*Pages 1--63 from Microsoft Word - 53487.doc* 1 Section J: Thousands- Block Pooling Contractor Technical Requirements July 27, 2005 2 3 v Table of Contents Section Page Introduction 1 1.1 Background 1 1.2 Purpose 2 1.3 Scope 2 1.4 Attributes 3 1.6 Responsibilities 3 1.6.1 Management 4 1.6.2 Performance 4 1.7 Interaction 4 1.7.1 Relationships 4 1.7.2 Assets 4 1.8 Policy Objectives 4 1.8.1 Thousands- Block - NANP Context 4 Pooling Administration Requirements 6 2.1 Hours of Operation 6 2.1.1 Contact 6 2.1.2 Responsiveness 6 2.1.3 Holidays 7 2.2 Organization 7 2.3 Staffing 7 2.3.1 Availability 7 2.3.2 Core Hours 7 2.3.3 Physical Location 7 2.3.4 Reserved 8 2.3.5 Travel 8 2.3.6 Experience 8 4 vi 2.3.7 Conflicts 8 2.4 Subcontractors 8 2.4.1 Reserved 8 2.4.2 Responsibilities of the Contractor 8 2.4.3 Reserved 9 2.4.4 Substitution 9 2.5 Environment 9 2.5.1 Regulatory 9 2.5.2 Federal Advisory Committee 9 2.5.3 Industry Activities 10 2.5.4 Modification of Guidelines 10 2.8 Requests for Pooling Information 11 2.8.1 Referrals 11 2.9 Dispute Resolution 12 2.9.1 Responsibilities 12 2.9.2 Sources of Dispute 12 2.9.3 Involvement 12 2.9.4 Process 12 2.9.5 Corrective Action 12 2.10 Audits 12 2.10.1 Audits in General 12 2.10.2 Audits of Service Providers 13 2.10.3 Guideline Compliance Issues 13 2.10.4 Contractor Audit Obligations 13 2.10.5 FCC- Designated Auditor 13 2.10.6 Office Facilities 13 2.10.7 Additional Obligations 14 2.11 Data Security 14 2.11.1 Secure Work Area 14 2.11.2 Secure Systems 14 2.12 Reserved 14 2.12.1 Reserved 14 5 vii 2.13 Number Portability Administration Center with Assigned States 14 2.14 Industry Inventory Pool 15 2.14.1 Pool Inventory Level 15 2.15 Industry Inventory Pool Establishment Timeline 15 2.15.1 Purpose 15 2.15.2 Activities 15 2.15.3 Additional Details 16 2.16 Block Assignments 16 2.16.1 Application Submittals 16 2.16.2 Block Application Supporting Data 16 2.16.3 Source 17 2.16.4 Applicant Treatment 17 2.16.5 Inventory Pool 17 2.16.6 Rate Area Information 18 2.16.7 Required Assignment Processing 18 2.16.8 Problem Resolution Assistance 18 2.16.9 Notification 18 2.17 Management of the Pool Inventory 18 2.17.1 Forecast 18 2.17.2 Data Request Dates 19 2.17. 3 Forecast Analysis 19 2.17.4 Reports 19 2.18 Replenishment of the Pool Inventory 19 2.19 Resource Reclamation 19 2.19. 1 Criteria for Reclamation 20 2.19. 2 Administrative Responsibilities 20 2.20 Interfaces with Service Providers, NANPA, NPAC Vendor, BIRRDS/ LERG Vendor, Regulatory Agencies, and the Media 20 2.20.1 Interface with NANPA 21 2.20.2 Interface with the BIRRDS/ LERG Vendor 22 2.20.3 Interface with the NPAC Vendor 22 2.20.4 Interface with Service Providers 22 2.20.5 Interface with Regulatory Agencies 23 2.20.6 Interface with the Media 23 6 viii 2.21 Reports 24 2.21. 1 Annual Report 24 2.21. 2 Pooling Matrices Report 25 2.21. 3 Report and Document Distribution 25 2.22 Performance Measurements 25 2.22.1 Assessment Period 25 2.22. 2 Remedial Action 25 2.22.3 Pooling Administration Quality Assurance (QA) 25 2.22.4 Contractor Performance Metrics 25 2.22.4.1 Trouble Tickets/ Outages 26 2.22.4.2 Change Order and PAS Notifications 26 2.22.4.3 Communications 26 2.22.4.4 Forecasting data on a per- state basis 26 2.22. 4.5 Reporting 26 2.22.4.6 Application Processing on a monthly basis 27 2.22.4.7 Reserved 27 2.22.4.8 Reserved 27 2.22.5 Events 27 2.22.6 Additional Input 27 2.23 Term of Administration 27 Pooling System Requirements 29 3.1 Description 29 3.1.1 Confidential Treatment 29 3.1.2 Data Integrity 29 3.1.3 Automated Data Filing Capabilities 29 3.1.4 Automated Data Output Capabilities 30 3.1.5 Mechanized Interface with NANPA 31 3.1.6 Alternative Data Capabilities 32 3.2 Characteristics 32 3.3 System Reliability, Availability, Capacity, and Performance 32 3.3.1 Reserved 33 3.4 System Location 33 3.5 System Facility 33 3.5.1 Facility Characteristics 33 7 ix 3.5.2 Facility Planning 33 3.5.3 Reserved 33 3.6 System Maintenance 33 3.7 System Security 34 3.8 System Inspection 34 3.9 Web Site 34 3.9.1 Availability and Access 34 3.9.2 System Responsiveness 35 3.9.3 Out- of- Service 35 3.9.4 Out- of- Service Notification 35 3.9.5 Updates 36 3.9.6 Web Site Help 36 3.9.7 Support and Maintenance 36 3.10 Reserved 36 3.11 System Report Administration 36 3.11.1 System Reports 36 3.11.2 System Report Validation 37 3.11.3 Help Desk 37 3.11.4 Report Distribution 37 3.12 System Testing 37 3.12.1 System Test Plan 38 3.12.2 System Test Results 38 3.13 System Acceptance 38 3.14 System Processing Acknowledgement 38 3.15 User Logon System 38 3.15.1 Logon System Access 38 3.15.2 Logon System Approval 38 3.15.3 Logon System Security Level 39 3.15.4 Reserved. 39 3.15.5 Logon System Problems 39 3.15.6 User Access Permission Classes 39 3.15.7 User Functionality 39 8 x 3.15.8 Reserved. 40 3.16 Unauthorized System Access 40 3.16.1 Data Security 40 3.17 System Disaster Recovery 40 3.17.1 Recovery Costs 40 3.17.2 System Backup 40 3.17.3 System Outage Notification 40 3.18 Non- Performance 41 3.18.1 Final Acceptance 41 3.18.2 Reserved 41 3.18.3 Reserved 41 3.19 System Documentation 41 3.20 Pooling System Transfer to Successor 41 3.20.1 Transfer Efficiency 42 3.20.2 Reserved 42 3.20.3 Technical Support 42 3.20.4 Documentation 42 3.20.5 Transition Plan 42 3.20.6 Reserved 42 3.20.7 System and Equipment Ownership 42 3.21 System and Equipment Inventory 42 3.22 Reserved 42 Contract Data Requirements List (CDRL) 43 4.1 Reserved 43 4.2 Security Plan 43 4.3 System Documentation Plan 43 4.4 Disaster/ Continuity of Operations Plan 43 4.5 Statistical Forecasting Plan 43 4.6 Management Reporting Plan 43 9 xi 4.6.1 Annual 43 4.6.2 Semi- Annual 43 4.6.2.1 Forecasted Demand 43 4.6.2.2 Rate Area Inventory Pool Status 43 4.6.3 Quarterly 44 4.6.3.1 Pooling Matrices 44 4.6.4 Monthly 44 4.6.4.1 Thousands- Block Pooling 44 4.6.4.2 System Performance 44 4.6.4.3 Staffing 44 4.6.5 By Request 44 4.7 System Acceptance Plan 44 4.8 QA Plan 44 4.9 Transition Plan 44 4.10 Maintenance Plan 44 Acronyms, Abbreviations and Definitions 45 Allocation Date 45 Reference