E-rate Form 470 - ASL Home Page

Document Sample
E-rate Form 470 - ASL Home Page Powered By Docstoc

       Presented by
 Becky Rains & Paul Waits

                    Pre Applicant Check List
 Do update your contact information with the Client
  Services Bureau (1-888-203-8100)
 DO make sure your technology plan covers the complete
  funding year
 Do verify that your technology plan has the 5 required
  elements: Goals, Professional Development, Needs
  Assessment, Budge, and Evaluation Process
 Do create or write your technology plan before filing the
  form 470
 Do have a USAC-certified technology plan approver
  certify you technology plan before services start
                  Pre Applicant Check List:
                Schools Tech Plan Approver

 Wilma Toombs
 Title: Program Advisor
 Address: 6020 Ranch Blvd.
  Suite – 8
 Little Rock, AR 72223
 Phone: (501) 682-1286
 Fax: (501) 371-1942

 E-Mail: Wilma.Toombs@arkansas.gov
           Pre Applicant Check List: Public
             Library Tech plan approver
Sally Hawkes
Title: Network Services, AR. State
Address: One Capitol Mall
 Little Rock, AR 72201
 Phone: (501) 682-6052
Fax: (501) 682-1531

E-Mail: shawkes@asl.lib.ar.us
Check out the USAC Applicant Checklist at:
sheets/applicant-checklist.pdf for more great tips!
                                     Form 470
Form 470 – Services Requested
Filed by applicants to define desired services and
open the competitive bidding process
Must be posted on the USAC website for at least
28 days before selecting service provider and/or
signing a contract
Form 470 request must be based on the
technology plan
Applicants can also issue a Request For
Proposal (RFP), which must also be available for
at least 28 days
                                      Form 470
Multi-year or annual posting
 Can be filed once for multi-year contracts or contracts
  with voluntary extensions, but Form 470 and RFP must
  indicate intent
 Tariffed or month-to-month services must post Form 470
 Service providers are prohibited from filing and signing
  Form 470 or representing applicant in bidding process
                                          Form 470
Competitive Bidding
– The applicant must conduct a fair and open bidding process
     All bidders are treated the same
     All bidders have equal access to information
     All bidders know what is required of them
– The applicant must choose the most cost effective offering with
   the price of eligible products and services being the primary
For practice or training you may use:
             Receipt Notification Letter
Receipt Notification Letter (RNL)
 Issued by USAC after Form 470 is posted
 Provides important information
  — Allowable Vendor Selection/Contract date
  (28 days after posting)
 Offers opportunity to make allowable corrections

                                       Form 471
Form 471 – Services Ordered
 Contains specific information on services ordered,
  quantities, from whom at what price
 Shows discount rate calculation and lists entities
  receiving services
 Applicant certifies compliance with rules and verifies that
  it has the necessary resources to make effective use of
  the discounted services
 Must be filed each year within the filing window
 http://usactrain.solixinc.com
                                    Form 471
 Service providers are encouraged to:
  — Provide guidance to the applicant on its services and
  — Assist with providing information for the Item 21
  attachment and other information
 Service provider should always provide correct SPIN and
  contact information
 Service providers should avoid any involvement in the
  bidding process except as bidders and should not
  answer any questions regarding the bidding process
             Funding Requests / 471
• Form 471 Deadline
  • Must be filed online or postmarked on or
    before the close of the Form 471
    application filing window.
  • Forms 471 filed after the close of the
    window will be considered after all Forms
    471 filed in-window.
  • Certifications for associated Forms 470 also
    must be filed online or postmarked before
    the close of the window.
                       FORM 471
  – Billed Entity Information
  – Impact of Services Ordered on Schools
  – Impact of Services Ordered on Libraries
  – Discount Calculation Worksheet
      • lists Recipients of Service
  – Funds requested, Service Provider, Contract
  – Certifications
              Funding Requests / 471
                                    Applicant Tips

• Remove ineligible costs from funding
   • Document ineligible costs carefully
   • 30% rule – if 30% or more of the dollar
     value of the request is for ineligible
     products and services, the entire request
     will be denied
• Work with your service provider(s) to
  create your Item 21 attachment(s)
            Funding Requests / 471
                                Applicant Tips

• Enter recurring and non-recurring
  costs carefully in the cost summary
  of each Funding Request
  • Recurring costs ALWAYS must be received
    by June 30 of the Funding Year.
  • Non-recurring costs must be received by
    September 30 following the Funding Year,
    and this deadline can be extended under
    certain circumstances
              Funding Requests / 471
                                     Applicant Tips

