Transcript PowerPoint Template - Forms (CDE Intranet)
TOM TORLAKSON
State Superintendent of Public Instruction
E-Rate for California Intermediate/Advanced Applicants
Intermediate/Advanced Presentation I 2011 California Department of Education 1
TOM TORLAKSON
State Superintendent of Public Instruction
Agenda
1. General Info 2. E-rate Technology Planning 3. Discount Calculations 4. Eligible Services 5. Forms 470/471 6. Procurement/Competitive Bidding 7. Program Compliance and Updates 8. E-rate Gift Rules 9. Post-Commitment Processes 10. Appendices
A.
B.
C.
D.
E.
California Teleconnect Fund (CTF) Alternative Discount Mechanisms Interconnected VoIP Invoice Reconciliation Prepare a Form 471 Intermediate/Advanced Presentation I 2011 California Department of Education 2
General Information about E-rate
TOM TORLAKSON
State Superintendent of Public Instruction
The role of CA Dept of Ed and State Library
CDE & State Library have no statutory authority to administer the federal E-Rate program CDE & State Library only provide general information about the E-Rate program including: training and outreach, reference materials, and other publicly available SLD/USAC resources Intermediate/Advanced Presentation I 2011 California Department of Education 3
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction Technology Planning FCC Form 470 & RNL Competitive Bidding FCC Form 471 & RAL Application Review & FCDL FCC Form 486 FCC Forms 472 (BEAR) & 474 (SPI) Intermediate/Advanced Presentation I 2011 California Department of Education 4
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
E-Rate Technology Planning
Intermediate/Advanced Presentation I 2011 California Department of Education 5
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction
Technology Planning
FCC Form 470 & RNL Competitive Bidding FCC Form 471 & RAL Application Review & FCDL FCC Form 486 FCC Forms 472 (BEAR) & 474 (SPI) Intermediate/Advanced Presentation I 2011 California Department of Education 6
TOM TORLAKSON
State Superintendent of Public Instruction
Technology Planning
Purpose of the Tech Plan
• Tech plans ensure that schools and libraries are prepared to effectively use the requested services to integrate telecommunications and internet access into the educational program or library services that they provide to students.
• Tech plans should support and validate all Erate services applied for, especially priority 2 services, Internal Connections (IC) and Basic Maintenance of Internal Connections (BMIC).
Intermediate/Advanced Presentation I 2011 California Department of Education 7
TOM TORLAKSON
State Superintendent of Public Instruction
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Technology Plan Review
FFC rules require an “approved” technology plan when receiving E-rate discounts for priority 2 services (there are 2 types of tech plans that can be used: an EETT or E-rate only). Find your public charter, district or COE Tech Plan status at: http://www.cde.ca.gov/ls/et/rs/techplan.asp
*Decision: Decide which tech plan to use: A) E-rate only, B) EETT technology plan (best practice approach) Note: Libraries leverage your master plan in developing your technology plan.
Tech Plan must be “written” prior to posting Form 470.
DOCUMENT the existence of this “Written Plan” – i.e., Letter/E-mail from Cabinet, screen print of file name and date, and physical copy of plan. Must cover all 12 months of the funding year (July 1 – June 30).
E-rate only plans should not cover more than 3 years; EETT tech plans that meet E rate requirements can cover 5 years with progress review during 3 rd year.
Tech plans must include all services (both current and future) for which E-Rate discounts are sought.
Must be approved by a “Certified Technology Plan Approver” See the Technology Plan approver locator tool on the USAC website: http://www.sl.universalservice.org/reference/tech/default.asp
Leverage the technology expertise of your CTAP regional assistance: CTAP
:
http://www.cde.ca.gov/ls/et/rs/ctapcoordinators.asp
Intermediate/Advanced Presentation I 2011 California Department of Education 8
1.
4 Required Elements of a Technology Plan Used for E-rate
Clear
statement of goals
and realistic strategy for using telecommunications and information technology to improve education or library services.
TOM TORLAKSON
State Superintendent of Public Instruction
2.
3.
4.
Professional Development strategy
to ensure staff understands how to use technologies to improve education or library services
Needs Assessment
of telecommunication services, hardware, software, and other services that will be needed to improve education/library services
Evaluation process
to monitor progress towards goals and allows for mid-course corrections in response to new developments as they arise Budget: No longer required in the tech plan but USAC will likely request
this information during PIA or other application reviews. Best practice would be to put a budget with appropriate fund sources highlighted in your E-rate related documentation files.
Intermediate/Advanced Presentation I 2011 California Department of Education 9
TOM TORLAKSON
State Superintendent of Public Instruction
The “Two Tech Plans”
E-Rate Only Plan:
1.
2.
3.
4.
Goals Professional Development Needs Assessment Evaluation Process Tech Plan Help www.usac.org/sl/ applicants/step02/ • • • • • • • •
Enhancing Education Through
•
Technology (EETT):
Executive Summary/Introduction Stakeholders Curriculum Professional Development Infrastructure Adult literacy Research Funding and Budget Monitoring/Evaluation http://www.cde.ca.gov/ls/et/ft/eettfort echplans.asp
Intermediate/Advanced Presentation I 2011 California Department of Education 10
TOM TORLAKSON
State Superintendent of Public Instruction
Technology Planning
EETT Tech Plan Cycle Dates
• The final dates to submit your EETT Tech Plan to CTAP for approval are: 1. Cycle A: October 7, 2011 2. Cycle B: December 16, 2011 3. Cycle C: April 13, 2012 Intermediate/Advanced Presentation I 2011 California Department of Education 11
TOM TORLAKSON
State Superintendent of Public Instruction
Technology Planning
“Must Do” Reminders
1.
Must be “
Written”
prior to posting Form 470: – It must be documented that it is written before the posting of the form 470! (Applicant must document the existence of this plan, i.e., e-mail with plan attached, memo from cabinet level about the plan being written, including the date. “DATE STAMP,” submit EETT tech plans during cycle A [final date October 9, 2009]) 2.
3.
4.
5.
6.
Must include a sufficient level of detail and cover all services (priority 2) for which E-Rate discounts are being sought on the Form 470(s) and subsequent Form 471(s).
