E-RATE Consortium of Indiana Public Libraries for Filing Form

E-RATE Consortium of Indiana Public Libraries for Filing Form 470 July 1, 2006 to June 30, 2007 Overview • Schools and Libraries Program • Provides discounts to eligible schools and libraries for Telecommunications Services, Internet Access, Internal Connections, and Basic Maintenance • Applicants can be schools, libraries, or consortia, but only eligible recipients of service can receive discounts • Applicants must apply for discounts each year (Form 471 application filing window) • Funding cap each year is $2.25 billion 2 Overview • Form 471 Application Filing Window • Issues that affect window for FY2006 • Release of final Eligible Services List by the Federal Communications Commission (FCC) • Special Katrina window • Applicants – File Form 470 now • Receipt of recurring services • July 1 – June 30 (12 months) • Receipt of non-recurring services • July 1 – September 30 (15 months) 3 Overview • Forms and Letters for Applicants • Technology plan • Letter from ISL indicating technology plan is acceptable • Form 470 – AdTech will file this form • Receipt Notification Letter (RNL) • (Only AdTech will receive this letter, you will be notified by email • Form 471 – Library will file this form • Receipt Acknowledgment Letter (RAL) • Funding Commitment Decision Letter (FCDL) • Form 486 – Library will file this form • Form 486 Notification Letter (486NL) • Form 472 or Form 474 – Library will choose and file this form • BEAR Notification Letter — Form 472 only • Quarterly Disbursement Report 4 Overview • Forms and Letters for Providers • Form 498 – Service provider files for SPIN • Notification by e-mail • Form 499-A – Telecommunications Carriers file • Notification by e-mail or telephone • Receipt Acknowledgment Letter (RAL) • Funding Commitment Decision Letter (FCDL) • Form 473 – Service provider files for annual certification • Form 486 Notification Letter (486NL) • Form 472 or Form 474 • BEAR Notification Letter / Invoice Status Report • Electronic notification 5 Eligibility Applicants • Eligible Entities - Libraries • Must meet the statutory definition of library or library consortium in the Library Services and Technology Act (LSTA) of 1996. • Must be eligible for assistance from Indiana State Library under LSTA. (meet Indiana public library standards) • Budget must be completely separate from that of any schools. • Must not be operating as for-profit businesses. 6 Eligibility Applicants • Consortia • Eligible libraries may form consortia with • Other eligible libraries • Only eligible entities can receive discounts • ISL opted to only file the form 470 for the consortia; AdTech has been contracted to file form 470 7 Eligible Services Libraries • Priority 1 – funded first • Telecommunications Services • Basic telephone service — wire line or wireless phone service (local, cellular/PCS, and/or long distance) • Voice mail • Transmission services (T-1, DSL) • Internet Access • Basic conduit access to the Internet 8 Eligible Services Libraries • Priority 2 – library to file separately for all priority 2 requests • Internal Connections (switches, hubs, routers, wiring) • Basic Maintenance on Internal Connections • Priority 1 funded first, then Priority 2 begins with neediest applicants (90% first, then 89%, 88%, etc.). • Internal Connections funded in only two out of five funding years. 9 Eligibility Applicants • Examples of Non-instructional Facilities (NIFs) that can receive Priority 1 services LIBRARIES: • Administrative buildings • Bookmobile garages • Interlibrary loan facilities • Library technology centers 10 Eligibility Applicants • Educational Purposes – Priority 1 • Wireless Telecommunications Services used offsite may be eligible. For example, • Library staff providing library services on a library’s mobile library unit van 11 Eligibility Applicants • Educational Purposes – Priority 2 • Priority 2 services to NIFs are NOT eligible unless those internal connections are essential for the effective transport of information to a non-administrative building of a library. 12 Technology Planning Applicants • Technology Plans • Not required for basic telephone service • Must be written before Form 470 filing • Must be approved by a certified approver before the Form 486 is filed or discounted services start, whichever is earlier • Must cover all 12 months (or all months of service) • Must cover five specific elements 13 Technology Planning Applicants • Technology Plans • Must cover five specific elements: • Goals / Strategies for using technology • Professional development • Needs assessment • Sufficient budget • Evaluation process 14 Technology Planning Applicant Do’s and Don’ts • DO write your technology plan before submitting your Form 470. • DO make sure your technology plan covers and is approved for the entire period (usually 12 months) that discounted services will be delivered. • DO make sure that your technology plan approver is certified by USAC. • DO verify that your certified approval is dated before services begin and before your Form 486 is filed. • DO verify that your plan contains all five required elements. 