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| Statement and Direction – Application Forms for Telephone Numbers - 24 July 2003 | |
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A Statement and Direction issued by the Director General of Telecommunications following a consultation on a draft Direction on Application Forms for Telephone NumbersChapter 1 Background to, effect of, and reasons for making the Direction Chapter 2 Responses to the Consultation Annex to the direction – Application Forms for Telephone Numbers S.1 This Statement contains a direction relating to application forms for Telephone Numbers (the ‘Direction’) given by the Director General of Telecommunications (the ‘Director’) today, 24 July 2003, under paragraph 17. 9(a) of General Condition 17 of the General Conditions of Entitlement (‘Allocation, Adoption and Use of Telephone Numbers’). The application forms for Telephone Numbers are set out in the Annex to the Direction. The Director is satisfied that the application forms are appropriate and that the Direction satisfies the relevant tests set out in the Communications Act 2003, which received Royal Assent on 17 July 2003.
Chapter 1Background to, effect of, and reasons for making the Direction1.1 This Statement contains a direction relating to application forms for Telephone Numbers (the ‘Direction’) (at Annex A) given by the Director today, 24 July 2003, under paragraph 17.9(a) of General Condition 17 of the General Conditions of Entitlement (‘Allocation, Adoption and Use of Telephone Numbers’). 1.2 The General Conditions of Entitlement were set by the Director pursuant to section 45 of the Communications Act 2003 (the ‘Act’) on 22 July 2003 by way of publication of a Notification pursuant to section 48(1) of the Act. They are contained in the Schedule to that Notification, available at -http://www.oftel.gov.uk/publications/eu_directives/2003/cond_final0703.pdf. The Act received Royal Assent on 17 July 2003 and relevant provisions of the Act will come into force on 25 July 2003, pursuant to the Communications Act 2003 (Commencement No.1) Order 2003 (the ‘Commencement Order’). However the Director was able to set the General Conditions of Entitlement, and give the Direction, prior to that date in view of section 13 of the Interpretation Act 1978, which allows for the anticipatory exercise of powers under an Act after its passing but prior to its entry into force as may be necessary or expedient for the purpose of giving full effect to the Act or any provision of the Act at or after the time when it comes into force. In addition, the Director is able to exercise powers under the Act pursuant to section 408 of the Act and Article 3(1) of the Commencement Order, until Ofcom assumes those powers at a later date. 1.3 A consultation document regarding a draft of the Direction was published on 25th June 2003, together with a notification of proposals to give the Direction in anticipation of the entry into force of section 49(4) of the Act. Further background regarding the General Conditions of Entitlement is set out in that consultation document. Four responses were received to the consultation and the Director’s views on those responses are discussed in Chapter 2 of this Statement. 1.4 The effect of the Direction is to specify those application forms to be used to apply for an Allocation or reservation of Telephone Numbers – the forms are set out in the Annex to the Direction. The Application Forms 1.5 The information requested in the application forms will help the Director make a decision on whether an applicant is eligible to be allocated Telephone Numbers, or whether further Telephone Numbers can be allocated. All the application forms, except the Reseller Identity ("RID") code form – Form S18, have an ‘Annex A’ asking applicants about the network over which the numbers applied for will be used, details of the Electronic Communications Service to be provided with the number applied for, their Interconnection arrangements, etc. (Resellers of Carrier Pre-Selection are neither a Network or Service Provider and therefore not required to provide this information). This information will help the Director to ascertain whether, in the case of Network Providers, that the applicant has an eligible network i.e. a Public Electronic Communications Network, so that numbers will be used appropriately. In the case of Network Providers this means that the networks are relevant to the numbers applied for and, in the case of Service Providers, that the services they offer are suitable for the numbers applied for and will be adopted on a suitable network. The application forms ask applicants to confirm if they are on Oftel’s voluntary register of providers of Public Electronic Communications Networks. If the applicant is on the list then this indicates that Oftel has already assessed the applicant’s network, and determined that it is a Public Electronic Communications Network. Further checks by the Numbering Unit on the applicant’s network will then generally not be required, thus speeding up the application process. 