Must be
approved
whichever is earlier by the start of services (July 1) or the filing of Form 486, E rate only plans must be approved by a “USAC Certified Technology Plan Approver” see USAC link: http://www.usac.org/sl/tools/reference/tech/default.asp
Combination E-rate/EETT Tech plans must be submitted to your CTAP region for approval: http://www.cde.ca.gov/ls/et/rs/ctapcoordinators.asp
Must include all four required elements (as noted previously) regardless of the type of plan being used (E-rate only or EETT) Intermediate/Advanced Presentation I 2011 California Department of Education 12
TOM TORLAKSON
State Superintendent of Public Instruction
Technology Planning
Additional reminders
• Service Providers
may not
act as technology plan approvers, write/create, or assist in the tech plan in any capacity • Remember to include in your tech plan all the services that you apply for on Form 470/471,
required
for priority 2 - internal connections, and basic maintenance Intermediate/Advanced Presentation I 2011 California Department of Education 13
TOM TORLAKSON
State Superintendent of Public Instruction
Technology Planning
Help
• E-rate Plans: John Vardanega, [email protected]
, 916-323-2241 • EETT Plans: Doris Stephen, [email protected]
, 916-324-9943 • CTAP: http://www.cde.ca.gov/ls/et/rs/ctapcoordinators.asp
• CTAP Tech Plan Builder: http://myctap.org/index.php/techplan/tpb • Libraries: Rushton Brandis, [email protected]
, 916-653-5471 Intermediate/Advanced Presentation I 2011 California Department of Education 14
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 15
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Discounts
Intermediate/Advanced Presentation I 2011 California Department of Education 16
TOM TORLAKSON
State Superintendent of Public Instruction
Calculating Your Discount
Schools/School Districts
• Calculate the discount rate for each individual school • School District average =
weighted
average of the schools • Multiply E-Rate discount by total student population of the school to get weighted product • Add all weighted products and divide by total students in school district • Discounts are based on schools actually receiving services in the FRN (may not be all schools in the district) Intermediate/Advanced Presentation I 2011 California Department of Education 17
TOM TORLAKSON
State Superintendent of Public Instruction
Calculating Your Discount
Individual Libraries
• Calculate the total percentage of students eligible for NSLP in the school district in which the building is located • Use the urban/rural status of the county or census tract in which the library outlet is located
Library Systems
• Calculate the E-Rate discount for each library outlet • Calculate the simple average of the library outlets – Add discounts for each outlet and divide by total number of outlets Intermediate/Advanced Presentation I 2011 California Department of Education 18
TOM TORLAKSON
State Superintendent of Public Instruction
Calculating Your Discount
Non-Instructional Facilities (NIFs)
• NIFs on the campus of single school/library and that serve only that entity, get the discount of that school/library
Separate entity number necessary only if public right-of-way is crossed
• NIFs that serve multiple schools/libraries, and
without
classrooms or public areas, get shared discount for the school district/library system • NIFs that serve multiple schools and
with
classrooms use the snapshot method to get discount – Snapshot method: Choose a specific day and determine the NSLP eligibility of the student population that is in class on that day Intermediate/Advanced Presentation I 2011 California Department of Education 19
TOM TORLAKSON
State Superintendent of Public Instruction
Calculating Your Discount
New School Construction
• School under construction – Population is known = use that data – Population is unknown = use district shared discount • Library under construction – Same as regular individual library outlet • Private/Charter Schools – Population is known: use that data – Population is unknown: apply for 20% but can amend with actual figures if obtained later Intermediate/Advanced Presentation I 2011 California Department of Education 20
TOM TORLAKSON
State Superintendent of Public Instruction
National School Lunch Program
Provisions 1, 2, and 3
• Allow for socio-economic survey to be used to establish reimbursement rate and reduce paperwork for schools • Applicant uses approved NSLP eligibility percentage to calculate discount rate • Schools submit base-year documentation to support discount rate • If extension is granted, applicants can submit extension approval letter to support discount rate Intermediate/Advanced Presentation I 2011 California Department of Education 21
TOM TORLAKSON
State Superintendent of Public Instruction
National School Lunch Program
Head Start
• All Head Start students meet free lunch guidelines under NSLP • Head Start entities automatically qualify for 90% discount – Home based Head Start is not eligible Intermediate/Advanced Presentation I 2011 California Department of Education 22
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 23
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Eligible Services List (ESL)
Intermediate/Advanced Presentation I 2011 California Department of Education 24
TOM TORLAKSON
State Superintendent of Public Instruction
Priority One
Telecommunications Services
– Local and long distance service – Cellular – Digital Transmission Services – Etc – For more details refer to Beginners Presentation at http://www.k12hsn.org/programs/erate/training_materi als.php
Intermediate/Advanced Presentation I 2011 California Department of Education 25
TOM TORLAKSON
State Superintendent of Public Instruction
Priority One
Not Eligible as Telecom Services
• Broadcast “Blast” messaging • Monitoring services for 911, E911 or alarm telephone lines • Services to ineligible locations • End-user devices – Cell phone, tablet computers Intermediate/Advanced Presentation I 2011 California Department of Education 26
TOM TORLAKSON
State Superintendent of Public Instruction
Priority One
Telecommunications Services vs Telecommunications
• Two separate categories on the ESL –
Telecommunications Services
be provided by an eligible telecommunications carrier can only –
Telecommunications*
can be provided by non-telecommunications carriers via fiber in whole or in part *Applies to Dark Fiber Intermediate/Advanced Presentation I 2011 California Department of Education 27
TOM TORLAKSON
State Superintendent of Public Instruction
Priority One
Internet Access (IA)
• Support for IA includes Internet Service Provider (ISP) fees as well as the conduit to the Internet • Other eligible IA services include: – E-mail service – Wireless Internet access – Interconnected VoIP – Web hosting Intermediate/Advanced Presentation I 2011 California Department of Education 28
TOM TORLAKSON
State Superintendent of Public Instruction
Priority One
Not eligible as Internet Access
• Costs for Internet content – Subscription services such as monthly charges for on-line magazine subscriptions • Internet2 membership dues • Web site creation fees • Web based curriculum software • Software, services or systems used to create or edit Internet content Intermediate/Advanced Presentation I 2011 California Department of Education 29
TOM TORLAKSON
State Superintendent of Public Instruction
•
Interconnected VoIP
(aka Hosted VoIP)
Defined as a service that
1. Enables real-time, two-way voice communications.
2. Requires a broadband connection from the user’s location.
3. Requires Internet protocol-compatible customer premises equipment (CPE).
4. Permits users generally to receive calls that originate on the public switched telephone network and to terminate calls to the public switched telephone network.
30 Intermediate/Advanced Presentation I 2011 California Department of Education 30
TOM TORLAKSON
State Superintendent of Public Instruction
Interconnected VoIP
• Priority One Services – May be applied for in either Telecommunications or Internet Access on Form 470.
– USAC highly recommends posting in both Telecom and Internet Access.
Intermediate/Advanced Presentation I 2011 California Department of Education 31
Dark Fiber
TOM TORLAKSON
State Superintendent of Public Instruction
Leased Dark Fiber as Priority One
• Leased Dark Fiber added as Telecommunications in the FY2011 Eligible Services List • Allows for the lease of dark fiber as a priority one service, from
any
entity • On the FCC Form 470, file for both Telecom and Internet Access • On the FCC Form 471, select the Telecom box if the dark fiber is provided by a telecom carrier – In all other cases, select the Internet Access box Intermediate/Advanced Presentation I 2011 California Department of Education 32
Dark Fiber
Leased Dark Fiber as Priority One TOM TORLAKSON
State Superintendent of Public Instruction • Dark fiber must be lit immediately • Does NOT allow for unneeded capacity or warehouse dark fiber for future use • Maintenance costs of dark fiber and installation costs to hook up the dark fiber are eligible – This includes charges for installation within the property line • Modulating electronics for leased dark fiber are not eligible Intermediate/Advanced Presentation I 2011 California Department of Education 33
TOM TORLAKSON
State Superintendent of Public Instruction
Dark Fiber
•
Leased Dark Fiber as Priority One
Installation costs to hook up the dark fiber is eligible from the eligible entity to the property line
Intermediate/Advanced Presentation I 2011 California Department of Education 34
TOM TORLAKSON
State Superintendent of Public Instruction
Dark Fiber
Dark Fiber as Priority One
• Special Construction charges to build out connections from applicants’ facilities to an
off-premise
fiber network are NOT eligible Intermediate/Advanced Presentation I 2011 California Department of Education 35
TOM TORLAKSON
State Superintendent of Public Instruction
Dark Fiber
Dark Fiber as Priority Two
• Installation and Fiber costs between two eligible buildings, not crossing a public right of way are considered Internal Connections
Intermediate/Advanced Presentation I 2011 California Department of Education 36
TOM TORLAKSON
State Superintendent of Public Instruction
Priority Two
Internal Connections
• Support for equipment and cabling on-site that transport info to classrooms or public rooms of a library • Subject to the Two-in-Five Rule – Entities can only receive funding every two out of five years Intermediate/Advanced Presentation I 2011 California Department of Education 37
TOM TORLAKSON
State Superintendent of Public Instruction
Internal Connections
Priority Two
Intermediate/Advanced Presentation I 2011 California Department of Education 38
TOM TORLAKSON
State Superintendent of Public Instruction
Priority Two
Basic Maintenance of Internal Connections
• Support for basic maintenance of eligible internal connections (BMIC) such as: – Repair and upkeep of hardware – Wire and cable maintenance – Basic tech support – Configuration Changes • Agreements or contracts must state the eligible components covered, make, model and location • Service must be delivered within the July 1 st June 30 th timeframe to • Two-in-Five Rule does not apply to BMIC Intermediate/Advanced Presentation I 2011 California Department of Education 39
TOM TORLAKSON
State Superintendent of Public Instruction
Priority Two
BMIC Updated Guidance
• Standard manufacturer warranties of no more than three years remain eligible.
