANI resources. The Bureau recognizes, however, that a permanent
solution to this issue will best serve the public interest. The Bureau therefore directs the NANC
to advise the Bureau, no later than October 10,2006, as to the date the NANC will recommend to the
Bureau such a permanent solution.

     The Bureau agrees with the NANC that NeuStar should serve as the Interim RNA. Given its
experience as the Pooling Administrator, NeuStar is qualified to perform this role. Moreover, the
Contract encompasses this additional function. The Contract in general assigns NeuStar
responsibilities over assignment of thousands-block numbering resources — pools smaller than
ten-thousands blocks or central office codes administered pursuant to other agreements.5
In addition, Section 2.5 of the Contract provides that 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.”6 Section 2.5.1 further states that “the FCC, the NANC,
and/or the [Industry Numbering Committee] 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.”7

     The Bureau therefore directs NeuStar to serve as Interim RNA until: (1) a permanent p-ANI
solution is in place; (2) the expiration of NeuStar’s performance as Pooling Administrator; or (3)
further notice, whichever occurs first. During this interim period, however, NeuStar is not the
sole provisioner of p-ANI resources. Carriers or other entities that have been voluntarily
providing p-ANI may continue to do so until a permanent solution is found.

 

			
	4	 	See generally VoIP 911 Order, 20 FCC Red 10245.
	 
	5	 	Contract Technical Requirements, § 1.1.
	 
	6	 	Id., § 2.5.
	 
	7	 	Id., § 2.5.1; see also id., § 1.4 (“The contractor shall also ensure that domestic
numbering administration shall be
effective.”).

 

 

     The Bureau further requires NeuStar, in its capacity as Interim RNA, to comply with the NANC’s
Interim Guidelines, except as explained in this paragraph. Section 3.3 of the Interim Guidelines
states that Part 52 of the FCC’s rules8 (which governs numbering) does not apply to
p-ANI except as provided in the Interim Guidelines.9 NeuStar shall not follow this
section. Until the Commission determines that Part 52 does not apply to p-ANI or makes some other
ruling on the topic, we require NeuStar to operate consistently with the requirements of Part
52.10 Accordingly, an entity seeking p-ANI from NeuStar must have appropriate authority
to access numbering resources in general. The entity must be licensed or certified by the FCC or a
state commission to operate as a telecommunications carrier and must provide NeuStar with evidence
of such
authority.11 Thus, “Eligible Users,” as defined in the Interim Guidelines, shall be no
broader than indicated in this paragraph. Furthermore, NeuStar may assign p-ANI to VoIP service
providers that can provide such evidence of carrier status as well as to carriers that provide
wholesale 911-related services to VoIP service providers. Requests for waivers of this requirement
may be filed by any entity that certifies that it fully remits 911 emergency service fees into all
state and local 911 funds, and fully contributes into universal service mechanisms.

     Finally, the Bureau directs NeuStar to submit a Change Order Proposal on this issue to begin
the contract modification process. Section 2.5.3 of the Contract directs that “within a period of
not more than 30 calendar days” from the date that the FCC modifies the functions to be performed
by the contractor, “[t]he contractor shall... 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.”12 Therefore, NeuStar must submit the Change Order
Proposal within 30 calendar days of the date of this letter.

     Please
let me know if you have any questions regarding this matter.

	 	 	 	 	 
	 	Sincerely

 	 
	 	/s/
Thomas J. Navin
 	 
	 	Thomas J. Navin 	 
	 	Chief

Wireline Competition Bureau 	 
	 

 

			
	8	 	47 C.F.R. § 52.1 et seq.
	 
	9	 	Interim Guidelines, § 3.3.
	 
	10	 	Cf. Numbering Resource Optimization, CC Docket No. 99-200, Report and Order and
Further Notice of Proposed Rulemaking, 15 FCC Rcd 7574, 7591, paras. 31-32 (2000) (placing wireless
E911 emergency service routing digits (ESRD/ESRK) in the general category of administrative
numbers, which includes “any numbers used by carriers to perform internal administrative or
operational functions necessary to maintain reasonable quality of service standards”).
	 
	11	 	Id. at 7615, para. 97.
	 
	12	 	Contract Technical Requirements, § 2.5.3.

 

 

pANI

Interim Assignment

Guidelines

for ESQK

Prepared by the pANI IMG

for the NANC

Revised
December 5, 2005

Issued
September 1, 2005

 

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

Table of Contents

	 	 	 	 	 	 	 
	Section	 	 	 	Page	 
	1
	 	Preface	 	 	3	 
	2
	 	Disclaimer and Limitation of Liability	 	 	4	 
	3
	 	Purpose and Scope of This Document	 	 	4	 
	4
	 	Assumptions and Constraints	 	 	5	 
	5
	 	Assignment Principles	 	 	7	 
	6
	 	Criteria for the Assignment of ESQK Numbers	 	 	8	 
	7
	 	ESQK Assignment Functions	 	 	8	 
	8
	 	Responsibilities of ESQK Number Applicants and Holders	 	 	9	 
	9
	 	Assignment Procedures	 	 	10	 
	10
	 	Interim 9-1-1 RNA Responsibilities	 	 	11	 
	11
	 	Conflict Resolution and Appeals Process	 	 	12	 
	12
	 	Maintenance of These Guidelines	 	 	12	 
	13
	 	Future Considerations	 	 	13	 
	14
	 	Glossary	 	 	14	 

Page 2

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

Preface

On
October 5, 1995, the Federal Communications Commission (FCC) established the North
American Numbering Council (NANC), by filing its charter with Congress, to provide advice and
recommendations to the FCC and other governments (including Canada and Caribbean countries) on
numbering issues.

Since its inception, the Council has provided the Commission with critically important
recommendations regarding numbering issues. These recommendations have addressed a myriad of
issues, including wireline/wireless integration for local number portability, abbreviated dialing
arrangements, the neutrality of toll free database administration, the feasibility of local number
portability for 500/900 numbers, methods for optimizing the use of numbering resources, the
assignment of Feature Group D Carrier Identification Numbers to switch-less resellers, and
technical specifications for a National Pooling Administrator and the North American Numbering Plan
Administrator. Recently the Council has been reviewing the issue of integrating the numbering
resource needs of IP enabled service providers, commonly referred to as Voice over Internet
Protocol (VoIP), into the existing numbering resource rules and regulations. The council has
recently provided recommendations to the FCC on VoIP Service Providers’ Access Requirements for
NANP Resource Assignments.

On June 3, 2005 the FCC issued the First Report and Order under FCC docket 05-196 that requires
VoIP providers to supply enhanced 9-1-1 (E9-1-1) service capabilities to their customers. When
evaluating the access of VoIP users to Public Service Answering Points (PSAPs) several parallels to
the access of wireless users to PSAPs can be seen; primarily the users can be nomadic and the
telephone number assigned to the user may be foreign to the PSAP the call should be directed to.
The wireless industry has traditionally addressed these issues through the use of pseudo ANIs
(pANI) to establish access for a nomadic user with a foreign telephone number to the correct PSAP.
It is anticipated that VoIP will use a similar methodology to provide VoIP user’s access to PSAPs.