15 Technology Planning Applicant Tips • Use each required area as a heading in your plan and address that area under the heading. • PRINT A COPY of your certified approval for your records. • Make sure your technology plan is approved for the entire period (usually 12 months) that discounted services will be delivered. • Prepare a technology plan if any of your services fall outside of basic telephone service (such as Centrex, PBX, T-1). 16 Competitive Bidding / 470 Applicants • Filing Form 470 opens a competitive bidding process. • Can also issue a Request for Proposals (RFP). • Applicants are responsible for ensuring an open and fair process and selecting the most cost-effective provider of the desired services. 17 Competitive Bidding / 470 Applicants • Request for Proposal (RFP) • Not required under FCC rules, but a good idea • Must comply with local and state procurement laws • Describes your project scope, location, other requirements in detail • Even if you have an RFP, you must describe the services you desire on your Form 470. 18 Competitive Bidding / 470 Applicants • Competition • Goal is to have as many bidders as possible • Promotes better service and lower prices • Fair and open process • • • • All bidders treated the same No advance knowledge of RFP information No secrets in the process All bidders know what is required of them. 19 Competitive Bidding / 470 Applicants • Form 470 Deadline • Absolute deadline is 28 days before the close of the Form 471 filing window. • However, if the applicant waits until that date to file a Form 470, the following must all occur on the last day of the window: • Selecting a service provider • Signing a contract • Signing, dating and submitting Form 471. 20 Competitive Bidding / 470 Applicants • Selecting service providers • Applicants must choose the most costeffective solution to their Form 470 or RFP, with price as the primary factor • Other factors can be considered, but price must be the most heavily weighted. • Evaluation process should be carefully documented and that documentation must be maintained. 21 Competitive Bidding / 470 Applicant Do’s and Don’ts • DO run an open and fair competitive bidding process. • DO wait at least 28 days before selecting your service provider. • DO certify your Form 470 promptly. • DO indicate a multi-year contract or contract with extensions if appropriate. 22 Competitive Bidding / 470 Applicant Do’s and Don’ts • DO list services sought in the correct category of service. • If USAC moves your request to another category of service, your Form 470 must have featured that category of service. • DO use price as the primary factor when selecting the most costeffective solution 23 Competitive Bidding / 470 Applicant Tips • Retain worksheets, bid evaluation criteria, winning AND LOSING bids • Prepare a memo to file if you received only one bid or no bids • File (and certify) online • Reduces errors and speeds processing • USAC will issue you a PIN after successful certification of your Form 470 if you do not already have one. 24 Competitive Bidding / 470 Applicant Tips • Applicant Personal Identification Numbers (PINs) • Will be issued by secure mailer to all authorized persons on FY2005 Forms 470, 471 and 486. • Will be automatically issued to any new authorized persons filing FY2006 Forms 470, 471 and 486. • After accepting Terms and Conditions, can be used immediately to certify online. 25 Competitive Bidding / 470 Applicants • Form 470 Receipt Notification Letter (RNL) • Cover page of important reminders • Notifies applicant that Form 470 has been posted to the USAC web site • RNL generated before certification • Contains Allowable Vendor Selection / Contract Date 26 Calculating Discounts Applicants • Discounts are calculated using • Percentage of students eligible for National School Lunch Program (NSLP) • Urban or rural status of county in which school or library is located (from web site) • These two pieces of information are carried into the Discount Matrix 27 Calculating Discounts Applicants Discount Matrix % Eligible Students Less than 1% 1% - 19% 20% - 34% 35% - 49% 50% - 74% 75% - 100% Urban 20% 40% 50% 60% 80% 90% Rural 25% 50% 60% 70% 80% 90% 28 Calculating Discounts Applicants • Calculation for library system • Determine discount for each individual outlet/branch in the library system • Calculate the simple average of the discounts for all outlets/branches in the library system 29 Calculating Discounts Applicants • Non-instructional facilities (NIFs) are eligible for their library system discount • Online - calculate library system discount, then enter that discount for each NIF (―nonmatrix discount‖) 30 Funding Requests / 471 Applicants • Form 471 – Library will file • Provides specific information on services, service providers selected, and contracts • Provides discount calculation information • Must be filed for each funding year • Contains certifications of compliance • Includes one or more funding requests 31 Funding Requests / 471 Applicants • Form 471 Deadline – Library’s responsibility • 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. 