1.6 The Director is satisfied that the Direction meets the tests set out in Section 49(2) of the Act. It is objectively justifiable, in that it relates to the need to ensure that appropriate application forms are used by Communications Providers to apply for numbering, to ensure that the Director has the requisite information available to assess applications and comply with his duty to ensure best use of numbering. It is non-discriminatory, in that all Communications Providers affected by the direction will have to use the same forms, and where there are differences in terms of the information requested in the forms this reflects differences between network providers and service providers. Service Providers will need to provide details of the network over which their service will be provided each time, and because of potential resource implications, whether the Service Provider has tried to obtain a sub-allocation from a provider of a Public Electronic Communications Network. This is so that the Director can assess in each individual case whether the Service Provider is eligible to be allocated numbers in those circumstances. If the Service Provider - (i) has no arrangements with a network provider such that the Provider can provide a service; or (ii) cannot demonstrate why sub-allocation is not appropriate in the circumstances or, if it is appropriate, cannot demonstrate that he has taken reasonable steps to obtain such a sub-allocation, then the Director may determine that the Service Provider is not eligible to be allocated numbers in that particular case. Network Providers will only need to complete network details once, unless the network varies depending on the type of services they are offering over the network. It is proportionate, in that the application forms only request the minimum information necessary for the Director to make a decision on whether the applicant is eligible to be allocated Telephone Numbers, or to be allocated further telephone Numbers. It is transparent in that the Direction, and its effect, have been set out in this Statement. 1.7 In giving this Direction, the Director has considered the Community requirements set out in section 4 of the Act, in particular the requirement to promote competition in relation to the provision of electronic communications networks and electronic communications services, as numbers should be allocated to as wide a range of Communications Providers as possible, thus ensuring that users of Telephone Numbers have as wide a choice as possible in terms of services and Communications Providers. Also, the Director has considered the requirement to take account of the desirability of the Director carrying out his functions in a manner which, so far as practicable, does not favour - (a) one form of electronic communications network, electronic communications service or associated facility; or (b) one means of providing or making available such a network, service or facility, over another. In the Director’s view, numbers should be available equally to anyone who is eligible, and applications processed in date of receipt order, rather than by showing any preferential treatment to any particular Communications Provider. However, the Director does consider that only providers of Public Electronic Communications Networks or Services should be eligible for telephone numbers from the National Telephone Numbering Plan, which only contains numbers suitable for use in relation to such networks or services. 1.8 The Direction is contained in Annex A of this Statement.
Chapter 2Responses to the consultation2.1 Oftel received
4 responses to the consultation, two of which were confidential. The
non-confidential responses were from Cable & Wireless Plc and Orange,
and have been published on Oftel’s website. 2.2 The responses were generally in favour of Oftel’s proposal. However, concerns were expressed in some responses and these are addressed below. 2.3 The first concern was that the wording in the application forms suggested that Oftel would prefer to only allocate telephone numbers to providers of a Public Electronic Communications Network ("PECN"). They added that it appeared contrary to the wording in Condition 17 of the General Conditions of Entitlement, which stated that numbers could be allocated to Communications Providers, defined as ‘a person who provides an Electronic Communications Network or an Electronic Communications Service’. 2.4 The same respondent also expressed concern that the application forms stated that a provider of a Public Electronic Communications Service ("PECS") would not be allocated numbers unless they were unable to obtain a sub-allocation from a provider of a PECN. They believed this was ‘inconsistent with both the terms used in the General Conditions and the concept of replacing the old licensing regime with an authorisation model’. 2.5 Another respondent supported the original proposal of expecting providers of PECS to seek a sub-allocation from a PECN in the first instance. The respondent added that this would enable PECNs to ensure that numbers are used effectively and efficiently, and that it would allow PECNs to plan and manage network capacity and resources efficiently. Additionally, the respondent suggested that Oftel should clarify how a provider of a PECS would demonstrate they had unsuccessfully sought a sub-allocation of Telephone Numbers. 