On July 25, 2005 the Alliance for Telecommunications Industry Solutions (ATIS) Emergency Service
Interconnection Forum (ESIF) submitted to the industry and to NANC a set of “Routing Number
Authority (RNA) for pANIs Used for Routing Emergency Calls — pANI Assignment Guidelines and
Procedures”1. On August 5, 2005 the NANC Future of Numbering Working Group established the pANI
Issue Management Group (IMG) to address the request by ESIF and provide a recommendation to NANC.

The IMG concurs with the basic recommendations of the ESIF to establish an Interim 9-1-1 Routing
Numbering Administrator (Interim 9-1-1 RNA) to administer pANI numbering resources and envisions
this to be a two stage process.

 

			
	1	 	© 2005 by Alliance for Telecommunications Industry Solutions) created by the Emergency
Services Interconnection Forum (ESIF).

Page 3

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

Stage I consists of this document (which incorporates concepts and information from the ESIF
document and uses it along with ATIS Industry Numbering Committee (INC) document templates) to
provide interim guidelines for the issuance of resources from the North American Numbering Plan
(NANP) to enable VoIP services providers to comply with the requirements of FCC Order 05-196.

Stage II will be the development of complete guidelines and administrative procedures by INC, in
cooperation with the ESIF, for the use of pANIs in all modes of communication.

The interim guidelines will apply to the Interim 9-1-1 RNA and any entities that seek to obtain
numbers from the Interim 9-1-1 RNA until such time as the INC in cooperation with the ESIF can
develop and publish complete guidelines and administrative procedures concerning pANIs.

NANC members include representatives from local exchange carriers (LECs), inter-exchange carriers,
wireless providers, manufacturers, state regulators, VoIP providers, consumer groups, and
telecommunications associations.

1 Disclaimer and Limitation of Liability

The information provided in this document is directed solely to professionals who have the
appropriate degree of experience to understand and interpret its contents in accordance with
generally accepted engineering or other professional standards and applicable regulations. No
recommendation as to products or vendors is made or should be implied.

2 Purpose and Scope of This Document

In an effort separate from this IMG, the ESIF, a technical committee of ATIS, has been
evaluating the need to standardize the specific numbers used in the implementation of pANIs,
specifically Emergency Service Query Keys (ESQKs) for use during VoIP 9-1-1 calls. The purpose of
this document is to define the interim guidelines that shall be used by any entity that is
assigning ESQKs for VoIP. The duration of this interim period shall be decided separately by NANC.

ESIF has recommended2, and the INC has concurred3 that ESQKs

	 	•	 	Should be in the format of NPA-NXX-XXXX and that they should be from the number sets of
NPA-211-XXXX and NPA-511-XXXX if the NPA-211-XXXX is exhausted.

     and

 

			
	2	 	ESIF Issue 25 on the Use of Pooled or Ported Numbers as ESRKs
	 
	3	 	INC Issue 429 Non-Dialable ESRDs or ESRKs

Page 4

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	 	•	 	Should be from the pools of NPA’s that are valid for the Selective Router they will be
used for.

These guidelines recommend that ESQKs (pANIs utilized for VoIP) should be from the pools of
NPA-211-XXXX or NPA-511-XXXX with 211 being utilized before 511.

This document specifies interim guidelines developed with ESIF for the assignment of ESQK to those
Eligible Users complying with the FCC order requiring VoIP customers to have access to enhanced
9-1-1 (E9-1-1). The designated interim ESQK Numbering Administrator (referred to as “Interim 9-1-1
RNA”).

These guidelines apply only to the assignment of ESQKs within geographic numbering plan areas
(NPAs) under the jurisdiction of the FCC. This does not preclude a future effort to address
non-geographic NPAs in the same guidelines. ESQKs are assigned for use at a Selective Router for
which the VoIP Service Provider (VSP) has approval from the 9-1-1 Governing Authority4
to route E9-1-1 traffic for termination to a PSAP. While the ultimate delivery of any call to a
PSAP must be based upon the geographical location of the originating caller, by necessity the
association of the geographical location of the originating telephone number and the ESQK is
typically made at an Emergency Routing Data Base (ERDB).

In areas where E9-1-1 System Service Providers (E9-1-1 SSPs)5 had performed this
function prior to the establishment of the Interim 9-1-1 RNA, that role may continue until such
time as a permanent 9-1-1 RNA is determined. In developing these guidelines, ESIF and the pANI IMG
foresee that these entities should only exist during the transition period until a permanent 9-1-1
RNA is established.

3 Assumptions and Constraints

The development of these guidelines includes the following assumptions and constraints:

	3.1	 	pANIs (and specific to these guidelines, ESQKs) in the format NPA-NXX-XXXX are by
definition6 in the format of a Central Office code and are therefore administered by the
North American Numbering Plan Administrator7 under Guidelines developed by the
INC8.
	 
	3.2	 	In Stage II the NXX-211-XXXX and NXX-511-XXXX should be identified in 47 C.F.R. §
52.13.(d) as a unique sub-set of NANP resources known as pANIs.

 

			
	4	 	The term “9-1-1 Governing Authority” means “an entity designated under state law or
regulation to have decision-making and oversight responsibilities for a 9-1-1 Emergency Number
System for one or more PSAPs.”
	 
	5	 	Generally speaking, an E9-1-1 SSP is in the majority of cases an ILEC but there are other
entities that perform that function.
	 
	6	 	47C.F.R. § 52.7(c)
	 
	7	 	47C.F.R. § 52.15(a)
	 
	8	 	47C.F.R. § 52.15(d)

Page 5

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	3.3	 	Although pANIs are believed to be a North American Numbering Plan
resource the existing requirements of “47 C.F.R. § 52 Numbering”
do not apply unless specifically indicated in these interim
guidelines. The specific sections of 47 C.F.R. § 52 that should
apply to pANIs will be determined in Stage II.
	 
	3.4	 	These interim guidelines are for use in cooperation with various
North American Numbering Plan numbering guidelines developed by
the INC and the recommendations of ESIF and NANC.
	 
	3.5	 	The Interim 9-1-1 RNA will work with other entities administering
ESQKs to transition administrative functions to the Interim 9-1-1
RNA according to a mutually agreeable timetable for transition.
	 
	3.6	 	ESQK numbering resources shall be assigned to permit the most
effective and efficient use of a finite numbering resource in
order to prevent premature exhaust. Efficient resource management
and number conservation are necessary due to the industry impacts
of expanding the numbering resource.
	 
	3.7	 	If at any point the FCC rules require regulatory certification,
the applicant must be able to demonstrate that regulatory
authorization has been obtained for the issuance of ESQK
numbering resources.
	 
	3.8	 	These guidelines do not address the issue of who will fulfill the
role of Interim 9-1-1 RNA. The NANC pANI IMG developed these
interim guidelines with ESIF without any assumption on who should
be the Interim 9-1-1 RNA.
	 
	3.9	 	The NANC developed these interim guidelines as a temporary guide
for the industry pending development of permanent INC guidelines
in cooperation with ESIF.
	 