– If there is a cost associated with the warranty, then the warranty is not eligible • Support for BMIC is limited to actual work performed under the contract Intermediate/Advanced Presentation I 2011 California Department of Education 40
TOM TORLAKSON
State Superintendent of Public Instruction
Priority Two
BMIC Updated Guidance
• Applicants may make estimates based on: – Hours per year of maintenance – History of needed repairs and upkeep – Age of eligible internal connections • Applicants using the factors listed above must submit a bona fide request • It is not reasonable to estimate an amount that would cover the full cost of every piece of eligible equipment.
Intermediate/Advanced Presentation I 2011 California Department of Education 41
TOM TORLAKSON
State Superintendent of Public Instruction
Priority Two
BMIC Updated Guidance
• Flat rate contracts may be eligible however, applicants may only invoice for services actually delivered/work performed.
• Exceptions that will not require demonstration that work was performed are: – Software upgrades and patches – Bug fixes and security patches – Online and telephone based technical support Intermediate/Advanced Presentation I 2011 California Department of Education 42
TOM TORLAKSON
State Superintendent of Public Instruction
Equipment Transfers
Equipment transfer rules
• In general, equipment may not be transferred for money or any other thing of value • A no-cost transfer may occur three years or more after the purchase of the equipment to other eligible entities • No equipment transfer may occur prior to three years from the purchase, unless the eligible entity is permanently or temporarily closing Intermediate/Advanced Presentation I 2011 California Department of Education 43
TOM TORLAKSON
State Superintendent of Public Instruction
Equipment Transfers
Equipment transfers less than 3 years
• Notify USAC • Both the closing entity and the recipient must retain records of the transaction – Include the reason for the transfer • Records must be kept for five years after the date of the transfer • Records for equipment >3 years follow the traditional document retention requirements Intermediate/Advanced Presentation I 2011 California Department of Education 44
TOM TORLAKSON
State Superintendent of Public Instruction
Disposal of Equipment
Disposal of Equipment Rules
• As of January 3, 2011, applicants can dispose of obsolete equipment, but no sooner than five years after the date the equipment is installed • Resale for payment or other consideration is allowable no sooner than five years after the equipment is installed • Resale or disposal is prohibited before the five years have passed.
Intermediate/Advanced Presentation I 2011 California Department of Education 45
TOM TORLAKSON
State Superintendent of Public Instruction
Trade-ins and Exchanges
Trade-ins and Exchanges
• Trade-ins of equipment may be permitted if the E-rate funded equipment to be traded in has been installed for five years – This limitation does not apply for equipment not funded through E-rate Intermediate/Advanced Presentation I 2011 California Department of Education 46
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 47
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction Technology Planning
FCC Form 470 & RNL
Competitive Bidding FCC Form 471 & RAL Application Review & FCDL FCC Form 486 FCC Forms 472 (BEAR) & 474 (SPI) Intermediate/Advanced Presentation I 2011 California Department of Education 48
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Form 470
Intermediate/Advanced Presentation I 2011 California Department of Education 49
TOM TORLAKSON
State Superintendent of Public Instruction
Form 470 – Starts Competitive Bidding
• Be VERY familiar with eligible services and proper category • “Service or Function” – MUST provide enough detail to encourage service providers to bid – Broaden scope – plan for growth or reduction in number of eligible entities or bandwidth or number of lines • Any limiting factors to bidding should be identified unless on RFP
Intermediate/Advanced Presentation I 2011 California Department of Education 50
TOM TORLAKSON
State Superintendent of Public Instruction
Killer Gotcha’s = Funding DENIAL
• Wrong category of service • Forgot to add a service • Said you didn’t have an RFP when you really do have one, and the reverse
Intermediate/Advanced Presentation I 2011 California Department of Education 51
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Competitive Bidding/ Procurement
Intermediate/Advanced Presentation I 2011 California Department of Education 52
TOM TORLAKSON
State Superintendent of Public Instruction
Fair and Open Competitive Bidding is a Program Requirement
• •
•
Avoid conflicts of interests
• Independent Consultant vs. Service Provider • Applicant vs. Service Provider
Follow and UNDERSTAND the rules – FCC, State and local
• Board Policy • California Public Contract Code • Bid Limits/Thresholds: http://www.cde.ca.gov/fg/ac/co/bidthreshold2010.asp
• Master Contracts
Document the process!!!
Intermediate/Advanced Presentation I 2011 California Department of Education 53
TOM TORLAKSON
State Superintendent of Public Instruction
Competitive Bidding
Service providers CANNOT:
• Determine the types of service the applicant will seek on a FCC Form 470/RFP • Prepare, assist applicants with filling out the FCC Form 470/RFP • Sign, certify and/or submit FCC Form 470 • Assist or run the competitive bidding process for the applicant, which includes preparing or conducting the bid evaluation and selection process.
Intermediate/Advanced Presentation I 2011 California Department of Education 54
TOM TORLAKSON
State Superintendent of Public Instruction
Competitive Bidding
Service providers CAN:
• Ask clarifying questions when bids or descriptions are vague or generic Intermediate/Advanced Presentation I 2011 California Department of Education 55
TOM TORLAKSON
State Superintendent of Public Instruction
Competitive Bidding
Applicants CANNOT:
• Have a relationship with service providers that would unfairly influence the outcome of the competition • Furnish service providers with inside competitive information • Have ownership interest in a service provider’s company competing for services • Violate gifts rules Intermediate/Advanced Presentation I 2011 California Department of Education 56
TOM TORLAKSON
State Superintendent of Public Instruction
Competitive Bidding
Applicants can:
• Have pre-bidding discussions with potential bidders as long as that doesn’t lead to one bidder having “inside” information • Attend product demonstrations • Encourage and seek vendors to bid • Do research to determine what cost effective solutions are available Intermediate/Advanced Presentation I 2011 California Department of Education 57
TOM TORLAKSON
State Superintendent of Public Instruction
FCC Form 470 & RFPs
• FCC rules refer to RFPs generically but they may have a variety of names (Request for Quotes, Request for Bids) • FCC rules do not require RFP but state and local procurement rules may • Must be available to bidders for at least 28 days from the posting of whichever is released last, the RFP or the Form 470 • Retain a copy of the RFP, including evidence of publication date and any solicitation • MUST indicate any special requirements and/or disqualification factors Intermediate/Advanced Presentation I 2011 California Department of Education 58
TOM TORLAKSON
State Superintendent of Public Instruction
FCC Form 470 & RFPs
• Applicants must ensure that they post for the correct category or categories of service (Non allowable m&c correction.) • Sufficient detail in FCC Form 470 – Cannot provide generic descriptions (e.g., “All eligible telecom services” or “Digital Transmission Services”) – Cannot provide laundry lists of products and services • Addendums or changes to the RFP may require applicants to re-start the 29 day period when there is a significant change to the original scope of the procurement Intermediate/Advanced Presentation I 2011 California Department of Education 59
FCC Form 470 & RFPs
TOM TORLAKSON
State Superintendent of Public Instruction
Imposing Restrictions
• Setting eligible services requirements – Applicants may require service providers to provide services that are compatible with one kind of system over another (e.g., Cisco compatible).