2.6 In response, in relation to the comment regarding General Condition 17, Oftel believes this is an incorrect reading of that condition. General Condition 17 enables Oftel to regulate the adoption and use of Telephone Numbers by all Communications Providers affected by the condition, but does not impose a duty on Oftel to allocate Telephone Numbers to all such Communications Providers in all cases. Oftel must also abide by its general duty to secure best use of numbers, and its other duties. To ensure efficient and effective use of numbers Oftel remains of the view that providers of PECSs would generally only be eligible for numbers where they have arrangements to have their service carried over a suitable network and where they have first sought a sub-allocation of numbers of a similar type to those for which they are applying. However, Oftel has amended the forms to make it clear that it is not mandatory in all cases for providers of PECSs to have first sought a sub-allocation of such Telephone Numbers. Oftel recognises that it is not always appropriate to seek such a sub-allocation. However, the forms now make clear in section A2 that Oftel would usually have expected providers of a PECS to have taken reasonable steps to obtain a sub-allocation of Telephone Numbers from a provider of a Public Electronic Communications Network, and where they have not taken such steps, they should provide a justification. Additionally, as stated above Oftel would normally expect to see that the provider has arrangements in place for its service to be carried over a network, and all applicants would need to demonstrate in their application how they met the criteria of being a provider of a PECN and/or a PECS. 2.7 One respondent commented that it would be helpful if the application forms could be provided on Oftel’s website in a non .pdf format to allow them to be completed electronically, and once completed, that they could be saved and e-mailed directly to Oftel's Numbering Unit. 2.8 In response, the current application forms have been made available on Oftel’s website in Word 97 format, and a specific e-mail address made available (indicated on the forms) to which application forms can be e-mailed. Oftel plans to offer the same facility for the revised forms, shown below. 2.9 Additionally, Oftel is currently working to develop an on-line numbering application system, ‘ONUS’. Full information on the development of this project can be found on Oftel web site at - http://www.oftel.gov.uk/ind_info/numbering/nudts.htm . 2.10 One respondent asked Oftel to confirm what (if any) information would be required in the first iteration for providers of PECNs that have already been acknowledged in that role. The respondent expressed particular concern about Section A.3 of the application forms which seeks information about interconnection arrangements. They added that it would be impractical to provide a network diagram where a provider of a PECN interconnected with several other providers of a PECN across many nodes. 2.11 In response, Section 4 of the application forms states that providers of a PECN who have previously supplied the Annex A information (or information equivalent to it) would not have to submit Annex A with that application. Oftel believes that the majority of providers of a PECN, that have already been allocated Telephone Numbers, would not have to provide the information requested in Annex A when applying for further Telephone Numbers of the same type. However, Oftel may investigate individually, any company that it does not believe to meet the criteria of being a provider of a PECN. In addition, in some cases the network may vary depending on the type of service offered eg. for Mobile numbers. 2.12 Further, in relation to the concern expressed about Section A.3 of the application forms – interconnection arrangements – Oftel believes that for the majority of providers of PECNs that currently have Telephone Numbers, this information would already have been provided. However, Oftel would expect new providers of a PECN to provide this information to help Oftel assess if the applicant is eligible to be allocated Telephone Numbers. Additionally, Section A3 suggests that a simple network diagram may be useful to accompany the application. This is not a specific requirement as part of the application, but would be helpful to Oftel for processing the application. 2.13 The same respondent raised a number of points about specific questions in the application forms. These points have been addressed below. 2.14 The respondent commented that the terms ‘range’ and ‘block’ have been used interchangeably within the forms, and that there should be consistency. In response, Oftel has updated the forms accordingly to ensure consistent terms are used where relevant. 2.15 Further the respondent commented that in Section 5 of each of the forms, the column allowing a request of reservation versus allocation has been removed - this is a valid status and the column should be re-instated. Oftel recognises that ‘reserved’ is a valid status. However, the application forms do not preclude Providers of a PECN or PECS from applying for a reservation of Telephone Numbers. This may be requested in supplementary information accompanying the application. Additionally, as Oftel rarely receives applications for a reservation of Telephone Numbers, the application forms have been designed to represent the majority of applications. 2.16 Section 5 of the application forms requires a forecast of Adoption of numbers over the second 12-month period. The respondent believed that as this was so speculative, it was largely worthless. Oftel believes that forecast figures for the second 12-month period are useful when processing applications for Telephone Numbers. Applications may indicate that for any particular provider of a PECN or PECS, some number ranges may not be utilised very quickly or to any high degree. Oftel may reject applications in such cases, and suggest more suitable Telephone Numbers that would help the applicant obtain a number allocation, and help Oftel ensure efficient number utilisation. 