	3.10	 	Administrative assignment of the ESQK numbering resource to an
ESQK holder does not imply ownership of the resource by the
Interim 9-1-1 RNA, nor does it imply ownership by the ESQK holder
to which it is assigned.
	 
	3.11	 	Interim 9-1-1 RNA and numbering resource administrators are
responsible for managing numbering resources in accordance with
these guidelines and the orders of applicable regulatory
authorities.
	 
	3.12	 	An applicant is not required to provide any additional
explanation or justification of items to which he/she has
certified. However, that explanation/justification alone may not
provide the Interim 9-1-1 RNA with sufficient information upon
which to make a decision regarding pANI number assignment, and
additional dialog and written documentation may be required. The
Interim 9-1-1 RNA is still obligated to reply within five
business days. 
	 
	3.13	 	Should the FCC delegate authority to state commissions, state
commissions shall have access to Eligible Users’ inventory
assignments and their use of ESQKs in each Selective Router for
the purpose of ensuring the correct application of these
numbering resources. Should the FCC delegate authority to state
commissions, state commissions may request an accounting of
inventories from the Eligible Users operating within their
states, and Eligible Users must comply with such state commission
requests. Entities that fail to comply with a state commission
request for ESQK information shall be denied ESQKs should the FCC
delegate such authority to state commissions.

Page 6

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	3.14	 	The Interim 9-1-1 RNA will survey existing usage to ensure
that unique ESQKs are being assigned.
	 
	3.15	 	These guidelines do not describe the method by which the
unique ESQKs as identified in this document are transmitted
across and processed by networks. Such arrangements may be
contained in other standards, documents, or business
agreements.

4 Assignment Principles

The assignment principles defined below will be used by any entity assigning ESQKs during
the interim period.

	4.1	 	An Eligible User is any entity that provides the appropriate
documentation identified in these guidelines for the need for ESQKs to
perform routing or data retrieval functions associated with emergency
services. In the context of these guidelines, an Eligible User shall
include a VSP or an entity providing VPC service acting on behalf of
VSP(s). An entity that has not obtained approval from the 9-1-1
Governing Authority will not be considered an Eligible User.
	 
	4.2	 	ESQKs are assigned for use at a Selective Router for which the Eligible
User has approval to route E9-1-1 traffic for termination to a PSAP or
an Emergency Service Zone (ESZ) within a PSAP.
	 
	4.3	 	ESQK NPA-211-XXXX should be used before ESQK NPA-511-XXXX unless ESQKs
from NPA 211 have been assigned and are being used where the NPA will
coincide with the NPA of the Selective Router. These ESQKs shall be
considered non-dialable in the Eligible User’s network.
	 
	4.4	 	ESQKs are assigned uniquely to individual Eligible Users.
	 
	4.5	 	At the discretion of the 9-1-1 Governing Authority, a VPC operator that
processes 9-1-1 calls originating from various VSP networks is not
required to acquire and use separate ESQKs for each VSP as long as the
VPC enables clear identification of the originating VSP in the display
of the caller’s information at the PSAP.
	 
	4.6	 	ESQKs will be assigned in contiguous ranges (where possible), and in
quantities requested by the applicant. However, the Interim 9-1-1 RNA
does not guarantee that all ESQKs will be assigned in contiguous ranges.
	 
	4.7	 	Any entity assigning ESQKs will:

	 	4.7.1	 	Assign ESQKs in a fair, timely and impartial manner to any Eligible User.
	 
	 	4.7.2	 	Assign ESQKs on a first come, first served basis from the available pool.
	 
	 	4.7.3	 	Make all ESQK assignments in conformance with these guidelines.
	 
	 	4.7.4	 	Treat all information received from applicants as proprietary and
confidential. The Interim 9-1-1 RNA is permitted to provide the contact
information for the assigned user of any given ESQK(s) to law

Page 7

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

enforcement agencies, PSAPs, and E9-1-1 SSPs as well as any state or federal agency that has
direct regulatory responsibilities over E9-1-1.

	4.8	 	Information that is requested of an Eligible User in support of an ESQK application shall
be uniform and kept to a minimum.
	 
	5	Criteria for the Assignment of ESQK Numbers

The assignment criteria in the following sections shall be used by the Interim 9-1-1 RNA in
reviewing an ESQK assignment request from an Eligible User for initial and/or additional ESQKs.

	5.1	 	ESQKs are assigned to entities for use at a Selective Router for which the Eligible User
has approval from the 9-1-1 Governing Authority to route E9-1-1 traffic for termination to a PSAP.
	 
	5.2	 	The potential Eligible User must self-certify that it is able to route traffic to the
appropriate Selective Router before receiving its first grant of ESQK numbering resources.
	 
	5.3	 	The potential Eligible User must submit an ESQK request form certifying that a need
exists for the assignment for use with a specific Selective Router.
	 
	5.4	 	The Interim 9-1-1 RNA will not issue ESQKs to an Eligible User without an Operating
Company Number (OCN)9. The OCN cannot be shared with another Eligible User.
	 
	5.5	 	All applications for numbering resources must include the company name, company
headquarters address, OCN, parent company’s OCN(s), and the primary type of business in which the
numbering resources will be used.10
	 
	5.6	 	All applications for numbering resources must include a National Emergency Number
Association (NENA) provided Company ID to be associated with the
ESQKs.
	 
	5.7	 	ESQKs will not be reserved.
	 
	5.8	 	Information that is requested of an Eligible User in support of an ESQK application
shall be maintained by the Interim 9-1-1 RNA.
	 
	6	ESOK Assignment Functions

The Interim 9-1-1 RNA (s) shall:

	6.1	 	Produce and make available upon request information regarding ESQK Administration
processes, guidelines, interfaces and services.
	 
	6.2	 	Provide, upon request of the ESQK applicant, information on how to obtain documents
related to pANI Numbering Administration by either referring the applicant to web sites where it
will be possible to download electronic copies or

 

			
	9	 	FCC 01-362, 47 C.F.R. § 52.15 (g)(4).
	 
	10	 	FCC 00-104, 47 C.F.R. § 52.15 (g)(1).

Page 8

 

 

pANI Interim Assignment Guidelines for ESQK

September 14,
2005

	 	 	OCN must be provided, if applicable12. The applicant can get OCN information by
calling NECA.13
	 
	7.2	 	A NENA provided Company ID to be associated with the ESQKs.
	 
	7.3	 	The information associated with ESQK assignment may change over time. Such changes may
occur, for example, because of the transfer of an ESQK from a VSP to a VPC.
	 
	7.4	 	The holder of ESQKs assigned by the Interim 9-1-1 RNA, or acquired by merger or
acquisition, must use the ESQKs consistent with these guidelines. If the Eligible User no longer
provides service in the area, the Eligible User must notify the Interim 9-1-1 RNA.
	 
	7.5	 	The Interim 9-1-1 RNA will retain copies of such notifications and deliver them to the
permanent 9-1-1 RNA for use in reclamation proceedings. The Interim 9-1-1 RNA must be immediately
notified of any changes to the information contained in the application.
	 