Documentation, Technical Standards and Regulatory Orders 49 Interface Contact Information 52 Example Pooling Summary Report 53 10 1 Section 1 Introduction 1.1 Background Pooling of geographic telephone numbers in a number portability environment is a number administration and assignment process that allocates numbering resources to a shared industry inventory associated with a designated geographic rate area. In the United States, thousands- block number pooling involves the allocation of blocks of sequential North American Numbering Plan (NANP) telephone numbers within the same NPA/ Central Office (CO) Code (CO Code or NXX) to different service providers, who serve customers within the same NPA rate area. All ten thousand numbers within each NPA/ NXX continue to be assigned to one rate area, but are allocated among multiple service providers at the thousands- block (NXX- X) level. The numbering resource is allocated from a shared industry inventory and is administered in blocks of one thousand numbers (NXX- X) for assignment to service providers participating in that rate area. The assignment of numbers to service providers in blocks of one thousand (i. e., NPA- NXX-X) is expected to improve the utilization of number resources. Further, a pool of numbers, if available to all providers serving a defined area, need only be large enough to accommodate the collective needs of those providers. In 2000, the FCC determined that thousands- block number pooling would significantly extend the life of the NANP and issued its first Numbering Resource Optimization order (FCC 00- 104, released March 31, 2000) establishing a “national” pooling contractor 1 . This technical requirements document describes the requirements for the “national” pooling contractor. The following terminology is employed in this document: the “FCC” refers to the Federal Communications Commission or its authorized agents; an “auditor” is an FCC- designated auditor; “service providers” refers to telecommunications carriers that utilize numbering resources to provide or establish telecommunications services; “regulatory agencies” refers both to the FCC and the various state public utility commissions (PUCs); the “contractor” refers to the vendor selected to be the thousands- block pooling administrator; a “subcontractor” refers to an organization providing services to the contractor; a “user” is a service provider accessing the automated 1K block assignment system; a “constituent” is the most inclusive term and can include service providers, Number Portability Administration Center (NPAC) vendor, North American Numbering Plan Administrator (NANPA), Local 1 FCC 00- 104, ¶ 154 11 6 Section 2 Pooling Administration Requirements These functional requirements describe the administrative tasks and sub- components of the contractor’s responsibilities and duties. This is not an all- inclusive list. The contractor should also refer to regulatory orders issued by the FCC, related industry guidelines, pooling administrator documentation, technical standards, and North American Numbering Council (NANC)- related NPAC documentation. Specific reference documentation is listed in Appendix B. The contractor shall describe its commitment, as well as a description of how it will adhere, to these functional requirements. 2.1 Hours of Operation The contractor shall be available a minimum of five days a week, eight core business hours (8 AM to 5 PM) a day in all Metropolitan Statistical Areas (MSAs) covered by the NANP where thousands- block number pooling has been implemented. The PA is required to give a 24- hour notice to the Industry on any exception to the above. 2.1.1 Contact The contractor shall provide mechanisms; e. g., web, voicemail, email, and facsimile, to be accessible on a 24- hour basis. With email, the contractor shall have the capability of transmitting and receiving email messages with and without attached files. The contractor shall provide “firewall” protective screening of all incoming email messages and attachments based on a security profile established by the contractor and approved by the FCC. The contractor shall additionally provide virus protection software on all devices that receive/ send email. The contractor shall be expected to maintain the most recently updated version of virus software as defined by the software provider. Any upgrades/ changes that would cause incompatibility with the general industry will be communicated to the industry no less than 180 days prior to implementation. With facsimile, the contractor shall provide the capability of transmitting and receiving International Telecommunications Union (ITU) G. 3 and G. 4 facsimiles. 2.1.2 Responsiveness The contractor shall respond within one business day to general inquiries or questions including those made outside the normal business hours. This will include emails, facsimiles and voicemails. All emails, facsimiles and voicemails, whether received or responded to outside the normal business hours will be subject to a performance metric and process to be approved by the FCC or its designee. All exceptions need to be noted and brought to the attention of management. 16 7 2.1.3 Holidays The contractor shall observe the following holidays: New Year’s Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day, and Christmas Day. On an annual basis, the contractor shall post a list of recognized holiday dates on their web site. 2.2 Organization The contractor shall ensure that the pooling administration organization shall not be impacted by other functions that may be performed by the contractor’s company. 2.3 Staffing Pooling administration staffing shall be at appropriate levels to ensure that the contractor can efficiently perform the functions as identified. The contractor shall provide a monthly report to the FCC on contractor staffing status. The report shall include numbers by labor category, shortages and overages, and yearly turnover rate. 2.3.1 Availability Staff should be available a minimum of five days a week, eight hours a day for each respective pooling time zone as defined in Section 2.1 of this document. Pooling administration hours of operation shall allow block applicants and block holders in all time zones access during the majority of the client’s core business hours. The PA is required to obtain prior approval from the FCC or its designee to any exception to the above. 