2.17 The respondent sought clarification on why Oftel required the National Signalling Point Code ("NSPC") of the switch where the number block applied for is to be located. Oftel only requests this information on the Geographic application form – Form S1. It is requested, in addition to the ‘switch name’, in order for Oftel to clarify exactly on which switch the number block applied for would be located. This helps Oftel ensure that the applicant is not building up blocks of the same Geographic Area Code on the same switch where there may be sufficient capacity available. Also, some applicants do not have a ‘switch name’ so providing the NSPC helps clarify the exact switch. 2.18 The respondent suggested that the wording for the section of the application forms that requests information on ‘Adoption of existing Telephone Number ranges’ could be better phrased. Oftel believes the current wording to be sufficiently clear and has therefore not changed the wording. 2.19 The respondent also suggested that alternative wording for clarity of the last paragraph of Section 7 of Form S1 (and the equivalent part of all the other application forms), and suggested that applicants only fill in the first four columns. Oftel believes that the current wording is sufficiently clear for applicants. The applicant does not need to fill in any columns if they are applying for the first block of any particular Geographic Area Code on a new switch. They would simply state that the block is for a new switch and that it is the first block applied for that Geographic Area Code on that switch. 2.20 The respondent requested that Oftel re-instate the Section 9 of the previous application forms that gave applicants the opportunity to provide supporting information. In response, Oftel needed to ensure that information requested in all Sections on the revised application forms was proportionate and justified. It is Oftel’s view that the ‘catch-all’ request in Section 9 of the previous application forms was unspecific. Section 9, therefore, has not been re-instated. However, applicants are not precluded from supplying material to support their application. 2.21 The respondent suggested that the wording in Section 5 of Form S1 which states ‘eg. 2X where at least 2 of the blocks are shown as allocated’ should be replaced with ‘eg. 2X where one or more of the blocks are shown as allocated’. That is not the case. Oftel considers that any range where one or no blocks are shown as allocated is considered a ‘non-opened decade’ for the purposes of number conservation. 2.22 The respondent was concerned about the wording used in Section 6 of Form S1 about number blocks used for DDI. The respondent stated that it did not dedicate particular number blocks to DDI as that represented inefficient numbering husbandry. The respondent was concerned that ‘Oftel was labouring under the misapprehension that applications would be made for blocks specific to DDI’. The respondent suggested a series of ‘tick-boxes’ about specific number block usages. 2.23 Further, the respondent questioned the requirement in Section 6 of Forms S8 and S9, to provide information on the service to be provided and the market to be served for each number block applied for. The respondent believed that this section could do little more than re-affirm that the block will be used as per the National Telephone Numbering Plan, which the applicant is legally bound to do. They suggested that Section 6 be deleted. 2.24 In response, Oftel agrees that the applicant is legally bound to use any Telephone Numbers allocated to it as per the National Telephone Numbering Plan. However, consistent with its duty to secure best use of numbering, Section 6 of Form S1 (and the equivalent section in the other application forms) helps Oftel establish at the outset whether the applicant intends to use the numbering for the relevant service as set out in the National Telephone Numbering Plan. Additionally, if Oftel believed that the numbering applied for was not the most suitable for the stated service, eg. in terms of number conservation, Oftel could suggest alternative numbering. 2.25 Further, the Section only asks applicants to briefly describe how the numbering applied for would be used. Oftel has not requested applicants to be specific about every single number applied for, and has only used the term ‘DDI’ as example to applicants on how some of the numbers might be used. Oftel has therefore not deleted Section 6. 2.26 The respondent commented that on Forms S8 and S9, a maximum of 15 number blocks might be applied for, whereas on Form S1 a maximum of ten number blocks might be applied for. They suggested, for consistency, that ten be used on all forms. In response, the maximum number of blocks that might be applied for varies across forms because the degree of, and complexity in processing applications varies for different types of numbering eg. an application for Geographic numbering typically involves more detailed processing than an application for ‘08’ numbering. 2.27 The respondent suggested it might be more appropriate to use the term ‘non-Adopted numbers’ rather than ‘non-utilised numbers’, in Section 7 of Forms S8 and S9. In response, Oftel agrees with the respondent and has made the necessary change. 