– Applicants cannot state make and model on FCC Form 470 or RPF, but may state equivalent make & model (e.g., “IBM router 628 or similar functionality”) – Applicants should avoid using specific manufacturer’s name to request a service (e.g., Don’t use Kleenex, use tissue instead) Intermediate/Advanced Presentation I 2011 California Department of Education 60
TOM TORLAKSON
State Superintendent of Public Instruction
Vendor Selection
Bid Evaluation
• Vendor selection criteria should be posted with the RFP • Vendor evaluation begins after 29-day waiting period • Follow your vendor selection criteria • Price of the eligible goods and services must be primary factor overall (the most cost-effective) • Other factors, including other price factors, can be considered as well but they cannot be weighted equally or higher than cost of the eligible goods and services Intermediate/Advanced Presentation I 2011 California Department of Education 61
TOM TORLAKSON
State Superintendent of Public Instruction
Competitive Bidding
Sample Bid Evaluation Matrix Factor Price of the ELIGIBLE goods and services
Prior experience w/ vendor Prices for ineligible services, products & Fees Flexible Invoicing: 472 or 474 Environmental objectives Local or in state vendor Total
Points Available
30 20 25 15 5 5 100
Vendor 1
15
Vendor 2
30 20 20 0 5 5 65 0 15 15 3 5 68
Vendor 3
25 20 25 15 2 5 92 Intermediate/Advanced Presentation I 2011 California Department of Education 62
TOM TORLAKSON
State Superintendent of Public Instruction
Vendor Selection
Selecting the Winning Bidder
• Solution must be cost-effective • An existing contract can be used as a bid response to your posted FCC Form 470 – Post 470, evaluate all bids & existing contract, memorialize your decision if existing contract is selected – BE CAREFUL, A NEW BID MAY BE REQUIRED, EVEN FROM EXISTING VENDOR • No bids or one bid ( email yourself noting the fact ) • Retain all vendor selection documentation – Winning and losing bids, correspondences, memos, bid evaluation documents, etc. Intermediate/Advanced Presentation I 2011 California Department of Education 63
TOM TORLAKSON
State Superintendent of Public Instruction
Avoid Sham Bidding
• “I want to stay with my incumbent” • Must respond to all legitimate inquiries – Bidders can’t just send spam, but you have to talk to bidders, too – Providers that are being stonewalled may contact USAC for assistance • Cost to transfer to another provider alone is not by itself a good enough reason to stay with incumbent • Avoid appearances of a “done deal” • Don’t post for something you don’t want • If plans change, have a plan to communicate with potential bidders Intermediate/Advanced Presentation I 2011 California Department of Education 64
TOM TORLAKSON
State Superintendent of Public Instruction
Vendor Selection
Free Services
• Can’t use E-Rate to get free ineligible products and services • Must deduct the value of the “free stuff,” discounts, trade-ins, etc., from the pre-discount amount in order get equal comparison between offerings – Cost allocation is NOT required when the product/service (e.g., “free” cell phones) is available to the public or a class of subscribers (not just E-Rate) • A proportionate cost allocation is required between eligible and ineligible components. • Cost of eligible goods and services cannot be inflated to cover the “free” ineligible products and services Intermediate/Advanced Presentation I 2011 California Department of Education 65
TOM TORLAKSON
State Superintendent of Public Instruction
Piggyback Clauses and State Master Contracts (SMC)
• Clause in a contract signed between provider and another entity allowing others to purchase off the same contract – Must be permissible under state & local regs – The contract or RFP must allow for other entities to be added – You must still
post your own Form 470
, AND
conduct your own competitive bid evaluation
– If applicant proactively looks for “bids” by going to the State Contract, they must compare all available bidders on the SMC – Contract Award Date = Date you decided to purchase off State Contract.
Intermediate/Advanced Presentation I 2011 California Department of Education 66
TOM TORLAKSON
State Superintendent of Public Instruction
CALNET 2
What is CALNET 2?
• State master contract that was competitively bid and put in place by a State of CA for use by others {city, county government, K-12 public schools, etc.} • Awarded by State of CA to AT&T and Verizon • Resulting award was four (4) Master Service Agreements (MSAs): – MSA 1 – awarded to AT&T • • Voice, Data & Video Services – MSA 1 – awarded to AT&T Long Distance Network Based Services – MSA 3 – awarded to Verizon • • Internet Protocol (IP) Voice, Data & Video Services – MSA 4 – awarded to Verizon Broadband Fixed Wireless Access (BFWA) Data Services • Each MSA is a five-year contract and included an option for two (2) one-year extensions Intermediate/Advanced Presentation I 2011 California Department of Education 67
TOM TORLAKSON
State Superintendent of Public Instruction
CALNET 2
E-Rate Background
• State of CA issued CALNET 2 RFP in 2005 for P1 (Telecom & Internet Services).
• State issued E-rate Form 470 #267290000544188 in conjunction with RFP.
• CALNET 2 contracts, MSA 1 and 2 awarded to AT&T, signed on 1/30/2007.
• The current expiration date is now set for January 29, 2014 – The State exercised the option to extend the CALNET 2 contract by two (2) years – The FCC allowed the extension to the original expiration date for E-Rate purposes via a waiver Intermediate/Advanced Presentation I 2011 California Department of Education 68
TOM TORLAKSON
State Superintendent of Public Instruction
CALNET 2
Status of CALNET 2
• Current AT&T CALNET 2 customers automatically have option to continue receiving services under CALNET 2 through “new” expiration date of 1/29/14. • AT&T Customers were NOT REQUIRED to sign any additional documentation to continue receiving existing CALNET 2 services. –
Note:
Requests for new Service Categories and/or requests for new optical services will require new documentation.
• If non-State customer does not want to continue receiving CALNET 2 services beyond 1/29/12, non-State customer may terminate ATO with no penalty, provided ATO has been in effect for minimum of two yrs. - If termination occurs within two yrs of execution, early termination fees may apply.
Intermediate/Advanced Presentation I 2011 California Department of Education 69
Contracts
TOM TORLAKSON
State Superintendent of Public Instruction 1. Must be signed AFTER 29 days have elapsed but BEFORE you file your Form 471 2. Must be signed and dated by BOTH parties – applicant and service provider CALNET 2 ATO must have three signatures to be binding contract 3. READ AND UNDERSTAND THE FINE PRINT!
4. Allow enough time to take contracts to Board for approval (if required by Board policy) 5.
Be prepared to explain documents that don’t look like a traditional contract.