32 Funding Requests / 471 Applicants • Contracts – Consortium contract signed with ISL • Applicants and service providers must sign contracts for services that are not provided under tariff or under month-to-month arrangements • Contracts can cover more than one year or contain extensions, but applicant must indicate these options in the Form 470 33 Funding Requests / 471 Applicants • State Master Contracts • If the state filed a Form 470, then the applicant can cite the state’s Form 470 on its Form 471 Funding Request. • If the applicant filed a Form 470, the applicant can consider a state master contract as one of the bids, and can choose it as the winning bid if it is the most costeffective solution. • The state master contract can meet the FCC requirements for a signed contract. 34 Funding Requests / 471 Applicant Do’s and Don’ts • WAIT AT LEAST 28 DAYS BEFORE • • • • Selecting a service provider Signing a contract Signing and dating the Form 471 Submitting the Form 471 • These actions must occur in this order. • Refer to 470 RNL for allowable date. • Both applicants and service providers must sign and date all contracts. 35 Funding Requests / 471 Applicant Tips • Remove ineligible costs from funding requests – file only Internet cost on 471 for consortium contract • 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) – This will be done with AdTech and placed on ISL website for you to download 36 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 37 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. 38 Funding Requests / 471 Applicants • Form 471 Receipt Acknowledgment Letter (RAL) • Cover page of important reminders • Provides confirmation of certain information entered from Form 471 • Data entry errors may be corrected within three weeks by using the RAL (including Block 4 worksheets) • Applicants can request funding reductions but not funding increases 39 Application Review Applicants • Forms 471 are reviewed by Program Integrity Assurance (PIA) for compliance with program rules concerning areas such as: • • • • • • • Competitive bidding process Contracts Discount calculation Sufficient budget Establishing Form 470 Technology plan Children’s Internet Protection Act 40 Application Review Applicant Tips • Provide information to PIA promptly • Work with your service provider to comply with information requests. • Make sure your answers respond completely to the questions asked. • Ask for more time to respond if you need it. • However, if you ask for more time, your PIA representative will work on other applications and you may wait longer for a decision. • Check the 471 Application Status Tool. 41 Funding Commitments Applicants • Funding Commitment Decision Letter (FCDL) • Cover page of important reminders • Reports status of individual funding requests: • Funded • Not funded • As yet unfunded (Priority 2 requests) • Service provider does not receive this status • Cancelled • May receive more than one FCDL 42 Funding Commitments Applicant Tips • Check all entries on the FCDL carefully to make sure there are no data entry errors. • Use the information on the FCDL to prepare your Form 486. 43 Starting Services / 486 Applicants • Form 486 • Notifies USAC that services have started and invoices can be paid • Certifies that Tech Plan (if required) meets program requirements. • Certifies the status under Children’s Internet Protection Act (CIPA). • Lead members of consortia may be required to collect CIPA certifications from consortium members on a separate form (Form 479). 44 Starting Services / 486 Applicants • Children’s Internet Protection Act • Applicants must certify compliance with requirements: • Internet safety policy • Public notice or meeting • Technology protection measure (filter) • CIPA does not apply to Telecommunications Services, but applicant must still certify that it receives only those services 45 Starting Services / 486 Applicants • Form 486 Deadline • Form 486 must be filed online or postmarked no later than • 120 days after the Service Start Date OR • 120 days after the date of the FCDL whichever is later. • If the Form 486 is late, the date 120 days before the Form 486 online filing or postmark date will become the start date for discounted services and funding may be reduced. 