2.28 The respondent suggested that on the first page of Form S10, the text ‘Oftel has also set aside two specific ranges of Access Codes’ should read ‘Oftel has also set side two specific categories of Access Codes’. 2.29 In response, Oftel agrees with the respondents’ suggestion, and has updated Form S10 accordingly. 2.30 The respondent suggested that to make Section 5a, clause iii) of Form S10 consistent with Section 5b, that 5a should read ‘a maximum of 3 Access Codes should be applied for on this form’. In response, Oftel believes that the wording in Section 5a should read ‘’apply for a maximum of 3 Access Codes on this Application Form’. Oftel has updated Form S10 accordingly. 2.31 The respondent did not understand why, in Section 5a of Form S10, there was a column where Oftel required the applicant to state the National Signalling Point Code of the switch on which the Indirect Access Code was to be deployed. The respondent added that, in the case of its own network, Indirect Access Codes are built on every switch handling Indirect service, and so to answer the question, information would have to be submitted about every switch in the field provided. The respondent proposed that the column be removed. 2.32 In response, Oftel understands that for larger providers of a PECN, the Indirect Access Codes would typically be built on every switch handling Indirect service, and that for such Providers it might be too onerous a task to provide the NSPC of every relevant switch. Oftel would expect that where the Indirect Access Code would be used over more than one switch, only one NSPC would need to be stated. 2.33 Further, Oftel has not deleted the relevant column from Form S10 because the information helps Oftel to establish exactly on which switch the Indirect Access Code will be deployed, and who the owner of the switch is. This information is particularly useful where an applicant would be using the Indirect Access Code on another Providers’ network to ensure that it is a legitimate Interconnecting switch.
Direction Direction under paragraph 17.9(a) of the Condition WHEREAS- A. paragraph 17.9(a) of the Condition provides that when applying for an Allocation or reservation of Telephone Numbers, the Communications Provider shall use an appropriate application form as directed by the Director from time to time as he thinks fit; B. for the reasons set out in the Statement accompanying this Direction the Director is satisfied that the application forms in the Annex to this Direction are appropriate for use by Communications Providers when applying for an Allocation or reservation of Telephone Numbers; C. for the reasons set out in the Statement accompanying this Direction the Director is satisfied that this Direction is:
D. for the reasons set out in the Statement accompanying this Direction the Director is satisfied that he has acted in accordance with the relevant duties set out in Section 4 of the Act; E. a notification of a proposal to give this Direction was given in anticipation of the entry into force of section 49(4) of the Act on 24th June 2003 (the ‘Notification’); F. A copy of the Notification was sent to the Secretary of State in accordance with section 50(1)(b) of the Act; G. By virtue of the Communications Act 2003 (Commencement Order No.1) Order 2003 made under sections 411 and 408 of the Act:
H. in the Notification and accompanying consultation document the Director invited representations about any of the proposals therein by 16th July 2003; I. By virtue of section 49(9) of the Act, the Director may given effect to the proposal set out in the Notification, with or without modification, only if-
J. the Director received responses to the Notification and has considered every such representation made to him within the period specified in the Notification and accompanying consultation document and these representations are discussed in Chapter 2 of the Statement accompanying this Direction; and the Secretary of State has not notified the Director of any international obligation of the United Kingdom for this purpose; NOW, THEREFORE, THE DIRECTOR, PURSUANT TO PARAGRAPH 17.9(a) OF THE CONDITION, HEREBY DIRECTS THAT- 1. for the time being the applications forms in the Annex to this Direction shall be those to be used by Communications Providers when applying for an Allocation or reservation of Telephone Numbers. 2. in this Direction- ‘the Act’ means the Communications Act 2003; ‘Allocation’ shall have the same meaning as in the Condition; ‘Communications Provider’ shall have the same meaning as in the Condition; ‘the Condition’ means General Condition 17 of the General Conditions of Entitlement set by the Director on 22 July 2003 pursuant to section 45 of the Act by way of publication of a Notification pursuant to section 48(1) of the Act; ‘Telephone Number’ shall have the same meaning as in paragraph 1 of Part 1 of the Schedule to the Notification published by the Director on 22 July 2003 under section 48(1) of the Act; 3. Except in so far as the context otherwise requires, words or expressions shall have the meaning assigned to them. Otherwise, any word or expression shall have the same meaning as it has-
4. The Interpretation Act 1978 shall apply as if this Direction were an Act of Parliament. 5. Headings and titles shall be disregarded.
DAVID ALBERT EDMONDS DIRECTOR GENERAL OF TELECOMMUNICATIONS 24 July 2003
Telephone numbering application forms
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