70 Intermediate/Advanced Presentation I 2011 California Department of Education 70
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 71
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction Technology Planning FCC Form 470 & RNL Competitive Bidding
FCC Form 471 & RAL
Application Review & FCDL FCC Form 486 FCC Forms 472 (BEAR) & 474 (SPI) Intermediate/Advanced Presentation I 2011 California Department of Education 72
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Form 471
Intermediate/Advanced Presentation I 2011 California Department of Education 73
Form 471 – Your Application for Funds
TOM TORLAKSON
State Superintendent of Public Instruction
•
Must be filed every funding year
• This is your actual request for funding • This is where you specify…Who, What, Where, When, & How
–
WHO:
Service providers chosen – – – –
WHAT: WHERE: WHEN: HOW:
Services being requested Service Delivery locations Dates for services Costs for services and terms Intermediate/Advanced Presentation I 2011 California Department of Education 74
TOM TORLAKSON
State Superintendent of Public Instruction
Form 471 – Your Application for
• Include ALL
NIFS
discounted services
Funds
that will be receiving • Separate Priority 1 and Priority 2 services on two different Forms 471 • Separate Recurring from Non-Recurring charges
– Recurring – Block 5, Question “C”.
– Non-Recurring – Block 5, Question “H”.
• Contract expiration date for
non-recurring services
-
September 30
(coincides with deadline for delivery of services for non-recurring charges) Intermediate/Advanced Presentation I 2011 California Department of Education 75
TOM TORLAKSON
State Superintendent of Public Instruction
Form 471 – Your Application for Funds
• Priority Two Filing Strategies
– Create multiple Block 4s to identify different groups of sites.
– Create multiple Forms 471 for widely varying discounts • i.e. – one Form 471 for 70% and one for 90%
Intermediate/Advanced Presentation I 2011 California Department of Education 76
Form 471 Reminders
Deadly Errors
•
DON’T
file Priority One and Priority Two funding requests on the same Form 471
TOM TORLAKSON
State Superintendent of Public Instruction •
DON’T
forget to wait at least 29 days after any
mandatory
processes associated with your competitive bidding before selecting a service provider or signing any contracts •
DON’T
submit your Form 471 BEFORE signing all related contracts •
DON’T
forget to
CERTIFY
your submitted application (whether electronic or paper certification) Intermediate/Advanced Presentation I 2011 California Department of Education 77
TOM TORLAKSON
State Superintendent of Public Instruction
Item 21 Attachment
• MUST be submitted by the end of the Form 471 filing window • Avoid TMI (Too Much Information) Syndrome – PIA will thank you • Remove ineligible costs – be careful
– 30% rule –30% or more of funding request dollar value cannot be for ineligible products and services. the entire request may be denied
unless…
– Can be rectified during your PIA process: Remove it-Split it up- separate FRN
• Work with service provider(s) to create your Item 21 attachment(s)
Intermediate/Advanced Presentation I 2011 California Department of Education 78
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 79
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction Technology Planning FCC Form 470 & RNL Competitive Bidding FCC Form 471 & RAL
Application Review & FCDL
FCC Form 486 FCC Forms 472 (BEAR) & 474 (SPI) Intermediate/Advanced Presentation I 2011 California Department of Education 80
TOM TORLAKSON
State Superintendent of Public Instruction
Application Review & FCDL
• Be Responsive to PIA reviewer • Answer all PIA reviewer questions • Establish a working relationship with PIA reviewer • Request additional time if you need it to respond • When you do receive your FCDL, review it thoroughly • You have 60 days from date of FCDL to submit an appeal if you do not agree with the funding decision(s).
Intermediate/Advanced Presentation I 2011 California Department of Education 81
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Program Updates and Compliance
Intermediate/Advanced Presentation I 2011 California Department of Education 82
Document Retention
Retain Documents to Show Compliance TOM TORLAKSON
State Superintendent of Public Instruction • • 5 years from last date to receive service in electronic format or paper
Any
document from a
prior year
current year must be kept for
at least
5 years from
last date to receive service
that supports – E.g., Contract from 2005, used to support FY 2012 recurring service FRNs, must be kept until at least June 30, 2018 • Applicants & service providers must retain ALL documentation that shows compliance with all FCC rules.
Intermediate/Advanced Presentation I 2011 California Department of Education 83
Document Retention
Retain Documents to Show Compliance
• Consultant authorization such as Letter of Agency
TOM TORLAKSON
State Superintendent of Public Instruction
Document Examples, e.g.:
• • Competitive Bidding Documents – include all bids winning and losing • Compliance review documents (PIA, TPA, CIPA, Invoice) • Invoices, bills, contracts • Asset registries, inventory logs • NSLP discount documentation (including CON App, etc.) • Technology plans in effect for each Funding Yr
NOTE : See complete list on USAC website
Intermediate/Advanced Presentation I 2011 California Department of Education 84
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Children’s Internet Protection Act (CIPA)
Intermediate/Advanced Presentation I 2011 California Department of Education 85
TOM TORLAKSON
State Superintendent of Public Instruction
New for Funding Year 2012
New requirements under CIPA
• SCHOOLS – By July 1, 2012, amend your existing Internet safety policy (if you have not already done so) to provide for the education of minors about appropriate online behavior, including interacting with other individuals on social networking sites and in chat rooms, and cyberbullying awareness and response.
• LIBRARIES – No new requirements.
• Overall - several existing statutory requirements have been codified and others have been clarified.
Intermediate/Advanced Presentation I 2011 California Department of Education 86
TOM TORLAKSON
State Superintendent of Public Instruction
CIPA - FCC Report and Order
Additional Information on New Requirements
• New requirements come from the Protecting Children in the 21 st Century Act, which updated the Children’s Internet Protection Act.
• Internet safety policies for schools must be updated on or before July 1, 2012 to provide for: – The education of minors about appropriate online behavior, including interacting with other individuals on social networking sites and in chat rooms – Cyberbullying awareness and response Intermediate/Advanced Presentation I 2011 California Department of Education 87
TOM TORLAKSON
State Superintendent of Public Instruction
CIPA - FCC Report and Order
Additional Information on New Requirements
• “Social networking” and “cyberbullying” are not defined, nor are specific procedures or curricula detailed for schools to use in educating students – Congress’ intent is that local authorities should make decisions in this area.
– Resources are available to assist in this process if needed – e.g., OnGuard Online.gov
Intermediate/Advanced Presentation I 2011 California Department of Education 88
TOM TORLAKSON
State Superintendent of Public Instruction
CIPA - FCC Report and Order
Additional Information on New Requirements
• Schools do not need to hold a new public meeting or hearing about amendments adopted to meet the new requirements unless required to do so by state or local rules.
• Forms 486 and 479 will not be amended because the existing language includes a certification of compliance with all statutory requirements.
• Instructions for these forms will be revised to list the new requirement from the Protecting Children in the 21 st Century Act.
Intermediate/Advanced Presentation I 2011 California Department of Education 89
TOM TORLAKSON
State Superintendent of Public Instruction
CIPA – Rule Revisions
Resolutions to the current rules detailed in the Order
• Do not impose additional obligations but codify existing statutory requirements.
• Simplify the application process by including important definitions.
• Will not require re-filing forms.
