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Federal Communications Commission FCC 00-104 Before the Federal Communications Commission Washington, D.C. 20554 In the Matter of ) ) Numbering Resource Optimization ) CC Docket No. 99-200 ) REPORT AND ORDER AND FURTHER NOTICE OF PROPOSED RULE MAKING Adopted: March 17, 2000 Released: March 31, 2000 Comment Date: May 1, 2000 Reply Comment Date: May 16, 2000 By the Commission: Commissioners Ness and Furchtgott-Roth issuing separate statements. TABLE OF CONTENTS Paragraph Number I. INTRODUCTION...........................................................................................................1 II. BACKGROUND AND OVERVIEW .............................................................................6 III. MONITORING NUMBER USAGE FOR EFFICIENCY...............................................10 A. Definitions of Number Category Usage ....................................................................10 B. Uniform Definitions..................................................................................................11 1. Assigned Numbers........................................................................................16 2. Intermediate Numbers...................................................................................20 3. Reserved Numbers........................................................................................22 4. Aging Numbers ............................................................................................28 5. Administrative Numbers ...............................................................................31 6. Available Numbers........................................................................................35 Federal Communications Commission FCC 00-104 7. Secondary Categories ...................................................................................36 C. Mandatory Nature of Reporting ...............................................................................37 1. Mandatory Requirement ...............................................................................37 2. Collection Procedures...................................................................................43 3. Data Elements for Forecast Reporting...........................................................57 4. Data Elements for Utilization Reporting........................................................59 5. Frequency of Reporting ................................................................................63 6. Granularity of Reporting...............................................................................68 a. Geographic Scope of Reporting ........................................................68 b. Reporting at the NXX Level or Thousands-Block Level....................69 7. State Commissions’ Access to Data and Confidentiality of Data....................74 8. Enforcement .................................................................................................83 D. Verification of Need for Numbers.............................................................................85 1. Initial Numbering Resources .........................................................................93 2. Growth Numbering Resources....................................................................101 a. Criteria............................................................................................101 b. Calculating Utilization Levels ..........................................................107 c. Utilization Threshold ......................................................................112 IV. NUMBER CONSERVATION THROUGH THOUSANDS-BLOCK NUMBER POOLING ...................................................................................................................116 A. Requirements for LNP-Capable Carriers: Mandatory Thousands-Block Number Pooling ..................................................................................................116 1. Telephone Number Pooling.........................................................................116 2. Thousands-Block Number Pooling..............................................................118 B. Requirements for Non-LNP-Capable Carriers......................................................129 1. Impracticability of Thousands-Block Number Pooling for Non-LNP- Capable Carriers .........................................................................................136 2. Desirability of Thousands-Block Number Pooling for Covered CMRS Providers....................................................................................................139 3. Utilization Threshold for Non-LNP-Capable Carriers..................................141 C. Selection of Thousands-Block Number Pooling Administrator.............................143 D. Implementation Issues.........................................................................................156 1. National Framework...................................................................................156 a. Implementation Schedule ................................................................157 b. Implementation Timeframe..............................................................167 2. Delegations of Authority for Pooling to State Commissions ........................169 3. Thousands-Block Number Pooling Standards .............................................172 4. Public Safety Impacts .................................................................................184 5. Administration............................................................................................188 a. Inventory of Numbers....................................................................188 2 Federal Communications Commission FCC 00-104 b. Donation of Thousands-Blocks.......................................................190 6. Federal Cost Recovery Mechanism .............................................................192 a. Federal/State Jurisdiction ................................................................195 b. Competitively Neutral Requirement.................................................198 c. Cost Categories...............................................................................201 d. Allocation of Costs..........................................................................206 e. Recovery of Shared Industry and Direct Carrier-Specific Costs .......212 f. Identification of Costs .....................................................................215 V. OTHER POTENTIAL POOLING MECHANISMS.....................................................227 VI. OTHER ISSUES .........................................................................................................232 A. Reclamation of Numbering Resources ..................................................................232 B. Sequential Number Assignment ............................................................................242 VII. FURTHER NOTICE OF PROPOSED RULEMAKING ..............................................247 A. Utilization Threshold ............................................................................................248 B. Implementation of Pooling for Non-LNP-Capable Carriers...................................249 C. Pricing for Numbers .............................................................................................250 D. Recovery of Shared Industry and Direct Carrier-Specific Costs ............................252 VIII. PROCEDURAL MATTERS........................................................................................254 A. Ex Parte Presentations .........................................................................................254 B. Comment Filing Procedures..................................................................................255 C. Regulatory Flexibility Act......................................................................................260 D. Final Paperwork Reduction Act Analysis...............................................................261 E. Further Notice Initial Paperwork Reduction Act Analysis .......................................262 IX. ORDERING CLAUSES ..............................................................................................263 Rule Changes ............................................................................................................. Appendix A Final Regulatory Flexibility Act Analysis..................................................................... Appendix B Initial Regulatory Flexibility Act Analysis.................................................................... Appendix C List of the Parties .......................................................................................................Appendix D 3 Federal Communications Commission FCC 00-104 I. INTRODUCTION 1. Section 251(e) of the Communications Act of 1934 (Communications Act), as amended, grants this Commission plenary jurisdiction over the North American Numbering Plan (NANP) and related telephone numbering issues in the United States.1 In fulfilling this statutory mandate, we have identified two primary goals. One is to ensure that the limited numbering resources of the NANP are used efficiently, to protect customers from the expense and inconvenience that result from the implementation of new area codes, some of which can be avoided if numbering resources are used more efficiently, and to forestall the enormous expense that will be incurred in expanding the NANP.2 The other goal is to ensure that all carriers have the