2.3.2 Core Hours Core business hours for the contractor shall fall between 8: 00 am and 5: 00 PM Monday through Friday local time, excluding holidays. However, if circumstances warrant, the contractor shall be available at other times to meet the needs of the industry. 2.3.3 Physical Location The physical location of the administration facility shall be at the discretion of the contractor as long as it is located within the continental United States (CONUS). 17 12 2.9 Dispute Resolution Disputes may arise within industry numbering activities and the contractor shall participate in dispute resolution by providing guidance and/ or historical data. 2.9.1 Responsibilities The contractor shall, in all cases, follow the FCC rules and pooling guidelines that are in effect at the time that the dispute arises. The contractor shall be responsible for expenses that are incurred in achieving compliance with any law, regulation, audit or contract requirements. 2.9.2 Sources of Dispute These disputes could arise from a variety of sources including the performance of the NANP activities, from industry forum activities, from conflicting government or regulatory policy directives or directly from the FCC. 2.9.3 Involvement The extent to which the contractor is involved in the resolution of disputes shall depend on the nature and origin of the dispute. 2.9.4 Process If a performance problem is identified by a telecommunications industry participant, the contractor shall notify the FCC and the NANC or its designated oversight committee, of the problem within one business day. The contractor shall investigate the problem and report back within a period of not more than 10 business days from the date of the complaint, to the FCC, the NANC and to the telecommunications industry participant on the results of such investigation and any corrective action taken or recommended to be taken. 2.9.5 Corrective Action The contractor, in coordination with the FCC, shall take any necessary corrective action within 30 calendar days of the complaint. 2.10 Audits 2.10.1 Audits in General In the performance of its numbering administration duties and in meeting its responsibilities, the contractor may encounter situations that alert it to possible carrier noncompliance with FCC rules and orders or the industry guidelines that it believes warrants the need for an audit. 22 14 2.10.7 Additional Obligations The contractor is subject to the audits and records provisions in Section 1. 2.11 Data Security Because of the proprietary and/ or sensitive nature of some information that maybe sent to the contractor, proper security measures shall be taken. The contractor shall provide proposed pooling administration security measures. These measures shall be in conformance with Appendix B, Reference 16, FCC Computer Security Program (FCC INST 1071.1). The contractor is additionally subject to the security provisions in Section H. 2.11.1 Secure Work Area This includes the establishment of a secured work area with limited access and secured record retention practices. 2.11.2 Secure Systems In addition, appropriate security shall be provided for any and all computer systems that contain number pooling assignment information and proprietary applicant information, including any system that is connected to any telecommunications network. 2.12 Reserved 2.12.1 Reserved 2.13 Number Portability Administration Center with Assigned States The following list identifies each of the number portability NPAC regions. The list also contains the states that are associated with each of the seven NPAC regions in the United States. There is one Limited Liability Corporation (LLC) that manages the contractual relationship with the NPAC vendor, and it shall be contacted by the contractor to coordinate interfaces with the NPAC. MID- ATLANTIC REGION : New Jersey ,Pennsylvania, Maryland, Delaware, West Virginia, Virginia, District of Columbia MIDWEST REGION: Illinois, Indiana ,Ohio, Michigan, Wisconsin SOUTHWEST REGION: Missouri, Oklahoma, Kansas, Texas, Arkansas WEST COAST REGION: California, Nevada, Hawaii WESTERN REGION: Washington, Oregon, Montana, Idaho, Utah, Arizona, Wyoming, Colorado, New Mexico, North Dakota, South Dakota, Nebraska, Minnesota, Iowa 24 17 Service providers are required to furnish MTE worksheets with each growth application. The contractor shall be responsible for assessing the block applicant’s application to verify that it meets all requirements in order to have a block( s) assigned. At a minimum: 1. Block applicants shall be licensed or certified to operate in the rate area, and, if required, demonstrate that all applicable regulatory requirements have been met (e. g., facilities readiness criteria). 2. Block applicants shall submit Months to Exhaust (MTE) for telephone numbers (TNs) with growth block applications. 3. Block applicants shall all have filed a current NRUF for the associated requested rate area and/ or NPA with the NANPA. 4. Block applicants shall be confirmed by the PA with the NANPA that the service provider is in good standing and that no known ineligibility conditions exist (or are under investigation) in the pooling area in which the service provider is seeking resources prior to assigning resources to that service provider. 2.16.3 Source Applications shall be assigned from both contaminated (10% or less) and non- contaminated inventoried pooled blocks Contamination occurs when at least one telephone number within a donated thousand block is not available for assignment to customers of the block holder. 