Intermediate/Advanced Presentation I 2011 California Department of Education 90
TOM TORLAKSON
State Superintendent of Public Instruction
New for Funding Year 2011 Corrections of Ministerial & Clerical Errors
• 15 Day Rule eliminated (CORRECTIONS ONLY)
– RNL & RAL corrections can be submitted until the FCDL is issued
• PIA will ask if this is a ministerial or clerical error – Tell us what error occurred – Provide a reasonable explanation – Documentation may be requested
Intermediate/Advanced Presentation I 2011 California Department of Education 91
TOM TORLAKSON
State Superintendent of Public Instruction
New for Funding Year 2011 M&C Errors Examples – Allowable Corrections
• Spelling errors • Simple addition, subtraction, multiplication or division errors • Transposed letters and/or numbers • Misplaced decimal points • Failing to enter an item from the source list (e.g., NSLP data, uploading Block 4 data, FRN, etc.) • Detailed list of M & C Errors @ http://www.usac.org/_res/documents/sl/pdf/List-of Correctable-Ministerial-and-Clerical-Errors.pdf
Intermediate/Advanced Presentation I 2011 California Department of Education 92
New for Funding Year 2011
TOM TORLAKSON
State Superintendent of Public Instruction
Operational SPIN Changes
• Starting with FY 2011 FRNs, Operational SPIN change requests can be approved when there is a legitimate reason to change providers (e.g., breach of contract or the service provider is unable to perform) • Operational SPIN changes cannot be approved: – to purchase a service or product for a cheaper price
or
– because of preference for a bidder that didn’t participate in or win the competitive bidding process Intermediate/Advanced Presentation I 2011 California Department of Education 93
New for Funding Year 2011
TOM TORLAKSON
State Superintendent of Public Instruction
Operational SPIN Changes (cont’d)
Operational SPIN Change Request – The newly selected vendor must receive the next highest point value in the original bid evaluation if more than one vendor submitted a bid – You can select a vendor without conducting another competitive bid if only one bid was received – You must state your reason for the request – Indicate the new SPIN start date and funding amount and the former SPIN end date and funding amount Intermediate/Advanced Presentation I 2011 California Department of Education 94
TOM TORLAKSON
State Superintendent of Public Instruction
Gifts
E-rate Gift Rules
Gifts I 2011 Schools & Libraries Fall Applicant Trainings 95
TOM TORLAKSON
State Superintendent of Public Instruction
E-rate Gift Rules
Gift Rules
• Solicitation or receipt of gifts by applicants from service providers and potential service providers and vice versa is a competitive bidding violation. • Rules apply to everyone participating in the E rate whether public or private, and whether operating at the local, state or federal level.
• Must always follow FCC rules. May also need to comply with additional state/local requirements. If those provisions are more stringent than federal requirements, failure to comply with them will be a violation of FCC rules.
Intermediate/Advanced Presentation I 2011 California Department of Education 96
TOM TORLAKSON
State Superintendent of Public Instruction
E-rate Gift Rules
Gift Prohibitions
• Gift prohibitions are applicable year-round, not just during the competitive bidding process • Prohibition including soliciting and receiving any gift or thing of value from an applicant or a service provider participating in, or seeking to participate in the E-rate.
• Service providers may not offer or provide any gifts to applicant personnel involved in the E-rate or vice versa.
Intermediate/Advanced Presentation I 2011 California Department of Education 97
E-rate Gift Rules
TOM TORLAKSON
State Superintendent of Public Instruction
Gift Rule Exceptions
• “Modest refreshments not offered as part of a meal, items with little intrinsic value intended for presentation, and items worth $20 or less, including meals, may be offered or provided , and accepted by any individuals or entities subject to this rule, if the value of these items received by any individual does not exceed $50 from one service provider per funding year.” See 47 C.F.R. § 54.503(d)(1).
• Single source = all employees, officers, representatives, agents, contractors, or directors of the service provider.
Intermediate/Advanced Presentation I 2011 California Department of Education 98
TOM TORLAKSON
State Superintendent of Public Instruction
E-rate Gift Rules
Gift Rule Exceptions Examples
• A Service Provider has offered a school district employee lunch at a local sandwich shop three times during the course of the year. The value of the school district employee’s meal is $9 each time. The total value of the gifts is $27. No other gifts are received by this employee from this provider. The meals fall in the $20 per instance and $50 per annum exception and there is no rule violation. Intermediate/Advanced Presentation I 2011 California Department of Education 99
TOM TORLAKSON
State Superintendent of Public Instruction
E-rate Gift Rules
Gift Rule Exceptions Examples
• A library employee and his spouse are invited by a service provider to attend a play, tickets to which have a face value of $30 each. The aggregate market value of the gifts offered on this single occasion is $60, $40 more than the $20 amounts that may be accepted for a single event or presentation. The employee may not accept the gift of the evening of entertainment. He and his spouse may attend the play only if he pays the full $60 value of the two tickets. • For more details/examples: http://www.usac.org/_res/documents/sl/pdf/201 0_training/Applicant-6th-Order.ppt
Intermediate/Advanced Presentation I 2011 California Department of Education 100
TOM TORLAKSON
State Superintendent of Public Instruction
E-rate Gift Rules
Gift Rule Exceptions
• Gifts to family and friends when those gifts are made using personal funds of the donor (without reimbursement from the employer) and are not related to a business transaction or business relationship are exempt. See 47 C.F.R. § 54.503(d)(3).
• Gift rules are not intended to discourage companies from making charitable contributions, as long as those contributions are not directly or indirectly related to an E rate procurement. See 47 C.F.R. § 54.503(d)(4).
Intermediate/Advanced Presentation I 2011 California Department of Education 101
E-rate Gift Rules
Gift Rule Exceptions Examples TOM TORLAKSON
State Superintendent of Public Instruction • A service provider’s spouse is the town librarian. The service provider employee may give the librarian a birthday gift exceeding $20, as long as it is not reimbursed by the company, and is being given based on their personal relationship. • Three service provider employees invite a tech director to join them at a golf tournament at their company’s expense. The entry fee is $500 per foursome. The tech director cannot accept the gift even though he has an amicable relationship with the service provider employees. Since the fees are paid by the company, it is the business relationship, not the personal relationship that is the motivation behind the gift. Intermediate/Advanced Presentation I 2011 California Department of Education 102
E-rate Gift Rules
Curing Violations TOM TORLAKSON
State Superintendent of Public Instruction • Return any tangible item to the donor, or pay the donor its market value, or, if perishable, the item may be given to an appropriate charity or shared within the office or destroyed. See CFR 2635.205(a).
– To avoid public embarrassment to the seminar sponsor and E-rate service provider, the Superintendent did not decline a barometer worth $200 given at the conclusion of her speech on the district’s education initiatives. The Superintendent must either return the barometer or promptly reimburse the provider $200 to cure the violation. Intermediate/Advanced Presentation I 2011 California Department of Education 103
E-rate Gift Rules
Curing Violations Examples TOM TORLAKSON
State Superintendent of Public Instruction • With approval from the recipient’s supervisor, a floral arrangement sent by a service provider may be placed in the office’s reception area. • A district employee wishes to attend a charitable event to which he has been offered a $300 ticket by a service provider. Although his attendance is not in the interest of the district, he may attend if he promptly reimburses the donor the $300 face value of the ticket. Intermediate/Advanced Presentation I 2011 California Department of Education 104
TOM TORLAKSON
State Superintendent of Public Instruction
Charitable Donations
Charitable Contributions
• Gift rules are not intended to discourage charitable donations as long as the donations: – Are not directly or indirectly related to E rate procurement activities or decisions, and – Are not given with the intention of circumventing competitive bidding or other FCC rules Intermediate/Advanced Presentation I 2011 California Department of Education 105
TOM TORLAKSON
State Superintendent of Public Instruction
Charitable Donations
Allowable Charitable Contributions
• Paid-for-exchange services at market rates, such as the purchase of advertising space, is neither a gift nor a charitable donation as long as it is not intended to influence the competitive bidding process. • For example, service providers purchasing advertising space on the high school football score board, for which they pay market rates, would not cause any violations. Intermediate/Advanced Presentation I 2011 California Department of Education 106
Charitable Donations
Questionable Charitable Contributions TOM TORLAKSON
State Superintendent of Public Instruction • Equipment, including laptops and cell phones,
may
be permissible if it benefits the school or library as a whole and broadly serves an educational purpose.