46 Starting Services / 486 Applicants • Form 486 Service Start Date • USAC may adjust the Service Start Date in order to comply with program rules: • • • • Form 486 filed after the deadline Technology plan approval issues CIPA compliance issues Conflict with Form 470 allowable contract date • The adjusted date is the earliest date that discounted services may be provided. • Invoices for services provided before that date will not be paid. 47 Starting Services / 486 Applicants • Form 486 Service Start Date • Cannot be before July 1 of the funding year. • Can be as early as the date that the service provider ships the product to the applicant — or earlier, depending on the arrangements between the applicant and the service provider and/or the terms of the contract. 48 Starting Services / 486 Applicants • Form 486 Notification Letter (486NL) • Cover page of important reminders • Provides confirmation that a Form 486 has been successfully data entered. • Reports Service Start Date or Adjusted Service Start Date • USAC will accept invoices from applicants (Form 472) or service providers (Form 474) once the Form 486 is certified. 49 Starting Services / 486 Applicant Tips • VERIFY THE SERVICE START DATE YOU REPORT. • Also verify any adjustment on the 486NL. • Work with your service provider to file your Form 486 so that neither you nor the service provider is disadvantaged. • Initiate an Invoice Check if you want to monitor the invoices (Forms 474) your service provider sends to USAC. 50 Starting Services Applicants • Obligation to Pay Non-discount Share • Applicants are required to pay their share of the cost (the ―non-discount‖ portion or share) — this share cannot be donated, forgiven or ignored. • Service providers cannot waive or credit the applicant’s share. • Offers to reduce price must be incorporated into the ―total pre-discount amount.‖ • Service provider must bill the applicant for non-discount share of services. 51 Starting Services Applicants • Service delivery deadlines • Recurring Services (June 30) • Non-recurring Services (September 30) • Deadline automatically extended to September 30 of the following year for FCDLs, service substitution approvals, and SPIN change approvals dated on or after March 1 of the funding year. • Applicants can also request extensions for specific reasons involving difficulties with delivery of services by service provider. 52 Invoicing / 472 or 474 Applicants • BEAR (Billed Entity Applicant Reimbursement) Form 472 is filed by the applicant and certified by the service provider after the applicant receives services and pays for the services in full. • SPI (Service Provider Invoice) Form 474 is filed by the service provider after providing services and billing the applicant for its non-discount share. 53 Invoicing / 472 or 474 Applicant Do’s and Don’ts • Form 472 (BEAR Form) • DO verify that your service provider has signed the last page of the form before you submit it. • DO check your calculations. • Make sure you have service provider bills that agree with your reimbursement request. • Form 474 (SPI Form) • DO make sure you have paid your nondiscount share. 54 Invoicing / 472 or 474 Applicants • Invoicing deadlines • Form 472 or 474 must be filed online or postmarked no later than • 120 days after the last date to receive service OR • 120 days after the date of the 486 NL whichever is later. • If the invoice is late, payment will be denied. • Extensions of invoicing deadlines may be requested under certain conditions. 55 Invoicing / 472 or 474 Applicants • BEAR Notification Letter • Cover page of important reminders • Provides confirmation that a Form 472 has been successfully data entered. • Indicates what amounts are being paid and reasons for reductions or denials. • Invoice Status Report / E-notification • Indicates what amounts are being paid and reasons for reductions or denials. • Sent only to service providers. 56 Invoicing / 472 or 474 Applicants • Quarterly Disbursement Report • Sent only to applicants • Authorized person • Billed Entity (BEN) address. • Contains all invoice (Form 472 and Form 474) payment authorization amounts for the Billed Entity for all funding years approved during that quarter. 57 Appeals Applicants • USAC decisions can be appealed to USAC or to the FCC. • Generally, appeal first to USAC. • Can appeal to the FCC if USAC does not grant the appeal. • Can be filed electronically or on paper. • Must be filed electronically or postmarked within 60 days of the USAC decision. • Requests for waivers of rules must be filed with the FCC. 58 General Tips Applicants • If you submit something to USAC: • • • • Check your work Sign and date it (online or on paper) Submit it by the deadline Keep a copy and proof of submission • If USAC sends something to you: • Read it • Take all appropriate actions • Save it 59 Assistance Applicants • Schools and Libraries / USAC web site • Client Service Bureau • Use the ―Submit a Question‖ link on the web site • Fax toll-free at 1-888-276-8736 • Telephone toll-free at 1-888-203-8100 • Form instructions • Indiana State Library – Library Development Office at 1-800-451-6028 60 • Review slides from USAC SLD presentations around the country for • • • • ABC’s of Erate Program Compliance New and Updated Systems Enhancements Eligible Products and Services www.sl.universalservice.org