• Don’t combine Priority 1 and Priority
  2 requests on the same Form 471.
   • Review of Priority 2 requests may hold up
     Priority 1 commitments.
• File (and certify) online
   • Reduces errors and speeds processing
   • USAC will issue you a PIN after successful
     certification of your Form 471 if you do not
     already have one.
   • http://usactrain.solixinc.com

               Item 21 Attachment Overview

Several different formats are possible for
 the Item 21 Attachment. However, the
 Item 21 Attachment generally consists
 of these parts:
 Narrative overview or description
 Line item detail of the products and services
 Any additional details, if needed, such as
  equipment locations or other information to
  support the funding request
               Item 21 Attachment Overview

Applicants often receive the assistance of
  service providers in creating the Item 21
  Attachment, which can be one or more of
  the following:
 An online submission
 Applicant-provided documentation
 A quote or bill from the vendor
 A copy of the contract for the service
               Item 21 Attachment Overview

Narrative description. The narrative
  description should be a summary that
  allows USAC to understand the objective
  of the funding request. For example:
 "Additional E-mail servers for three
 "Internet access for new library branch"
 "New data distribution equipment to
  replace old equipment"
                       Additional Information to
                    Include in Item 21 Attachments

 "The Web hosting service does not include any ineligible
  content creation services."
 "The memory upgrade requested will be installed in an
  eligible e-mail server."
 "The multiple T-1 lines are not redundant or duplicative
  and are required for the bandwidth needs of the
 "The training requested consists of basic instruction in
  the use of eligible equipment. It is directly associated
  with the purchase of this equipment and is part of the
  same contract. No end-user training is being provided."
                     Additional Information to
                  Include in Item 21 Attachments

For example, the following information submitted
  without further details would NOT be sufficient for
  USAC to make a positive funding determination

  (5) routers @ $16,000 each
  Technical services for above products @
                       Additional Information to
                    Include in Item 21 Attachments
In this example, USAC would need to request further
   information about the specific products being purchased
   and the details of the requested technical services.
   USAC also may request copies of vendor quotations, a
   specific listing of the modules or specifications for a
   product, and/or copies of contracts.
  Applicants benefit if funding requests are accurately
  described in sufficient detail on the Item 21 Attachment.
  Applicants should check the Eligible Services List and
  other documents available on the USAC website to
  understand the eligibility requirements for the products
  and services being requested. The most complete Item
  21 Attachments will indicate compliance with the
  conditions of eligibility as indicated in the Eligible
  Services List. For example:
                  How to File the Item 21

An online system is available for creating
  and submitting Item 21 Attachments. (In
  the menu of choices for Form 471, choose
  "Item 21 Attachment.").
A training site for this system is also
                                 How to File the Item 21
Alternatively, the Item 21 Attachment can be manually submitted to USAC by e-
    mail, fax, U.S. mail, or courier, or as part of a manually filed Form 471
    application. The attachment should include this information:

 A label of "Form 471 Item 21 Attachment"
 The applicant's name
 The Attachment Number specified on Form 471 for the Item 21

If the Item 21 Attachment is being submitted separately from the Form
    471, then the Attachment or a cover letter must also include:

 The applicant's Billed Entity Number
 The Form 471 application number if one was assigned through
  electronic filing or the Form 471 Applicant Form Identifier if the Form
  471 was filed on paper
                          How to File the Item 21

The Item 21 Attachment must be received before USAC can
  begin review of a Form 471 application. While the Item
  21 Attachment does not need to be submitted within the
  "Form 471 filing window," it must be filed in a timely
  fashion so that USAC can review the information and
  make a determination of product and service eligibility.

  If at the time of application review, the reviewer fails to
  see that an Item 21 Attachment has been filed, they may
  contact the applicant and request that this information be
  provided via the online system, or directly to the reviewer
  by e-mail or fax. In other cases, manually filed Item 21
  Attachments should be submitted in either of the
  following ways.
                            How to File the Item 21

You may send submissions via E-mail.
Do not send submissions other than Form 471 Item 21
  Attachments to this e-mail address. Documents may be
  sent in most commercially available word processing or
  spreadsheet formats. Scanned documents may also be
  sent. (TIF file format is preferred.) Total file size of the e-
  mail message must be less than 10 Megabytes. If you
  have more than one Form 471 application, do not
  combine Item 21 Attachments from other Form 471
  applications in the same e-mail message.