– Gifts of equipment that increase demand for a donor’s services, and thus cause the applicant to purchase more of a provider’s services, are prohibited. • Example: Service provider donates computers, causing a need for more Internet Access, which the provider sells to the library Intermediate/Advanced Presentation I 2011 California Department of Education 107
Charitable Donations
Potentially Allowable Charitable Contributions TOM TORLAKSON
State Superintendent of Public Instruction • Cash, equipment, including sporting, musical or playground equipment,
may
be permissible if they benefit the school or library as a whole and broadly serve an educational purpose.
– For example, a donation of books for a literacy campaign, given to a school by an E-rate service provider, would be acceptable donation that benefits the school and broadly serves an educational purpose. Intermediate/Advanced Presentation I 2011 California Department of Education 108
Charitable Donations
TOM TORLAKSON
State Superintendent of Public Instruction
Unallowable Charitable Contributions
• Service providers cannot offer special equipment discounts or equipment with service arrangements to E-rate recipients that are not currently available to some other class of subscribers or segment of the public. – Free phone/tablet with purchase of service contract must be available to non-E-rate customers as well • Donations to cover the applicant’s non discount share Intermediate/Advanced Presentation I 2011 California Department of Education 109
TOM TORLAKSON
State Superintendent of Public Instruction
Charitable Donations
Unallowable Charitable Contributions
• Travel expenses such as airfare, meals, lodging, etc. unless the meal falls below the $20/$50 thresholds.
• Example: – A service provider offers to pick up the travel and lodging costs for an applicant to attend a customer appreciation event in another state. This gift is not allowable under the gift rules. Intermediate/Advanced Presentation I 2011 California Department of Education 110
TOM TORLAKSON
State Superintendent of Public Instruction
Charitable Donations
Unallowable Charitable Contributions
• Equipment for a specific individual or group of individuals associated with or employed by an E-rate participant. – Service provider may not give a gift to a teacher who helps draft a district’s technology plan, even if that teacher does not ultimately help select the E-rate service provider. Intermediate/Advanced Presentation I 2011 California Department of Education 111
Conferences and Training Sessions
Prizes TOM TORLAKSON
State Superintendent of Public Instruction • Raffle tickets, prizes, or door prizes that have a retail value of over $20 violate the gift rules unless the event is open to the public. – “Open to the Public” means the event is free of charge and that members of the public at large typically attend such a gathering. • State Fair would qualify • State District IT Directors meeting would not qualify Intermediate/Advanced Presentation I 2011 California Department of Education 112
TOM TORLAKSON
State Superintendent of Public Instruction
Conferences and Training Sessions
Widely Attended Events
• “
Widely attended events
” are exempt from gift rules. See 5 C.F.R. § 2635.203(g) – Gathering is
widely attended
if: • Employee’s attendance must be in the interest of the agency (i.e. school or library) and further its programs and operations, and • It is expected that a large number of persons will attend, and • Persons with a diversity of views or interests will be present. – Event is open to members from throughout the interested industry or professional or those in attendance represent a range of persons interested in a given matter. Intermediate/Advanced Presentation I 2011 California Department of Education 113
TOM TORLAKSON
State Superintendent of Public Instruction
Conferences and Training Sessions
Conferences – Permissible Actions
• Food, refreshments, instruction and documents given to all attendees at Widely Attended Events are permissible. • Trainings offered by state, regional or local government bodies or non-profits or trade associations that include those bodies are not considered vendor promotional training – Vendor promotional training means training provided by any person for the purpose of promoting its products or services. See 5 C.F.R. § 2635.203(g) Intermediate/Advanced Presentation I 2011 California Department of Education 114
TOM TORLAKSON
State Superintendent of Public Instruction
Conferences and Training Sessions
Conferences – Permissible Actions
• Service providers can host, sponsor, or conduct E-rate training, as long as they do not provide any gift that exceeds the gift exceptions – Service providers cannot provide demonstrations or help with preparation or completion of forms, or determining the services listed on the Form 470 and/or RFP.
Intermediate/Advanced Presentation I 2011 California Department of Education 115
Conferences and Training Sessions
Conferences – Impermissible Actions TOM TORLAKSON
State Superintendent of Public Instruction • Training or conference regarding one or few vendors services would not meet the definition of a Widely Attended Event even if many people attended. – Travel expenses, lodging, meals, and entertainment associated with the event would be considered gifts and therefore violations. – Free attendance, when it would otherwise cost to attend, is also a violation. Intermediate/Advanced Presentation I 2011 California Department of Education 116
TOM TORLAKSON
State Superintendent of Public Instruction
Conferences and Training Sessions
Conferences – Registration Fees
• Service providers can offer an “educational discount” on the attendance fee to a Widely Attended Event as long as it is available to
all
employees of schools and libraries. • Applicants cannot accept free attendance, paid by a service provider, even if the school or library has assigned the employee to attend the event. • A Service provider cannot pay for or reimburse expenses for an applicant to speak at a conference on behalf of that service provider, or in any other setting, e.g. newspaper or magazine. Intermediate/Advanced Presentation I 2011 California Department of Education 117
Representation on Boards
Board Membership TOM TORLAKSON
State Superintendent of Public Instruction • Employees who are required by law to sit on the governing board of a governmental agency that acts as a service provider do not violate the gift rules when they accept meals or travel expenses required to execute their official position and duties on that board. • Service providers may sit on a school’s fundraising board, as long as that does not unduly influence the competitive bidding process or provide them with inside information. Intermediate/Advanced Presentation I 2011 California Department of Education 118
Timing
Timelines for Compliance TOM TORLAKSON
State Superintendent of Public Instruction • Requirement for fair and open competitive bidding has always been in effect. • Rules from 6 th Report and Order went into effect January 3, 2011. • New applicants, or applicants that are applying for the first time for a category of service, must be in compliance with rules six months prior to the posting of their first FCC Form 470. • Dollar limits of $20/$50 are calculated per funding year Intermediate/Advanced Presentation I 2011 California Department of Education 119
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 120
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Post-Commitment Processes
Intermediate/Advanced Presentation I 2011 California Department of Education 121
TOM TORLAKSON
State Superintendent of Public Instruction
Form 486 Receipt of Services Confirmation
Intermediate/Advanced Presentation I 2011 California Department of Education 122
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction Technology Planning FCC Form 470 & RNL Competitive Bidding FCC Form 471 & RAL Application Review & FCDL
FCC Form 486
FCC Forms 472 (BEAR) & 474 (SPI) Intermediate/Advanced Presentation I 2011 California Department of Education 123
TOM TORLAKSON
State Superintendent of Public Instruction
Form 486 Review
• Notifies USAC that services started or are scheduled to start and invoices can be paid • Applicant makes additional program certifications • Filed AFTER receipt of FCDL –Form 486 must be filed online or postmarked, no later than
• 120 days after Service Start Date
OR
• 120 days after FCDL date –
Whichever is later
Intermediate/Advanced Presentation I 2011 California Department of Education 124
TOM TORLAKSON
State Superintendent of Public Instruction
Process after the Process… i.e. GET YOUR MONEY!
Intermediate/Advanced Presentation I 2011 California Department of Education 125
WHEN will I get $$?
TOM TORLAKSON
State Superintendent of Public Instruction • E-rate is a discount program – Funding is based on a discount on actual costs incurred not on total funded amount – District must experience costs before disbursements of funding are made • FCDL Date – Can be months to over a year after the start of the E-rate/fiscal year –
Plan for it!