	8	Assignment Procedures

Entities requesting initial ESQK assignments and entities already assigned one or more ESQKs
shall comply with the following:

	8.1	 	An ESQK Applicant requesting resources from the Interim 9-1-1 RNA, shall:

a) provide the VoIP ESQK Interim Request Form (attached as an Exhibit to these interim
guidelines) that it is an Eligible User:

b) complete the ESQK application form per these guidelines.

	8.2	 	An applicant must apply to the Interim 9-1-1 RNA (contact details provided below). An
applicant should follow all application instructions found on the application form. At a minimum,
the form will request:

a) The full legal name of the applicant as it appears on the VESA certification,
interconnection agreement, letter of certification, or legal documents provided to any regulatory
authority having oversight.

b) Any names under which the applicant does business (d/b/a’s)

c) The name and contact information (address, telephone number, and email address) of the
individual making the request on behalf of the Applicant;

d) A list of the NPAs associated with the relevant Selective Router for which ESQKs are
needed;

e) A list of the PSAPs to which the ESQKs requests are related, including the state,
county, and municipality in which the PSAP is located; and

f) The quantity of ESQKs being requested for each NPA.

 

			
	12 	 	FCC 01-362, 47 C.F.R. § 52.15 (g)(4).
	 
	13	 	NECA assigns Company Codes that may be used as OCNs. Companies with no prior CO Code or
Company Code assignments may contact NECA (800
524-1020) to be assigned a Company Code(s). Since multiple OCNs and/or Company Codes may be
associated with a given company, companies with prior assignments should direct questions regarding
appropriate OCN usage to the TelcordiaTM Routing Administration (TRA) on 732 699-6700.

Page 10

 

 

pANI Interim Assignment Guidelines for ESQK

September 14,
2005

	8.3	 	Any applicant denied an ESQK assignment under these guidelines has the right to
appeal that decision (see Section 11 for procedures).
	 
	9	 	Interim 9-1-1 RNA Responsibilities
	 
	9.1	 	The Interim 9-1-1 RNA will track and monitor ESQK assignments and assignment
procedures, and recommend appropriate and timely changes to these guidelines, if they are found to
result in inefficient or inappropriate use or assignment of ESQKs. However, any changes to these
guidelines must be approved by the INC with guidance by ESIF if appropriate.
	 
	9.2	 	The Interim 9-1-1 RNA will not engage in audits or reclamation.
	 
	9.3	 	Initial Implementation: Before it begins assigning ESQKs, the Interim 9-1-1 RNA must
ensure that the ESQKs it assigns are not presently in use. Because it is believed that few ESQKs
have been assigned from the 211 NXXs, the Interim 9-1-1 RNA will assign ESQKs only from the 211
NXX unless extenuating circumstances exist. To avoid duplication, the Interim 9-1-1 RNA will first
perform the following steps in order until it can determine what numbers are available to be
assigned:

	 	1.	 	Ask existing mobile position center (“MFC”) and VPC vendors to provide a list of all the
entities that have been assigned pANIs in the 211 NXX, and the entity (and contact information)
that assigned the pANI.
	 
	 	2.	 	Ask each wireless service provider to respectively identify the entity that provides pANIs to
it.
	 
	 	3.	 	Ask each E9-1-1 SSP to identify any pANI and entity that it has assigned a pANI to from the
211 code. In addition, ask each E9-1-1 SSP to identify any other entities that may perform pANI
assignments within its territory (including independents).

	9.4	 	Once it has compiled a list of entities that assign numbers, the Interim 9-1-1 RNA will
canvass those entities to determine what, if any, pANIs they have assigned from the 211 NXX. The
remaining available pANIs in the 211-NXX in all NPAs will constitute the available pool from which
the Interim 9-1-1 RNA will assign ESQKs.
	 
	9.5	 	The Interim 9-1-1 RNA will ensure the completeness of each application and accompanying
documentation before it assigns resources.
	 
	9.6	 	The Interim 9-1-1 RNA will process each application within 5 business days, on a first
in, first out basis, and inform the applicant of the result by an identifiable email form. If the
application is denied, the Interim 9-1-1 RNA will provide a detailed explanation of the denial.

Page 11

 

 

pANI Interim Assignment Guidelines for ESQK

September 14,
2005

	10	Conflict Resolution and Appeals Process
	 
	10.1	 	Every attempt will be made at the time of assignment to avoid conflicts with
existing pANIs.
	 
	10.2	 	Disagreements may arise between parties affected by these interim guidelines in the
context of the administration and management of these guidelines. In all cases, the parties will
make reasonable, good faith efforts to resolve such disagreements among themselves, consistent with
the interim guidelines, prior to pursuing any appeal.
	 
	10.3	 	If a conflict is determined to exist, the following escalation process should be
followed:

a) The affected party should contact the entity with whom the conflict exists and attempt a
resolution.

b) If resolution cannot be achieved among the involved affected parties, the issue should be
escalated in the following order:

i. the Interim 9-1-1 RNA for a recommended solution;

ii. The state regulatory authority having
oversight, if any;

iii.
the NANC;

iv. the FCC.

	10.4	 	Questions regarding interpretation or clarification of these Interim Guidelines may be
referred to NANC for resolution. Unless otherwise mutually agreed to by the parties, these
questions will be submitted in a generic manner protecting the identity of the appellant.
	 
	10.5	 	Reports on any resolution resulting from the above options, the content of which will be
mutually agreed upon by the involved parties, will be kept on file by the Interim 9-1-1 RNA. At a
minimum, the report will contain the final disposition of the appeal, e.g., whether or not an ESQK
was assigned.
	 
	11	Maintenance of These Guidelines
	 
	11.1	 	These guidelines may be updated to reflect changes in industry practices or
national regulatory directives.
	 
	11.2	 	Requests for changes to these guidelines should be directed to the appropriate industry
forum, currently the INC.

Page 12

 

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	12	 	Future Considerations

The issues identified in this section will not be the responsibility of the Interim 9-1-1 RNA,
however it is imperative that these issues be examined when adopting permanent guidelines.

	12.1	 	pANI Number Resource Management

a) The Interim VoIP Architecture for Enhanced 9-1-1 Services (i2) currently posted on the NENA
web site for public review/comment contains ESQK processing, utilization and administration
principles proposed as industry standard. The final i2 standard should be a consideration in the
development of permanent guidelines.

b) With over 6000 PSAPs and an unknown number of Eligible Users, it is vital that the permanent
9-1-1 RNA employ pANI allocation practices that support the efficient and effective use of the pANI
numbering resources.

	12.2	 	Segregating wireless (ESRKs) and VoIP (ESQK) pANI Numbering Resources

a) There are substantial benefits from segregating wireless pANIs (ESRKs) and VoIP pANIs (ESQKs)
into separate NXX codes. Accordingly, they should be so segregated
wherever possible. As a general
matter ESQKs should not be drawn from an NXX that has already been opened for ESRKs, and when a
code is exhausted for either ESQKs or ESRKs, it is preferable to open a new code rather than to
assign ESQKs and ESRKs from the same code.

b) Public safety agencies rely on the particular NXX to make important distinctions. For example,
where 511 (or 211) is used for ESRKs, 511 on a “No Record Found” query identifies the caller as
wireless. If 511 were used in the same area for ESQKs, this distinction would be lost.

c) Public safety agencies also key on the NXX to create reports. If ESRKs and ESQKs are drawn
from the same NXX, creating such reports for wireless-only or VoIP-only will not be possible. In
some cases these reports are used to ensure accurate billing.