                              How to File the Item 21
• Send fax submissions to (973) 599-6511. Do not send submissions
  other than Form 471 Item 21 Attachments to this fax number.

• Send U.S. mail submissions to
Universal Service Administrative Company,
Form 471, P.O. Box 7026,
Lawrence, KS 66044-7026.

• For courier delivery services or U.S. Postal Service Return Receipt
  Requested, send to
Universal Service Administrative Company,
ATTN: SLD-Form 471,
3833 Greenway Drive,
Lawrence, KS 66046.
Program Integrity Assurance (PIA) checks for
  compliance with program rules, eligibility of
  entities and services, verification of service
• Provide complete and prompt (within 15 days)
  responses to PIA’s questions
• Ask for clarification if you don’t understand
• Service providers can assist applicants in
  responding to PIA questions about the products
  and services they are providing but not about
  other areas
All Form 471 applications are reviewed for:
Entity Eligibility
Discount Accuracy
Eligible Products & Service
Compliance with Program Rules
              Applicants can help speed up
                 application reviews by:

• Submitting a complete Form 471 including
  required certifications and Item 21
  Attachments for each funding request
• Responding to requests for additional or
  clarifying information within 15 days
• Verifying that USAC has correct contact
Following application review, USAC issues
one or more Funding Commitment Decision
Letters (FCDLs) to both the applicant and
the service provider(s).
Program funding commitment decisions are issued
in "waves," or regular cycles. Generally, funding year
commitment waves will run on a regular bi-weekly schedule
until such time that the only remaining applications are
those held for heightened scrutiny.
For all certified, in-window applications, FCC rules
  of priority are observed in processing funding
• Priority One - all eligible telecommunications
  and Internet access services are fully funded
• Priority Two - eligible requests for internal
  connections and basic maintenance of internal
  connections from applicants with highest
  discount levels receive next priority
Applicants should carefully review their Funding
    Commitment Decision Letter (FCDL) for details of
    approved or denied requests. Prior to the start of
    services for which Universal Service Fund support is
    approved, the applicant should review its technology
    plan status and its status concerning compliance with the
    Children's Internet Protection Act (CIPA)
If an applicant believes that its funding request has been
    incorrectly reduced or denied, the applicant can appeal
    the decision to USAC or to the FCC.

                 Begin Receipt of Services

• Before USAC can pay invoices, the billed
  entity must confirm: the start date of
  services, approval of the technology plan,
  and compliance with the Children's
  Internet Protection Act (CIPA).
• To help USAC ensure that Universal
  Service Fund support is paid only for
  services that have actually been delivered,
  applicants must verify the start date of
  services and submit a Receipt of Service
  Confirmation Form (Form 486).
                                       Form 486
Form 486 – Services Confirmed
 Notifies USAC that services have started and invoices
  can be paid
 Applicant certifies that its technology plan meets
  program requirements
 Applicant certifies its status under Children’s Internet
  Protection Act (CIPA)
                                Form 486
Technology plans must be approved before
  services start and before the applicant
  submits the Form 486. Applicants must be
  able to provide a technology plan approval
  letter issued by a USAC-certified technology
  plan approver. If the approval letter is posted
  on a website, the applicant should print and
  retain a copy.
                                                    Form 486
CIPA certifications are made on either Form 486 or the Certification by
   Administrative Authority to Billed Entity of Compliance with the Children's
   Internet Protection Act (Form 479) depending on whether the applicant is
   the billed entity.
•If the applicant is the billed entity, it must certify on Form
486 that it is in compliance with CIPA or that CIPA does
not apply because funding requests are only for
telecommunications services.

•If the applicant is not the billed entity, it must submit
Form 479 to the billed entity; the billed entity, as the
Administrative Authority, then submits Form 486 to USAC
with the CIPA certification. Applicants that are not the
billed entity do not submit Form 479 to USAC.
                                     Form 486
Form 486
 Filed online or postmarked no later than
  — 120 days after the Service Start Date or
  — 120 days after the date of the FCDL, which ever is
 There may be a penalty for filing late
 Service Start Date
  — Cannot be before July 1 of the funding year

                               Form 486
• Form 486 Review
  – CIPA compliance
  – Approved Technology Plan

• Form 486 Approval