2.16.4 Applicant Treatment The contractor shall be responsible for ensuring that blocks are assigned in a fair and non-discriminatory manner. In addition, information requested from participating service providers should be kept to a minimum and should be uniform for all block applicants. The contractor shall time- stamp all applications. All applications must be processed within 7 calendar days. If for any reason an application is suspended, the contractor shall detail the reasons for such suspension and provide the procedure for escalation to clear the suspension. 2.16.5 Inventory Pool Block assignments shall be made from NPA- NXX codes assigned to a single rate area inventory pool. The inventory pool shall be comprised of a rate area boundary, which covers the same geographic area. Different geographic rate areas shall maintain separate inventory pools. 27 18 2.16.6 Rate Area Information The contractor shall maintain a current listing of designated rate areas selected for pooling implementation. Therefore the pooling administration system shall be capable of implementing additional rate areas. 2.16.7 Required Assignment Processing After the contractor has made a block assignment, the contractor shall enter the necessary information into the Business Integrated Rating and Routing Database System (BIRRDS) to allow the SP to build the necessary block record( s) for LERG update. The contractor’s ability to interface with the BIRRDS database is dependent upon completing arrangements with Telcordia Technologies. The LERG and BIRRDS are products by Telcordia Technologies. 2.16.8 Problem Resolution Assistance The contractor shall also use these and all other records available to the PA to assist the NANPA, service providers and/ or regulators in resolving some customer complaints as the result of call completion failures, misroutings and/ or service outages. Although proprietary data can not be disclosed to other parties, the PA will provide all other information and referral contacts to requesting parties within a timeframe that is agreed upon between the PA and the requesting party based upon the urgency of the failure. The PA may be asked to contact and/ or provide proprietary information to the owner of the information if for example, the only way to contact or view the proprietary information was by the PA contacting the party and asking them to call and/ or cooperate with others who need information that they themselves can only provide for the purposes of resolving a failure. 2.16.9 Notification The contractor shall notify the NPAC of all block assignments to ensure that the appropriate porting activity and industry notification occurs. 2.17 Management of the Pool Inventory The contractor shall maintain a six- month inventory pool for each rate area in order to meet the forecasted resource needs of participating service providers. 2.17.1 Forecast The contractor shall use service providers’ forecast data to size and manage each rate area pool and shall pass this data on to the NANPA. Service providers participating in pooling shall submit forecasted demand semi- annually via the NRUF reporting procedures with the NANPA. NANPA will then forward the service 28 21 Media & general public Web, email, facsimile More detailed discussion of the duties and interactions with other constituents can be found elsewhere in this document (Appendix B, Reference 2, Industry Numbering Committee (INC) TBPAG.) Pooling Admini stration WebSite Service Providers NPAC NANPA/ NAS Media and General Public Regulators Pooling Admini stration System Pooling Application Processingand Support BIRRDS/ LERG Interface Inf Inf orma orma tion tion and and R Re ep po or t rt I In nt te er rf fa ac e ce Ad Adm mi in ni is st tr ra at ti iv e ve I In nte ter rf fa ac ce e g Pr Pro oc ce es ss si in g ng I In nt te er rf fa ac e ce The arrows depict the Pooling Administrator’s data flow arrangements. Figure 1. Thousands- Block Pooling Interface Arrangements 2.20.1 Interface with NANPA This interface shall be the same as that planned for service providers. The interface will be between the PAS and NAS. The interface will be used to forward service providers’ NXX requests (and those made at the behest of the contractor) to NANPA, to receive NXX assignments consequently made by the NANPA, and to receive from NANPA the NRUF 31 22 forecasting and utilization data for each pooled rate area based on information submitted by each pool participant. 2.20.2 Interface with the BIRRDS/ LERG Vendor The contractor shall have access to BIRRDS to perform its administrative functions. The BIRRDS’ interface shall be web or dial- up modem access. The interface shall be used to enter data into the BIRRDS for pooled block assignments. (The LERG is the output product of data entered into BIRRDS.) This interface shall also be used to view NPA- XXX- X data, as needed. The contractor shall make arrangements directly with Telcordia for BIRRDS access and to also obtain the LERG. 2.20.3 Interface with the NPAC Vendor The NPAC vendor interface shall be email, which shall be used to notify the NPAC vendor about blocks that are being assigned, and to receive acknowledgement from the NPAC vendor that the block assignment information has been received. It shall also be used to receive notification from the NPAC vendor that it has broadcast the block assignment data. (See Appendix B, Reference 17, Functional Requirements Specification: Number Portability Administration Center (NPAC), Service Management System (SMS)). 2.20.4 Interface with Service Providers This interface shall have several forms. One interface shall be the same as the service provider/ NANPA interface; it shall be used to receive NXX code requests and to send NXX assignments in a relay between the NANPA and a service provider. Any or all of the following interfaces may also be necessary, depending on the particular service provider with which interaction is taking place and thus shall be made available: web, email, and facsimile. For example, these interfaces would be used to receive block requests and block donations from the service provider, to send block assignments and requests for block recovery, to notify the service provider when it is to be a pooled NXX code holder or that a pooling related LERG update is completed. See Figure 2 for the thousands- block application process. 