	12.3	 	Other Consideration

Should the CLLI code associated with the relevant Selective Routers and the appropriate NPAs be
identified on the ESQK request form?

Page 13

 

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	13	 	Glossary

	 	 	 
	9-1-1 Governing Authority

	 	An entity designated
under state law or
regulation to have
decision-making and
oversight responsibilities
for a 9-1-1 Emergency
Number System for one or
more PSAPs.
	 
	 	 
	Applicant

	 	Eligible Users who
submit a ESQK Request to
the Interim 9-1-1 RNA for
the purpose of being
assigned ESQKs for their
use.
	 
	 	 
	Central Office (CO) Code

	 	The sub-NPA number
in a TN, i.e., digits D-E-F
of a 10-digit NANP Area
address. Central office
codes are in the form
“NXX,” where N is a number
from 2 to 9 and X is a
number from 0 to 9. Central
office codes may also be
referred to as “NXX codes.”
(47 C.F.R. § 52.7(c))
	 
	 	 
	Conservation

	 	Consideration given
to the efficient and
effective use of a finite
numbering resource in order
to minimize the cost and
need to expand its
availability in the
introduction of new
services, capabilities and
features.
	 
	 	 
	E9-1-1 System Service Providers

(E9-1-1 SSP)

	 	Generally speaking,
an E9-1-1 SSP is in the
majority of cases an ILEC
but there are other
entities that perform that
function.
	 
	 	 
	Eligible User

	 	An Eligible User is
any entity that provides
the appropriate
documentation identified in
these guidelines for the
need for ESQKs to perform
routing or data retrieval
functions associated with
emergency services. In the
context of these
guidelines, an Eligible
User shall include a VSP or
an entity providing VPC
service acting on behalf of
VSP(s). An entity that has
not obtained approval from
the 9-1-1 Governing
Authority will not be
considered an Eligible
User.
	 
	 	 
	Emergency Services Interconnection 

Forum (ESIF)

	 	ESIF, of the
Alliance for
Telecommunications Industry
Solutions (ATIS), is the
primary venue for the
telecommunications
industry, public safety and
other stakeholders to
generate and refine both
technical and operational
interconnection issues to
ensure life-saving E9-1-1
services are available for
everyone in all situations.
ESIF enables many different
telecommunications entities
to fully cooperate and
interconnect with each
other to determine the best
practices and solutions
necessary to effectively
and promptly deploy E9-1-1
services nationwide. ESIF’s
mission is to facilitate
the identification and
resolution of both
technical and operational
issues related to the
interconnection of
telephony and emergency
services networks.

Page 14

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	 	 	 
	Emergency Service Query Key

(ESQK)

	 	Emergency Service Query Key
(ESQK) — The ESQK identifies a call
instance at a VPC, and is associated
with a particular SR and PSAP
combination. The ESQK is delivered
to the E9-1-1 SR and as the calling
number/ANI for the call to the PSAP.
The ESQK is used by the SR as the
key to the Selective Routing data
associated with the call. The ESQK
is delivered by the SR to the PSAP
as the calling number/ANI for the
call, and is subsequently used by
the PSAP to request ALI information
for the call. The ALI database
includes the ESQK in location
requests sent to the VPC. The ESQK
is used by the VPC as a key to look
up the location object and other
call information associated with an
emergency call instance. The ESQK is
expected to be a ten-digit North
American Numbering Plan Number.
	 
	 	 
	Industry Numbering Committee

(INC)

	 	A standing committee of the
Alliance for Telecommunications
Industry Solutions (ATIS) that
provides an open forum to address
and resolve industry-wide issues
associated with the planning,
administration, allocation,
assignment and use of numbering
resources and related dialing
considerations for public
telecommunications within the North
American Numbering Plan (NANP) area.
	 
	 	 
	North American Numbering 

Council (NANC)

	 	North American Numbering
Council — On October 5, 1995, the
Federal Communications Commission
(FCC) established the North American
Numbering Council (NANC), by filing
its charter with Congress, to
provide advice and recommendations
to the FCC and other governments
(including Canada and Caribbean
countries) on numbering issues.
	 
	 	 
	NANP (North American 

Numbering Plan)

	 	A numbering architecture in
which every station in the NANP Area
is identified by a unique ten-digit
address consisting of a three-digit
NPA number, a three digit central
office number of the form NXX, and a
four-digit line number of the form
XXXX.
	 
	 	 
	NANPA (North American 

Numbering Plan Administration)

	 	With divestiture, key
responsibilities for coordination
and administration of the North
American Numbering/Dialing Plans
were assigned to NANPA. These
central administration functions are
exercised in an impartial manner
toward all industry segments while
balancing the utilization of a
limited resource.

Page 15

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	 	 	 
	NANP Area

	 	Consists of the United
States, Canada and the Caribbean
countries (American Samoa,
Anguilla, Antigua, Bahamas,
Barbados, Bermuda, British
Virgin Islands, Canada, Cayman
Islands, Dominica, Dominican
Republic, Grenada, Jamaica,
Montserrat, St. Kitts & Nevis,
St. Lucia, St. Vincent &
Grenadines, Turks & Caicos
Islands, Trinidad & Tobago, and
the United States (including
Puerto Rico, the U.S. Virgin
Islands, Guam and the
Commonwealth of the Northern
Mariana Islands).
	 
	 	 
	Numbering Plan Area (NPA)

	 	Numbering Plan Area, also
called area code. An NPA is the
3-digit code that occupies the
A, B, and C positions in the
10-digit NANP format that
applies throughout the NANP
Area. NPAs are of the form N0/1X;
where N represents the
digits 2-9 and X represents any
digit 0-9. After 1/1/95, NPAs
will be of the form NXX. In the
NANP, NPAs are classified as
either geographic or
non-geographic.

	 	a)	 	Geographic NPAs are
NPAs which correspond to
discrete geographic areas within
the NANP Area.
	 
	 	b)	 	Non-geographic NPAs
are NPAs that do not correspond
to discrete geographic areas,
but which are instead assigned
for services with attributes,
functionalities, or requirements
that transcend specific
geographic boundaries. The
common examples are NPAs in the
N00 format, e.g., 800.

	 	 	 
	Operating Company Number

(OCN)

	 	An Operating Company
Number is a four place
alphanumeric number that
uniquely identifies providers of
local telecommunications
service. OCN assignments are
required of all Service
Providers in their submission of
utilization and forecast data
(FCC 00-104, ¶ 41 and Public
Notice DA 00-1549). Relative to
CO Code assignments, NECA
assigned Company Numbers may be
used as OCNs. Companies with no
prior CO Code or Company Number
assignments contact NECA (800
524-1020) to be assigned a
Company Number(s). Since
multiple OCNs and/or Company
Numbers may be associated with a
given company, companies with
prior assignments should direct
questions regarding appropriate
OCN usage to the TelcordiaTM
Routing Administration (TRA) on
732 699-6700.
	 
