Report and Order, the Commission granted state commissions the authority to engage in certain number conservation measures. The Commission also reiterated that previous state delegations of authority to implement number conservation measures were interim in nature and would be superseded by forthcoming decisions in the Number Resource Optimization proceeding. The Commission, however, continued its delegation to the Common Carrier Bureau (Bureau) to rule on state petitions for additional delegation of numbering authority when no new issues are raised.

In paragraph 170 of the Numbering Resource Optimization First Report and Order, the Commission required that state commissions seeking thousands-block number pooling authority demonstrate that: (1) a numbering plan area (NPA) in its state is in jeopardy; (2) the NPA in question has a remaining life span of at least a year; and (3) the NPA is in one of the largest 100 Metropolitan Statistical Areas (MSAs), or alternatively, the majority of wireline carriers in the NPA are LNP-capable.

On March 9, 2001, the Iowa Utilities Board (Iowa Commission or Petitioner) filed a petition requesting delegated authority to (1) implement mandatory thousands-block number pooling in the 319 NPA; and (2) require non-LNP capable carriers to participate in pooling. Petitioner asserts that the number conservation measures currently available in the 319 NPA may not adequately protect this NPA.

On October 19, 2000, the North Carolina Utilities Commission (North Carolina Commission or Petitioner) filed a petition requesting additional delegated authority to implement mandatory thousands-block number pooling in the 336 NPA. Petitioner states that thousands-block number pooling could potentially extend the life of this NPA.

We hereby seek comment on the Iowa and North Carolina Commissions' requests for delegated authority to implement the number conservation measures mentioned above. Interested parties may consolidate into one filing their comments and reply comments in response to both petitions. A copy of both petitions will be available during regular business hours at the FCC Reference Center, Portals II, 445 12th Street, S.W., Suite CYA257, Washington, D.C. 20554, (202) 418-0270. Interested parties may file comments concerning these matters on or before May 9, 2001, and reply comments on or before May 18, 2001. All filings must reference File Nos. NSD-L-01-74 (Iowa) or NSD-L-01-75 (North Carolina) and CC Docket Nos. 96-98 and 99-200. Send an original and four copies to the Commission Secretary, Magalie Roman Salas, Portals II, 445 12th Street, SW, Suite TW-A325, Washington, D.C. 20554 and two copies to Carmell Weathers, Network Services Division, Portals II, 445 12th Street, S. W., Room 6-B153, Washington, D.C. 20554.

Comments may be filed using the Commission's Electronic Comment Filing System (ECFS) or by filing paper copies. Comments filed through the ECFS can be sent as an electronic file via the Internet to <http://www.fcc.gov/e-file/ecfs.html>. If using this method, please reference CC Docket No. 96-98 and CC Docket No. 99-200 in the Proceeding block. Generally, only one copy of an electronic submission must be filed. In completing the transmittal screen, commenters should include their full name, postal service mailing address, and the applicable docket or rulemaking number. Parties may also submit an electronic comment by Internet e-mail. To get filing instructions for e-mail comments, commenters should send an e-mail to ecfs@fcc.gov, including "get form <your

e-mail address>" in the body of the message. A sample form and directions will be sent in reply. After filing your comments electronically, please send an e-mail to Carmell Weathers, cweather@fcc.gov, indicating that comments have been filed.

This is a "permit but disclose" proceeding for purposes of the Commission's ex parte rules.3 As a "permit but disclose" proceeding, ex parte presentations will be governed by the procedures set forth in Section 1.1206 of the Commission's rules applicable to non-restricted proceedings.*

Parties making oral ex parte presentations are reminded that memoranda summarizing the presentation must contain a summary of the substance of the presentation and not merely a listing of the subjects discussed. More than a one or two sentence description of the views and arguments presented is generally required. Other rules pertaining to oral and written presentations are set forth in Section 1.1206(b) as well.