32 23 PA Database & System PAS Parts 1A, 1B & 4 FAX FTP WWW Part 3 (7 Calendar Day Response) NPAC SMS Part 1B LERG- TRA Assignee/ SP Parts 1A, 1B & 4 Parts 1A, 1B & 4 Assignment Notification Assignment Notification Request for Part 4 (5 Months) User Authentication Problem Notification Update SERVICE PROVIDER BIRRDS/ LERG TELCORDIA NANPA/ NAS POOLING ADMINISTRATOR NeuStar Server Figure 2. Thousands- Block Applications Process (Notational) 2.20.5 Interface with Regulatory Agencies This interface shall be by web, email, voice, facsimile or U. S. mail. For example, the interface may be used to provide a regulator aggregated forecast and utilization data for a pooled area. The contractor may also be called upon to testify in regulatory hearings. In these cases the contractor shall ensure that their testimony is specific to the scope and requirements of this contract. 2.20.6 Interface with the Media The contractor shall prepare press releases and speak to the public in matters relating to thousands- block number pooling upon coordination with the FCC (as defined in Section H). This shall include the creation and maintenance of a publicly available web site for this purpose. This requires that the contractor retain personnel with public relations skills (e. g., the ability to explain complex number pooling issues to the media and the public consistent with industry positions on numbering issues). 33 25 2.21. 2 Pooling Matrices Report The contractor shall be required to complete a pooling matrices report that contains pooling information to be used in assessing the status of pooling by NPA/ Rate Area. An illustration of such a matrix is included in Appendix D. This form and its content are subject to change and shall be completed by the contractor quarterly and forwarded to the FCC. 2.21. 3 Report and Document Distribution Requested information and reports for external distribution shall be distributed within one business day after receipt of the request. The pooling administration system shall be capable of quick processing of raw data into report format to ensure timely disbursement. 2.22 Performance Measurements There are several ways that performance will be measured. Each derives input from different sources and, therefore, no single item should be considered of greater or lesser value than the others. 2.22.1 Assessment Period On at least an annual basis, the FCC or its designee shall formally assess the performance of the contractor. 2.22. 2 Remedial Action The contractor shall be required to implement any remedial action to correct any identified performance problems within 30 calendar days. 2.22.3 Pooling Administration Quality Assurance (QA) The performance monitoring process shall include, but not be limited to, internal, documented performance monitoring mechanisms to be developed and implemented by the contractor and made available to the industry through the FCC. The contractor’s QA plan, required following contract award, shall follow the format, where applicable, of Appendix B, Reference 21, IEEE Standard for Software Quality Assurance Plans. The contractor is required to have its representative( s) participate in a monthly call with the NANC or its designated oversight working group. The primary activities will be to review (1) quality assurance performance monitoring metrics and measurements, (2) complaints, (3) new developments impacting the availability of resources (4) FCC and/ or NANC reports formats and contents and (5) corrective action plans to resolve deficiencies in performance and/ or complaints. 2.22.4 Contractor Performance Metrics 35 38 34 3.7 System Security The contractor shall maintain and enforce physical security procedures that conform to the requirement to maintain confidential and proprietary information. The details will be provided in the contractor’s Security Plan. 3.8 System Inspection The FCC, with or without notice to the contractor, shall have the right to make visits to the pooling system to review safety/ security requirements. If any safety and physical security procedures related to the pooling administration system do not comply with those specified, the contractor shall correct such noncompliance within 10 business days. Failure to correct such deficiencies may result in termination of the contract. The contractor shall: (i) implement corrective measures, and (ii) give notice of such implementation to the FCC and the FCC may make one or more follow- up visits to the affected data center, as necessary, to confirm the deficiency has been rectified. The FCC’s rights under this paragraph shall not in any way limit the FCC’s to visit the data center for reasons other than a safety/ security visit. The system inspection shall include, but not be limited to, sub- contractor facilities, telecommuting employees of the contractor or subcontractor( s), contractor or subcontractor maintenance organizations or individuals on traveling status with access to the contractor’s pooling system. 3.9 Web Site The pooling administration system shall contain a web support design that simulates the design of the user profile, block application and forecast data reporting forms contained in Appendix B, Reference 2, INC TBPAG. The web site shall contain help information consisting of, at a minimum, the following: application- specific help information, pooling Frequently Asked Questions (FAQs), and an email link to the contractor as well as contact information (including telephone numbers) for all appropriate staff members. 3.9.1 Availability and Access The web site shall be available 24 hours per day, 7 days a week. 44 35 The web site shall be able to support up to 600 simultaneous users with an average holding time of 0.5 hours. 