	 	 
	Pseudo-Automatic Number 

Identification (pANI) Codes

	 	Used generically in this
document to include any of the
other more specifically
descriptive acronyms associated
with numbers used for routing
emergency calls today, such as
but not limited to: ESRD, ESRK,
ESQK, PSAP routing numbers,
etc.
	 
	 	 
	Service Provider

	 	The term “service
provider” refers to a
telecommunications carrier or
other entity that receives
numbering resources from the
NANPA, a Pooling Administrator
or a telecommunications carrier
for the purpose of providing or
establishing
telecommunications

Page 16

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

	 	 	 
	 

	 	service (FCC 00-104, § 52.5 (i)).
	 
	 	 
	Unassignable Code

	 	An unassignable number is an NXX code
designated by the administrator which will
not be made available for assignment to any
number applicant. For example, the number
“9-1-1” will not be assigned as a central
office code so as to avoid potential conflict
with emergency services.
	 
	 	 
	VPC

	 	VoIP Positioning Center.
	 
	 	 
	Wireless E9-1-1

ESRD/ESRK Number

	 	A 10-digit number used for the purpose
of routing an E9-1-1 call to the appropriate
Public Service Answering Point (PSAP) when
that
call is originating from wireless
equipment. The Emergency Services Routing
Digit (ESRD) identifies the cell site and
sector of the call origination in a wireless
call scenario. The Emergency Services Routing
Key (ESRK) uniquely identifies the call in a
given cell site/sector and correlates data
that is provided to a PSAP by different
paths, such as the voice path and the
Automatic Location Identification (ALI) data
path. Both the ESRD and ESRK define a route
to the proper PSAP. The ESRK alone, or the
ESRD and/or Mobile Identification Number
(MIN), is signaled to the PSAP where it can
be used to retrieve from the ALI database,
the mobile caller’s call-back number,
position and the emergency service agencies
(e.g., police, fire, medical, etc.)
associated with the caller’s location. If a
NANP TN is used as an ESRD or ESRK, this
number cannot be assigned to a customer.

Page 17

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

VoIP Interim ESQK Request Form

	 	 	 
	Applicant Information		* Required Entries
	Applicant Company () Legal Name
	* 	 
	DBA Name(s) (if any)

	* 	 
	Operating Company Number (OCN)

	*	 
	NENA ID

	*	 
	Contact Name

	*	 
	Contact Address 1

	*	 
	Contact Address2
	 	 
	Contact City

	*	 
	Contact State

	*	 
	Contact Zip

	*	 
	Contact Telephone Number

	*	 
	Contact E-Mail Address

	*	 
	 
	 	 
	PSAP Information
	 	 
	 
	 	 
	PSAP Name

	*	 
	PSAP State

	*	 
	PSAP County
	 	 
	PSAP Municipality
	 	 
	 
	9-1-1 Governing Authority Contact Name

	*	 
	9-1-1 Governing Authority Contact Tel#

	*	 
	9-1-1 Governing Authority Contact E-mail
	 	 
	 
	 	 
	# ESQKs Requested
	 	 
	 
	 	 
	Valid NPAs for the area being served

	*	 
	NPA in which ESQK(s) have been requested

	*	 
	    Total Number of ESQKs Requested

	*	 

Page 18

 

 

pANI Interim Assignment Guidelines for ESQK

September 14, 2005

          Applicant Certification

I hereby
certify that I have read the “pANI Interim Assignment Guidelines for ESQK” and meet the
criteria required to obtain the requested number of ESQKs.

VSP Authorized Electronic Signature, or

VPC Authorized Electronic Signature

     Assignment (To be Completed by Interim 9-1-1 RNA)

	 	 	 
	A list of the ESQKs assigned

Date Assigned

	 	*
	 
	 	 
	Assigned By
	 	 
	 
	 	 
	Interim 9-1-1 RNA Contact Name 

Interim 9-1-1 RNA Contact Telephone Number 

Interim 9-1-1 RNA E-mail Address

	 	*

*

*

By applying for this resource, the applicant hereby certifies that it has
obtained approval from the appropriate 9-1-1 Governing Authority to
provide routing or data retrieval for E9-1-1 traffic to the applicable
PSAP. Should it later be determined that such authority has not been
obtained, the applicant will be reported to the FCC and the appropriate
state commission, and may be denied further resources.

Page 19

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	 	 	1. CONTRACT ID CODE	 	 	PAGE  	 	 OF 	 	  PAGES
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	1	 	 	 	1	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	2. AMENDMENT/MODIFICATION NO.	 	 3. EFFECTIVE DATE	 	 4. REQUISITION/PURCHASE REQ. NO.	 	 	5. PROJECT NO. (If applicable)
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	0022	 	 	10/15/06	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	6. ISSUED BY	 	CODE	 	 	 	 	 7. ADMINISTERED BY (If other than Item 6)	 	 	CODE	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	FCC/Contracts and Purchasing Center	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	445 12th Street, 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	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	4600 Center Oak Plaza	 	 	 	 	 	 	 	 	9B. DATED (SEE ITEM 11)
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Sterling, VA 20166	 	 	 	 	 	 	 	 	10A. MODIFICATION OF CONTRACT/ORDER NO.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	CON01000016

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	x	 	 	10B. DATED (SEE ITEM 11)	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	CODE	 	 	 	FACILITY CODE	 	 	 	 	 	06/15/01
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	o The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers o is extended, o is not extended.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(a) By completing items 8 and 15, and returning
__________ copies of the amendment; (b) By acknowledging receipt of this amendment on each
copy of the offer submitted;
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this
amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	12. ACCOUNTING AND APPROPRIATION DATA (If required)
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	     No Funding Information
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.

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

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	CHECK ONE	 	A.	 	THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	B.	 	THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	C.	 	THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	X	 	 	 	FAR 52.217-9, Option to Extend the Term of the Contract
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	D.	 	OTHER (Specify type of modification and authority)
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	X	 	 	 	FAR 1.6, Authority of the Contracting Officer
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	E. IMPORTANT: Contractor x is not, o is required to sign this document and return _________ copies to the issuing office.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The purpose of this unilaterally executed modification is to exercise
Option Period 4b. The period of performance is hereby extended from October 15, 2006 through November 14, 2006. Funding in the amount of $296,419.31 is funded via NANPA and will be paid by FCC Billing & Collection Agent, Welch &
Co.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	15A. NAME AND TITLE OF SIGNER (Type or print)	 	 	 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	UNILATERAL MODIFICATION	 	 	 Anthony S. Wimbush
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	15B. CONTRACTOR/OFFEROR	 15C. DATE SIGNED	 16B. UNITED STATES OF AMERICA	 	 16C. DATE SIGNED
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 /s/ Anthony S. Wimbush	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(Signature of person authorized to sign)
	 	 	 	(Signature of Contracting Officer)	 	10-5-06