For further information contact Jennifer Gorny of the Common Carrier Bureau, Network Services Division, at (202) 418-2320 or jgorny@fcc.gov. The TTY number is (202) 418-0484.

-FEDERAL COMMUNICATIONS COMMISSION

3 See generally 47 C.F.R. §§ 1.1200-1.1216.

4 47 C.F.R. § 1.1206.

5 47 C.F.R. § 1.1206(b)(2).

1.

I. INTRODUCTION

In this Notice of Apparent Liability for Forfeiture ("NAL"), we find that Allpage ("Allpage") has apparently violated 47 C.F.R. § 52.15(f) by willfully failing to report its number utilization and forecast data. Based upon our review of the facts and circumstances in this case, we conclude that Allpage is apparently liable for a forfeiture in the amount of $6,000.

2.

Section 251(e) of the Communications Act of 1934, as amended (the “Act”), grants the Commission plenary jurisdiction over the North American Numbering Plan ("NANP") and related telephone numbering issues in the United States. The Commission has identified two primary goals related to this statutory mandate: to ensure that the limited numbering resources of the NANP are used efficiently for the benefit of both consumers and carriers; and to ensure that all carriers have the numbering resources necessary to compete in the rapidly growing telecommunications marketplace.' The Commission recently adopted administrative and technical measures that facilitate the monitoring of numbering resource usage within the NANP and promote more efficient use of numbering resources, including new mandatory utilization and forecast data reporting requirements. Monitoring individual

'Numbering Resource Optimization, Report and Order and Further Notice of Proposed Rulemaking in CC Docket No.99-200, 15 FCC Rcd 7574 (2000)("NRO Order"); recon. and clarification in part, Second Report and Order, Order on Reconsideration in CC Docket 96-98 and CC Docket 99-200, and Second Further Notice of Proposed Rulemaking in CC Docket 99-200, FCC 00-429 (Dec. 29, 2000).

2 Id.

carriers' use of numbering resources encourages efficiency and forestalls premature exhaustion of numbering resources. Thus, section 52.15(f) of the Commission's rules requires U.S. carriers receiving numbering resources from the North American Numbering Plan Administrator (“NANPA”), a Pooling Administrator, or another telecommunications carrier, to report semiannually on their actual and forecast number usage.' These data are to be reported on FCC Form 502, the North American Numbering Plan Numbering Resource Utilization/Forecast ("NRUF") Report.

3. The staff of the Common Carrier Bureau determined that Allpage apparently did not file the mandatory NRUF report due on September 15, 2000. On January 29, 2001, the Enforcement Bureau sent a letter to Allpage, which explained that Allpage might be subject to enforcement action if it had failed to comply with the mandatory reporting requirements of section 52.15(f). In addition, our letter cautioned Allpage that the NANPA would withhold numbering resources as a sanction for failure or refusal to comply with the mandatory reporting requirements.*

4. Our letter gave Allpage the opportunity to provide proof of filing of the NRUF report due on September 15, 2000, and reminded Allpage that its next NRUF report was due on February 1, 2001. Allpage did not respond to our letter."

5. Section 503(b)(1)(B) of the Act provides that any person who willfully or repeatedly fails to comply with the Act or the Commission's rules shall be liable for a forfeiture penalty." We conclude that Allpage failed to file the NRUF report due on September 15, 2000. Thus, Allpage is apparently liable for forfeiture for the willful violation of section 52.15 of the Commission's rules, which requires U.S. carriers to report on their actual and forecast number usage.' The Commission has held that an act or omission is "willful" if the violator knew it was taking the action in question, whether or not there is any intent to violate the rule. Based upon the record before us, it appears that Allpage's

3 The NRUF reports are due on or before February 1 and on or before August 1 of each year. See 47 C.F.R. § 52.15(f)(6). However, we note that the deadline for filing reports due August 1, 2000 was extended to September 15, 2000. Numbering Resource Optimization, CC Docket No. 99-200, FCC 00-280 (Jul. 31, 2000).