3.9.2 System Responsiveness Rapid response shall be required when accessing the web site. The contractor shall provide a system such that a 56 KBPS modem- equipped user will be able to view the complete home page in less than 8 seconds 95% of the time over any 12 month period. If a user is experiencing greater than 12 seconds to view the complete home page, the contractor system shall have the capability to sense this condition. The contractor shall open a trouble ticket to investigate whether the problem is between the web site and the Internet Service Provider (ISP) or is in the pooling system. If the user reports to the help desk a problem with accessing information on either the web site or the pooling system, a trouble ticket shall be initiated to determine if an “out of service” condition exists. 3.9.3 Out- of- Service The pooling administration system and the associated web site shall be operational 99.9% of the time over any 12- month period, excluding scheduled maintenance. The contractor’s inability to deliver services to this level shall be deemed “out of service.” This figure excludes problems due to the customer’s network or equipment. If any “out of service” condition exists cumulatively for 2 hours (or more) in any 24- hour period, as evidenced by a user trouble report to the contractor, the contractor shall provide an out- of- service credit to the FCC in an amount equal to 1/ 30 th of the previous month’s charge for the month in which the outage occurred. All scheduled maintenance activities shall occur during non- core business hours, shall require prior approval of the FCC, and shall not exceed a four- hour period unless approved by the FCC. The contractor system shall be capable of pinging its ISP( s) every five seconds to confirm that the round- trip latency is less than or equal to 10 milliseconds. If the latency is greater than 10 milliseconds, the connectivity between the web site and ISP( s) shall be considered out of service and a trouble ticket opened. 3.9.4 Out- of- Service Notification The contractor shall be the point of contact for system recovery. The contractor shall be capable of distributing system status and outage reports to all registered users. All scheduled maintenance activities shall be approved in advance by the FCC prior to commencing the activity. Once the FCC has approved the scheduled maintenance activity, the contractor shall provide notification to all registered users as to when the activity will begin and end, as well as the impact on the users. 45 38 The testing will ensure the efficacy of the uniform pooling resource guidelines, interfaces and standards. The contractor shall develop and implement a System Acceptance Plan following the format, where applicable, of Appendix B, Reference 23, IEEE Standard for Software Test Documentation. 3.12.1 System Test Plan Prior to full pooling administration system implementation and turn up, the contractor shall provide interim testing of the pooling administration in anticipation of the system acceptance test. This testing shall contain the selection criteria for service providers to be selected to participate in pooling administration system testing and the timeline and specific pooling administration system elements to be tested. 3.12.2 System Test Results Upon completion of the pooling administration system acceptance test, the contractor shall publish the results of said test. These results shall be readily available to all interested parties. 3.13 System Acceptance Final approval of the system shall be dependent on successful execution of the System Acceptance Test Plan. 3.14 System Processing Acknowledgement The pooling administration system shall be capable of generating an acknowledgement to the submitter with a 56 KBPS modem within 8 seconds 95% of the time over any 12 month period when a block application or other document and report has been submitted. 3.15 User Logon System Upon receipt of an approved request form, the system shall be able to support access to certain pooling administration system data with a unique logon ID and password. 3.15.1 Logon System Access Formal access shall be initiated upon receipt of a completed logon ID request form having the proper signature approvals from the requesting organization. 3.15.2 Logon System Approval After access approval, the contractor shall assign a unique logon ID and password to the user. 48 42 3.20.1 Transfer Efficiency The transfer of such physical property shall be performed in a manner that shall ensure an efficient and orderly transition of the pooling administration system and associated equipment to a successor's environment in a fully operational state. 3.20.2 Reserved 3.20.3 Technical Support After the period provided in the services continuity clause in section H (52.237- 3), if requested, the contractor shall provide at least 15 working days, but up to 45 working days over a six- month period, of technical support to ensure a smooth transition of the system. 3.20.4 Documentation The contractor shall provide the FCC with copies of all documentation specified in the System Documentation Plan. 3.20.5 Transition Plan The contractor shall, 180 calendar days prior to contract termination, provide a detailed plan for an efficient and orderly transition. This transition plan shall follow the format, as applicable, of Appendix B, Reference 24, Software Transition Plan (STrP). 3.20.6 Reserved 3.20.7 System and Equipment Ownership Should the system equipment not be leased, it shall transfer with lien- free title to the FCC or the FCC's designee, without charge. 3.21 System and Equipment Inventory Inventory data (hardware model, serial numbers and descriptions) on equipment shall be reported as part of the contractor’s annual reporting requirements, as well as any upgrades or replacements, including the license numbers of any Commercial Off- the- Shelf (COTS) software. 3.22 Reserved 52 43 Section 4 Contract Data Requirements List (CDRL) All CDRLs shall be approved by the FCC. 4.1 Reserved 4.2 Security Plan The contractor shall furnish a Security Plan within 45 calendar days of contract award per Sections 3.1, 3.7, and 3.16.1. 