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	NSN 7540-01-152-8070	 	 	 	 	 	 	 	 	STANDARD FORM 30 (REV. 10-83)
	Previous edition unusable	 	 	 	 	 	 	 	 	Prescribed by GSA FAR (48 CFR) 53.243

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	 	 	1. CONTRACT ID CODE	 	 	Page
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	A	 	 	 	 	 	 	 	 	1 of 2
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	2. AMENDMENT/MODIFICATION NO. 0023	 	 	3. EFFECTIVE DATE	 	 	4. REQUISITION/PURCHASE REQ. NO.	 	 	5. PROJECT NO. (If applicable)
	     	 	 	 	    10/23/2006	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	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
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

	11 	 	 	 	 	 	 	 	 	 	 	 
	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

Sterling, VA 20166

	 	 	 	 	 	(X)
	 	 	10A. MODIFICATION OF CONTRACT/ORDER

NO. CON01000016	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(X)
	 	 	10B. DATED (SEE ITEM 13)
	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	CODE  *

	 	 	FACILITY CODE	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 	 	 	 	 	 	 	 	 	 

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

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

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

	 	 	 
	 
	12. ACCOUNTING AND APPROPRIATION DATA (If required)
	      No Funding Information  
	 
	13. THIS ITEM
ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.

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

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

	 	 	 
	 	 	 	 
	 

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

	 	 	 	 
	 

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

	 	 	 	 
	ü

	 	 	D. OTHER (Specify type of
modification and authority)
	 

	 	 	FAR 1.6, “Authority of the
Contracting Officer”
	 	 	 	 

	 	 	 
	E. IMPORTANT:
Contractor þ is not,
o is required to sign this
document and return ______ copies to the issuing office.
	 
	14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The purpose
of this modification is to incorporate Change Order Proposal (COP) #46 into the contract. COP #46 is accepted at a cost of 3,200.00. A copy is attached. Funding will be via NANPA and will be paid by FCC Billing & Collection Agent, Welch & Co.

	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	15A.
	 	 	NAME AND TITLE OF SIGNER
(Type or print) 	 	 	 	 	 	16A.	 	NAME AND TITLE
OF CONTRACTING OFFICER (Type or print)
	 

	 	 	 	 	 	 	 	 	 	 	Anthony Wimbush	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	15B.

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

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	(Signature of person authorized
to sign)
	 	 	 	 	 	BY
	 	     /s/ Anthony S. Wimbush	 	 	10/23/2006	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	     
      (Signature of Contracting Officer)	 	 	 	 	 

	 	 	 	 	 
	NSN 7540-01-152-8070

	 	 	STANDARD FORM 30 (REV. 10-83)

	PREVIOUS EDITION

	 	 	Prescribed by GSA FAR (48 CFR)

	UNUSABLE

	 	 	53.243

 

	Line Item
	 	 	Document Number	 	 	Title	 	 	Page
	Summary

	 	 	CON01000016/0023
	 	 	Pooling Administrator - Neustar	 	 	2 of 2
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	Line Item

	 	 	 	Delivery Date
	 	 	 	Unit of	 	 	 	 
	Number

	 	Description
	 	(Start date to End date)
	 	Quantity
	 	Issue
	 	Unit Price
	 	Total Cost
	 
	Questions may be
addressed to Tony Wimbush @anthony.wimbush@fcc.gov.

              No Changed Line Item Fields

Previous Total:

Modification Total:

Grand Total:

 

 

 

 

 

National Pooling Administration

Change Order Proposal #46

(INC Issue 517 — “Denying NXX assignment to a service

provider that has opted into pooling”)

Companion to NANPA Change Order #6

September 19, 2006

	 	 	 
	NeuStar, Inc.

	 	46000 Center Oak Plaza
	 

	 	Sterling VA, 20166

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

Table of Contents

	 	 	 	 	 	 	 
	1

	 	Introduction
	 	 	3	 
	2

	 	Industry Numbering Committee (INC) Proposed Changes
	 	 	4	 
	3

	 	The Proposal
	 	 	8	 
	4

	 	Assumptions and Risks
	 	 	8	 
	5

	 	Cost
	 	 	8	 
	6

	 	Conclusion
	 	 	9	 

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- ii -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

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 CONO1000016

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 3 -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

This document provides the information required by the contract, such as identifying the new
requirements of the expanded scope of work as a result of the Industry Numbering Committee’s (INC)
disposition of Issue 517 and NANPA change order #6 by offering our proposed solution, and
addressing its cost, risks, and assumptions. This change order is being created at the request of
the FCC prior to the INC final closure (section 2.5.3. of the technical requirements).

2 The Industry Numbering Committee (INC) Proposed Changes

On June 6, 2006, INC placed issue 517 into Initial Closure. In response, NANPA submitted
change order #6 to address how this issue affects both the NANP Administration System (NAS) and
NANPA operations. To comply with INC issue 517 and the NANPA change order #6, the PA will need to
produce daily information that will allow NANPA to determine the specific OCNs that are currently
participating in pooling in optional pooled rate centers, which is discussed in the proposal
section of this change order. The FCC has requested that the Pooling Administrator submit this
change order proposal at this time to enable the FCC to understand the complete process.

• Issue 517: Denying NXX assignment to SP that has OPTED into Pooling

The official INC issue statement is stated below and can also be found on the ATIS
website (www.atis.org):

A) ISSUE STATEMENT

NANPA has no way of knowing whether an SP has opted into pooling in a specific rate center,
so it is possible for that SP to request CO code resources in a rate center in which they have
already opted into participation in pooling.

B) FOLLOWING RESOLUTION FROM INC

The
following changes were made to the COCAG and the TBPAG to resolve
this issue:

COCAG Changes:

A new section 3.10 was created:

	3.10	 	 If an SP has chosen to participate in thousands-block number pooling in a voluntary
rate center outside of the top 100 MSAs, the SP cannot withdraw from pooling in a voluntary
rate center once the SP has submitted a forecast, a donation, or has been assigned a
thousands-block. Once an SP chooses to participate in thousands-block number pooling in a
voluntary rate center, all numbering requests must be submitted directly to the PA.
	 
	4.1.1	 	The applicant must certify a need for NANP numbers, e.g., provision of
wireline or wireless service in the Public Switched Telephone Network.

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 4 -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

In order to obtain CO codes, an applicant must submit or have submitted a North American Numbering
Plan Numbering Resource Utilization/Forecast (NRUF) Report (See NRUF Reporting Guidelines) to the
NANPA for the NPA(s) in which the CO code(s) is being
requested.2 This requirement shall not apply
in instances where an NPA has been implemented since the last NRUF Report and the Service Provider
has submitted a NRUF Report for the NPA(s) previously serving the geographic areas involved.

The applicant must submit an NXX request form certifying that a need exists for an NXX assignment
to a point of interconnection or a switching entity due to routing, billing, regulatory, or tariff
requirements. The NXX request form must provide an Operating Company Number (OCN), which uniquely
identifies the applicant. The NANPA will not issue numbering resources
to a carrier without an
OCN.3 The OCN cannot be shared with another service provider.

If NANPA determines from the report provided by the PA that an applicant is participating in
pooling in that rate center, NANPA will deny the application. Once an applicant chooses to
participate in thousands-block number pooling in a voluntary rate center, all numbering requests
must be submitted directly to the PA.