* 47 C.F.R. § 52.25(g)(3)(iv). See NRO Order, 15 FCC Rcd at 7609-10.

"The Enforcement Bureau mailed the January 29, 2001 letter to Allpage by certified mail, return receipt requested. The return receipt reflects that Allpage received the Bureau's letter on February 2, 2001.

47 U.S.C. § 503(b)(1)(B). See also 47 C.F.R. § 1.80(a)(2). Recently, the Commission amended Section 1.80 of its rules to make inflation adjustments in the maximum penalties that may be imposed. Accordingly, for a common carrier, the forfeiture limit for each violation is now $120, 000, with a maximum potential forfeiture of $1,200,000 for a continuing violation involving a single act or failure to act. See Amendment of Section 1.80(b) of the Commission's Rules, 15 FCC Rcd 18221 (2000).

'Carriers are required to file NRUF reports by separate legal entity for each Operating Company Number ("OCN"). See 47 C.F.R. § 52.15(f)(3)(ii). Our January 29, 2001 letter referenced one OCN for which Allpage apparently had not filed an NRUF report due September 15, 2000.

'Southern California Broadcasting Company, 6 FCC Rcd 4387 (1991).

failure to comply with the reporting requirements was willful.

6. In assessing a forfeiture, Section 503(b)(2)(D) of the Act and section 1.80(b)(4)" of the Commission's rules require us to consider the nature, circumstances, extent and gravity of the violation, and, with respect to the violator, the degree of culpability, any history of prior offenses, ability to pay, and other such matters as justice may require. The Commission's Forfeiture Guidelines establish a base amount of $3,000 for failure to file required forms or information." The Guidelines also provide that we may issue a higher or lower forfeiture, as permitted by statute."2 Based upon the information before us, and taking into consideration the factors expressed in Section 503(b)(2)(D) of the Act, we find that a forfeiture that is higher than the base amount is warranted in this case.

7.

The Commission has emphasized that consistent, accurate and complete reporting of number utilization and forecast data is critical to promoting efficiency and avoiding premature exhaustion of numbering resources." The potential harm to the integrity and objectives of the Commission's numbering administration and optimization strategies caused by non-compliance with the section 52.15(f) reporting requirements increases as a non-compliant carrier's inventory of numbering resources increases. We therefore find that it is appropriate to take into account the amount of Allpage's unreported numbering resources in determining the forfeiture amount. Numbering resources are assigned either in blocks of 10,000 numbers referred to as central office codes or NXX codes, or in blocks of 1,000 numbers. Allpage has been assigned 26 NXX codes. Under these circumstances, we find that an upward adjustment of the base forfeiture is appropriate for Allpage's failure to file the required NRUF report, and we thus impose a forfeiture in the amount of $6,000, which represents double the base forfeiture for failure to file required report.

8. Our January 29, 2001 letter reminded Allpage that its next semiannual NRUF report was due on February 1, 2001. It appears that Allpage may not have filed this report. Failure to file the February NRUF report, as required by section 52.15(f), would constitute a separate violation of the Commission's rules. We warn Allpage that failure to file the February report or future reports could form the basis for additional notices of apparent liability. Moreover, if Allpage fails to comply with the NRUF reporting requirements in the future, the Common Carrier Bureau may deem that its numbering resources are unused, and thus begin reclamation of those numbering resources.14 In addition, the Commission may consider proceedings to revoke the section 214 authorizations and Title III licenses of carriers that persist in their non-compliance with section 52.15(f).

9 47 U.S.C. § 503(b)(2)(D).

10 47 C.F.R. § 1.80(b)(4).

11

The Commission's Forfeiture Policy Statement and Amendment of Section 1.80 of the Rules to Incorporate the Forfeiture Guidelines, 12 FCC Rcd 17087 (1997), recon. denied, 15 FCC Rcd 303 (1999)(“Forfeiture Guidelines")(codified at 47 C.F.R. § 1.80(b)(4) Note).