4.3 System Documentation Plan The contractor shall furnish a System Documentation Plan within 60 calendar days of contract award per Section 3.19. 4.4 Disaster/ Continuity of Operations Plan The contractor shall furnish a Disaster/ Continuity of Operations Plan within 60 calendar days of contract award per Section 3.17. 4.5 Statistical Forecasting Plan The contractor shall furnish a Statistical Forecasting Plan within 60 calendar days of contract award per Section 2.17.3. 4.6 Management Reporting Plan The contractor shall furnish a Management Reporting Plan within 60 calendar days of contract award. Reports are required annually, semi- annually, quarterly, and monthly per Section 3.11. There are also “by request” reporting requirements per Section 2.21.2. 4.6.1 Annual The contractor shall provide an Annual Report per Section 2.21.1. 4.6.2 Semi- Annual 4.6.2.1 Forecasted Demand The contractor shall provide a forecasted demand report per Section 2.17.1. 4.6.2.2 Rate Area Inventory Pool Status The contractor shall provide a rate area inventory pool report per Section 2.16.5. 53 44 4.6.3 Quarterly 4.6.3.1 Pooling Matrices The contractor shall provide a pooling matrices report per Section 2.21.2. 4.6.4 Monthly 4.6.4.1 Thousands- Block Pooling The contractor shall provide a monthly report to the FCC on thousands- block pooling assignments per Section 2.21. 4.6.4.2 System Performance The contractor shall provide a monthly report to the FCC on system performance per Section 2.22. 4.6.4.3 Staffing The contractor shall provide a monthly report to the FCC on staffing per Section 2.3. 4.6.5 By Request The contractor shall, from time to time, be requested to provide ad hoc reports per Section 2.21.3. 4.7 System Acceptance Plan The contractor shall furnish a System Acceptance Plan within 75 calendar days of contract award per Section 3.12. 4.8 QA Plan The contractor shall furnish a QA Plan within 120 calendar days of contract award per Section 2.22.3. 4.9 Transition Plan The contractor shall furnish a Transition Plan within 180 calendar days of contract termination per Section 3.20.5. 4.10 Maintenance Plan The contractor shall furnish a Maintenance Plan within 150 calendar days of contract award per Section 3.6. 54 45 Appendix A Acronyms, Abbreviations and Definitions Allocation Date The allocation date is the date established by the pooling administrator (PA) when the PA officially makes the block assignment to a service provider (SP). Aging Aging numbers are disconnected numbers that are not available for assignment to another end user or customer for a specified period of time. Numbers previously assigned to residential customers may be aged for no more than 90 days. Numbers previously assigned to business customers may be aged for no more than 365 days. (47CFR52.15) . An aging interval includes any announcement treatment period, as well as the vacant telephone number intercept period. A number is disconnected when it is no longer used to route calls to equipment owned or leased by the disconnecting subscriber of record. Auditor An auditor is a FCC- designated auditor. ATIS Alliance for Telecommunications Industry Solutions Billing The cost of pooling administration is a shared cost that is billed to all pooling and non- pooling service providers pursuant to the FCC’s Number Optimization Order, FCC 00- 104, dated March 31, 2000. Billing and Collection Agent The designated vendor responsible for managing the pooling administration financial arrangements between the industry and pooling administration vendor. BIRRDS Business Integrated Rating and Routing Database System Block A range of 1000 TNs within the NPA- NXX, beginning with a station of n000, and ending with n999, where n is a value between 0 and 9. Block Donation Date The deadline for SPs to donate their thousands- block( s) (Appendix B, Reference 1, FCC 00- 014.) Block Holder The recipient service provider of a 1K Block from the code holder. Also defined as the NPA- NXX- X holder in the LERG. CFR Code of Federal Regulations CO Central Office CO Codes The sub- NPA code in a TN, i. e., digits D- E- F of a 10- digit NANP Area 55 46 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" (Appendix B, Reference 25, 47 C. F. R. § 52.7( c)). CONUS Continental United States COTS Commercial Off– The- Shelf CDRL Contract Data Requirements List Code Holder The code holder is the LERG Assignee of the NPA- NXX. Contaminated Number An unavailable number (e. g., working), within a 1K Block, at the time the 1K Block is donated to the pooling administrator. A telephone number is “not available for assignment” if it is classified as administrative, aging, assigned, intermediate, or reserved as defined in FCC rules. Effective Date The date that is considered to be the “ownership switchover” date for the 1K Block from the code holder (NPA- NXX owning SP) to the block holder (NPA- NXX- X owning SP). This is the date published in the LERG, and is also used by the pooling administrator and the NPAC. Enterprise Services Functions performed by the administrator that are outside of the requirements and responsibilities detailed within this proposal and associated industry guidelines and regulatory orders. FAQ Frequently Asked Question FCC Federal Communications Commission FTP File Transfer Protocol IETF Internet Engineering Task Force INC The Industry Numbering Committee (INC) is an industry forum operating under the auspices of the Alliance for Telecommunications Industry Solutions (ATIS). Their mission is to provide 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 NANP area. IP Internet Protocol ISP Internet Services Provider ITU International Telecommunications Union 56 48 PUC Public Utility Commission QA Quality Assurance Rate Area Denotes the smallest geographic area used to distinguish rate boundaries. Reassignment The process of reestablishing the assignment of a thousands- block, which was previously assigned to another SP or to a new SP. RFP Request for Proposal SCP Service Control Points SMS Service Management System SP Service Provider Subcontractor An organization providing services to the contractor. Term of Administration The contractor’s contract shall be for a term of five years. TN Telephone Number TRA Traffic Routing Administration, Telcordia Vacant Number A non- working number. Vacant Number Treatment A recorded announcement played to the calling party, when the NPA-NXX of the TN they have dialed is valid, but the 10- digit TN is not a working number. 