5.2 Receive and process applications (CO Code (NXX) Assignment Request Form Part 1) for CO
codes (NXX) within the geographic NPA(s) for which the CO Code Administrator is responsible.

For rate centers transitioning to pooling:

	•	 	The CO Code Administrator will only process NXX requests received at least 33 calendar
days prior to the Pool Start Date.
	 
	•	 	Within the 33 calendar days prior to Pool Start Date, applications for codes/blocks will not be
accepted. However within this 33-day interval, the NANPA will continue to process code
applications for:

	 	•	 	CO codes awarded via lottery;
	 
	 	•	 	LRN requests;
	 
	 	•	 	full CO code request for a single customer;
	 
	 	•	 	CO code expedite requests;
	 
	 	•	 	petition/safety valve requests;
	 
	 	•	 	any requests from non-pooling capable carriers; and
	 
	 	•	 	PA requests to the NANPA.

After Pool Start Date, all pooling-capable carriers will apply to the PA for numbering resources.

Once an SP chooses to participate in thousands-block number pooling in a voluntary rate center,
all numbering requests must be submitted directly to the PA. NANPA will not assign a CO code
(NXX) to an SP for a voluntary pooled rate center in which that SP has

 

			
	2	 	FCC 00-104, § 52.15 (f) (4) (5).
	 
	3	 	FCC 01-362, § 52.15(g)(4).

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 5 -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

either submitted a forecast
to the PA, submitted a donation to the PA, or has been assigned a
thousands-block in that rate center.

TBPAG Changes:

	2.4	 	These administration guidelines apply only to the assignment of thousands-blocks
to Block Applicants providing service within specific rate areas:

	 	a)	 	where SP Location Routing Number (LRN) Local Number Portability (LNP) has been
implemented;
	 
	 	b)	 	where thousands-block number pooling has been mandated by the appropriate
regulatory body; 
	 
	 	c)	 	where an SP has chosen to participate in thousands-block number pooling in a
voluntary rate center outside of the top 100 MSAs, the SP cannot withdraw from pooling
in a voluntary rate center once the SP has submitted a forecast or donation, or has
been assigned a thousands-block. Once an SP chooses to participate in thousands-block
number pooling in a voluntary rate center all numbering requests must be
submitted directly to the
PA4;

	5.1.1	 	The PA, upon request, shall provide information and answer questions for clarification
regarding thousands-block number pooling administration processes, procedures, interfaces, and
services. Additionally, the PA shall provide, upon request of the thousands-block number
pooling participant, information on how to obtain documents related to thousands-block number
pooling administration. This can be accomplished by either referring the SP to web sites where
it will be possible to download electronic copies, or by providing electronic copies via
e-mail.
	 
	 	 	The PA shall:

	 	a)	 	be responsible for activities associated with industry
inventory pool establishment;
	 
	 	b)	 	assure the availability, based upon industry established criteria, of
numbering resources within the industry inventory pool for a given rate area;
	 
	 	c)	 	add to the resources in the industry inventory pool when necessary by
requesting additional CO Codes from the CO Code Administrator using Months to
Exhaust Certifications Worksheet-1000 Block Level (Appendix 4);
	 
	 	d)	 	work with the CO Code Administrator in the planning and implementation
of NPA code relief (e.g., update the PA’s industry database to reflect any changes

 

			
	4	 	The PA will provide a report to NANPA of the SPs participating in pooling in
a voluntary rate center outside of the top 100 MSAs. If NANPA determines from the report
that an SP
is participating in pooling in a voluntary rate center, NANPA will deny a
CO Code application for
that rate center.

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 6 -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

	 	 	 	resulting from NPA relief activity). For specific details, see NPA Code Relief
Planning & Notification Guidelines (ATIS-0300061);
	 
	 	e)	 	provide copies of the Thousands-Block Number (NXX-X) Pooling Administration Guidelines
(ATIS-0300066) when requested by Block Applicants, including timely notification of changes;
	 
	 	f)	 	assist the CO Code Administrator in analyzing and helping to resolve problems related to
misrouted calls and calls that cannot be completed;
	 
	 	g)	 	track reported switch cut-overs and thousands-block reassignments and perform other
operational functions (e.g., thousands-block reclamation);
	 
	 	h)	 	make available on their web site the PA-recognized holidays and distribute as
necessary;
	 
	 	i)	 	log and track all thousands-block applications using a tracking mechanism which will enable
the PA and Block Applicant to identify a specific thousands-block request; and
	 
	 	j)	 	build and maintain an industry data base which includes appropriate security for
confidential data. The database will be accessible through an appropriate mechanism and, at a
minimum, include the following information:
	 
	 	1)	 	all pooled thousands-blocks in the industry inventory pool (i.e., NPA-NXX-X level information
displayed),
	 
	 	2)	 	status of the thousands-blocks (i.e., allocated/assigned, available),
	 
	 	3)	 	identification of the SP to which the thousands-block has been allocated, whether or not a
thousands-block is contaminated,
	 
	 	4)	 	user profile(s) that contain the SP contact information, OCN,
and level of access permitted.
An SP may need multiple individual profiles and passwords (See Appendix 5 — User Profile
Application).
	 
	 	k)	 	set the “Pool Indicator” on the CO Code ACD screen in BIRRDS for those NXX codes from which
thousands-blocks have been donated to the pool after Block Donation Date.
	 
	 	l)	 	provide a report to NANPA of the SPs participating in pooling in a voluntary rate
center outside of the top 100 MSAs. NANPA shall deny any CO Code application from an SP that
is participating in pooling in a voluntary rate center.

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 7 -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

3 The Proposal

NeuStar’s National Pooling Administrator has reviewed INC issue 517 and NANPA Change Order
#6 from both the operational and technical perspectives. The proposal set forth below will conform
to the changes in the INC guidelines and the NANPA change order while meeting the requirements of
the industry in a cost-effective and efficient manner.

Solution

To satisfy the requirements identified in the INC issue, the PA will produce daily
information that will allow NANPA to determine specific OCNs that are currently participating in
pooling in optional pooled rate centers. On a daily basis, the National Pooling Administrator (PA)
will provide NANPA with a file containing the following information: NPA, rate center(s) where
pooling is voluntary (also known as optional), and the Operating Company Number(s) (OCN) of those
service providers that are participating in pooling in the identified voluntary rate center(s).

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 does not affect the system nor will it have any impact on our day-to-day
application-processing 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 anticipated cost to implement this proposed solution is $3200.00, which includes the price for
the overtime staff hours that will be required to perform this task. 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.

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 8 -

 

 

	 	 	 
	Nat’l PAS — Change Order #46 (INC Issue 517)

	 	September 19, 2006

6 Conclusion

In conclusion, the Pooling Administrator offers a viable solution that meets the
requirements of both INC issue 517 and the NANPA change order #6. In accordance with our contract
terms, and we request that the FCC review and approve this change order.

	 	 	 	 	 
	© NeuStar, Inc. 2006

	 	NeuStar Proprietary and Confidential
	 	- 9 -

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