58 49 Appendix B Reference Documentation, Technical Standards and Regulatory Orders 1. Federal Communications Commission: In the Matter of Number Resource Optimization, Report and Order and Further Notice of Proposed Rule Making, CC Docket 99- 200, FCC 00- 104 (March 31, 2000). Available at: http:// www. fcc. gov/ searchtools. html. 2. Industry Numbering Committee: Industry Numbering Committee (INC) Thousand Block (NXX- X) Pooling Guidelines, INC 99- 0127- 023, (July 29, 2005 or use latest version at time of RFP), by the Industry Numbering Committee sponsored by the Alliance for Telecommunications Industry Solutions (ATIS). Available at: http:// www. atis. org/ inc/ docs. asp. 3. Reserved 4. Committee T1: Thousand Block Number Pooling Using Number Portability, Technical Requirements No. 4, July 1999. Prepared by T1S1.6 Working Group on Number Portability a working group of Committee T1- Telecommunications, sponsored by ATIS. Available at: http.// www. atis. org/ docstore/ searchform. asp. 5. Reserved. 6. Industry Numbering Committee: Industry Numbering Committee (INC) North American Numbering Plan Forecast/ Utilization Report (NRUF) Guidelines, INC 00- 0619- 026 (March 23, 2004 or use latest version at time of RFP), by the Industry Numbering Committee sponsored by the Alliance for Telecommunications Industry Solutions (ATIS). Available at: http:// www. atis. org/ inc/ docs. asp. 7. Industry Numbering Committee: Industry Numbering Committee (INC) Central Office Code (NXX) Assignment Guidelines, INC 95- 0407- 008 (July 29, 2005 or use latest version at time of RFP) by the Industry Numbering Committee sponsored by the Alliance for Telecommunications Industry Solutions (ATIS). Available at: http:// www. atis. org/ inc/ docs. asp. 8. Reserved 9. Reserved 10. Responses to Questions in the Numbering Resource Optimization Proceeding, CC Docket 99- 200, DA 00- 1549 (rel. July 11, 2000). Available at: http:// www. fcc. gov/ ccb/ Nanc/ nancpubn. html. 11. Letter Agreement 1, FCC and Neustar, Inc. (Dated July 18, 2000) 59 50 12. Reserved. 13. Administration of the North American Numbering Plan, Third Report and Order, CC Docket 92- 237 (re. Oct. 9, 1997). Available at: http:// www. fcc. gov/ searchtools. html. 14. Reserved 15. Number Portability Switching Systems (Report No. T1. TRQ. 02- 1999). Available at: http:// www. atis/ docstore/ searchform. asp. 16. FCC Computer Security Program Directive, FCC INST 1071.1. 17. North American Numbering Council, Functional Requirements Specification: Number Portability Administration Center (NPAC), Service Management System (SMS), Version 3.0, June 6, 2000. Available at: http:// www. npac. com/ documents. htm. (Waiting on response from Paula Jordan) 18. Reserved. 19. Reserved. 20. IEEE Standards Board, IEEE Standard for Software User Documentation, February 4, 2002. Available at: http:// standards. ieee. org/ catalog/ olis/ index. html. 21. IEEE- SA Standards Board, IEEE Standard for Software Quality Assurance Plans, IEEE Std 730- 2002, April 18, 2003. Available at: http:// standards. ieee. org/ catalog/ olis/ index. html. 22. National Fire Protection Association, NFPA 1600 Standard on Disaster/ Emergency Management and Business Continuity Programs, 2004 Edition. Available at: http:// www. nfpa. org/. 23. IEEE- SA Standards Board, IEEE Standard for Software Test Documentation, IEEE Std 829- 1998, February 4, 2002. Available at: http:// standards. ieee. org/ catalog/ olis/ index. html. 24. Space and Naval Warfare Systems Command (SPAWAR), Software Transition Plan (STrP), DID- IPSC- 81429A, 10 Jan 2000. Available at: http:// www. ihsengineering. com/. 25. Code of Federal Regulations, Title 47, Volume 3, Parts 40- 69, Telecommunications. Available at: http:// www. access. gpo. gov/ nara/ cfr/ cfr- table- search. html. 26. NPAC, Methods and Procedures for National Number Pooling, Prepared for NeuStar, Inc. NPAC, October 12, 2000, Version 1.0. (Waiting to hear from Paula Jordan) 27. Federal Communications Commission, In the Matter of Numbering Resource Optimization, Petition for Declaratory Ruling and Request For Expedited Action on the July 15, 1997 Order of the Pennsylvania Public Utility Commission Regarding Area Codes 412, 610, 215, and 717, Second Report and Order, Order on Reconsideration in CC Docket No. 96- 98 and CC Docket No. 99- 200, and Second Further Notice of Proposed Rulemaking, CC 60 51 Docket No. 99- 200, FCC 00- 429 (Adopted December 7, 2000). Available at: http:// www. fcc. gov/ searchtools. html. 61 52 Appendix C Interface Contact Information John Manning NANPA 46000 Center Oak Plaza Sterling, VA 20166 Phone: 571- 434- 5770 Fax: 571- 434- 5502 NPAC 46000 Center Oak Plaza Sterling, VA 20166 Phone: 571- 434- 5400 Fax: 571- 434- 5401 BIRRDS/ LERG Telcordia Technologies Traffic Routing Administration 8 Corporate Pl. 3N141 Piscataway NJ 08854- 4156 Phone: 732- 699- 6700 Contact information is included to facilitate responses to this document by all potential contractors and is not intended to endorse the particular organizations listed. 62 53 Appendix D Example Pooling Summary Report Example: Pooling Summary Report State: ____________ Date of Report Type of Information NPA: RATE CENTER A. NPA Profile Block( s) Available for Assignment Block( s) Assigned Average blocks assigned per month in last 6 months Jeopardy condition? Current rationing? NPA relief plan? Quantity of currently LNP capable carriers (participating) Quantity of carriers with future LNP capability (non-participating) Quantity of carriers with no LNP mandated (non- participating) Quantity of rate areas Top 100 MSA? Other distinguishing characteristics? Projected Demand for Blocks 63