• Form 486 – Must be filed before any disbursements can be made • Invoice Deadline – October 28 after close of funding year for recurring services – January 27 after close of funding year for non-recurring services – Invoice Deadline Extensions are available Intermediate/Advanced Presentation I 2011 California Department of Education 126
TOM TORLAKSON
State Superintendent of Public Instruction
HOW will I get it?
• It’s a long and complicated journey… • $$ always flows through the service provider – never directly to applicant • FCDL -> Form 486 -> Carrier Forms -> SPI or BEAR -> Invoice Reconciliation • Carrier Forms, including:
– Grids, certifications, and data gathering forms – MUST be filed before the service providers will process discounts – TIP: Get to know the SPIN contact Intermediate/Advanced Presentation I 2011 California Department of Education 127
E-Rate Process
TOM TORLAKSON
State Superintendent of Public Instruction Technology Planning FCC Form 470 & RNL Competitive Bidding FCC Form 471 & RAL Application Review & FCDL FCC Form 486
FCC Forms 472 (BEAR) & 474 (SPI)
Intermediate/Advanced Presentation I 2011 California Department of Education 128
TOM TORLAKSON
State Superintendent of Public Instruction
HOW will I get it?
(Cont’d) • SPI or BEAR?
• SPI
(Service Provider Invoice) Form 474 – Service provider invoices USAC directly for E-rate discounted amount – Applicant pays its share after discount (in a perfect world) – Required for CTF discounted services – Complications: timing of FCDL and posting of discounts, verification of receipt of discounts
• BEAR
(Billed Entity Application Reimbursement) Form 472 – Prepared by applicant – applicant is responsible for calculations – Full costs incurred by applicant – E-rate funds disbursed in a check (check issued by SP) Intermediate/Advanced Presentation I 2011 California Department of Education 129
TOM TORLAKSON
State Superintendent of Public Instruction
WHEN will I get it?
(Cont’d)
• After FCDL issued by SLD • After Applicant has submitted Form 486 • After Applicant has submitted Service Provider required paperwork • After Service provider has processed paperwork • THEN: – If E-rate discounts are credits on the bill, it may take 2-3 bill cycles for those credits to actually be realized – If BEAR is filed, applicants will receive a check from Service Provider approximately four – six weeks from the time it is submitted.
Intermediate/Advanced Presentation I 2011 California Department of Education 130
TOM TORLAKSON
State Superintendent of Public Instruction
DID I get it???!!!
• BEAR Method
• Check received by district = full closure • Make sure to retain documentation on how BEAR calculations were made
• SPI Method
• Requires alert and methodical accounting • Reconciliation of bills required in order to verify if discounts are received • Discounts often overlap funding years – it’s a TRUE challenge!
• Do not assume that SP calculations are correct!
Intermediate/Advanced Presentation I 2011 California Department of Education 131
TOM TORLAKSON
State Superintendent of Public Instruction
Deadlines/Extensions
• Invoice Deadline Extension – Must be filed in order to collect funds after invoice deadline has passed (October 28) • Implementation Deadline Extension (a.k.a. Service Delivery Deadline) – Must be filed if non-recurring services will be installed after September 29 deadline – If a service delivery extension occurs, your contract may need to be extended – (HINT: Set contracts for non-recurring services to expire September 30) – Applicants must extend the contract
AND
file a Form 500 to extend the contract expiration date in USAC’s records before an invoice dated after that date can be paid Intermediate/Advanced Presentation I 2011 California Department of Education 132
TOM TORLAKSON
State Superintendent of Public Instruction
Invoice Deadline
What if the Invoice deadline was missed?
• An Invoice Deadline Extension request must be submitted to USAC • There is no
official
“form”, but there is a format & criteria for request(s) • Typically, request is submitted by applicant to USAC. • Format for request @ http://www.usac.org/sl/applicants/step11/ invoice-deadlines-extension requests.aspx
Intermediate/Advanced Presentation I 2011 California Department of Education 133
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 134
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Form 500
Intermediate/Advanced Presentation I 2011 California Department of Education 135
TOM TORLAKSON
State Superintendent of Public Instruction
Form 500
To request adjustment to Funding Commitment $ and/or modify Receipt of
Service Confirmation:
• To request one or more of the following changes to a Funding Request Number (FRN) to: – Change service start date on the FRN; – Change contract expiration date on the FRN; – Reduce funding amount on the FRN; – Cancel the FRN • NOTE: Once you submit a Form 500 to
reduce or cancel
the funding amount, it is irreversible. Intermediate/Advanced Presentation I 2011 California Department of Education 136
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Service Substitutions
Intermediate/Advanced Presentation I 2011 California Department of Education 137
Service Substitutions
TOM TORLAKSON
State Superintendent of Public Instruction
To request change in products and/or services specified in Form 471
Substitution of a service or product must meet the following conditions: • Substituted services or products have same functionality as services or products contained in original proposal. • Substitution does not violate any contract provisions or state or local procurement laws. • Substitution does not result in an increase in percentage of ineligible services or functions. • Requested change is within the scope of controlling FCC Form 470, including any Requests for Proposal, for the original service. For details: http://www.universalservice.org/sl/about/changes corrections/service-substitutions/ Intermediate/Advanced Presentation I 2011 California Department of Education 138
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
SPIN Changes
Intermediate/Advanced Presentation I 2011 California Department of Education 139
SPIN Changes
SPIN changes: Operational vs. Corrective TOM TORLAKSON
State Superintendent of Public Instruction • Pre-commitment SPIN changes: – Corrective SPIN changes only (i.e., data entry errors). • Post-commitment SPIN changes: ( as referenced previously in this presentation) 6 th Report & Order restricted Operational SPIN changes as follows: – Operational SPIN changes must have legitimate reason to change, such as breach of contract or provider unable to perform, and – must select provider with the next highest point value in evaluation.
For more details: http://www.usac.org/sl/about/changes corrections/spin-change-guidance.aspx
Intermediate/Advanced Presentation I 2011 California Department of Education 140
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Audits
Intermediate/Advanced Presentation I 2011 California Department of Education 141
Audits
TOM TORLAKSON
State Superintendent of Public Instruction
Purpose of E-rate audits
• • Primary purposes of audits: to ensure compliance with FCC rules and program requirements and to assist in prevention and detection of waste, fraud, & abuse • If you cannot prove that you followed the rules, then it will be assumed that you
DID NOT
follow the rules.
The consequences of negative findings by an auditor can mean payback by the School/District/Library of E-rate monies… or worse.
Intermediate/Advanced Presentation I 2011 California Department of Education 142
Audits
TOM TORLAKSON
State Superintendent of Public Instruction
Purpose of E-rate audits
• • Primary purposes of audits: to ensure compliance with FCC rules and program requirements and to assist in prevention and detection of waste, fraud, & abuse • If you cannot prove that you followed the rules, then it will be assumed that you
DID NOT
follow the rules.
The consequences of negative findings by an auditor can mean payback by the School/District/Library of E-rate monies… or worse.
Intermediate/Advanced Presentation I 2011 California Department of Education 143
TOM TORLAKSON
State Superintendent of Public Instruction
Audits
Purpose of E-rate audits
• Primary purposes of audits: to ensure compliance with FCC rules and program requirements and to assist in prevention and detection of waste, fraud, & abuse • • If you cannot prove that you followed the rules, then it will be assumed that you
DID NOT
follow the rules.
The consequences of negative findings by an auditor can mean payback by the School/District/Library of E-rate monies… or worse.
Intermediate/Advanced Presentation I 2011 California Department of Education 144
TOM TORLAKSON
State Superintendent of Public Instruction
Audits
EXPECT TO BE AUDITED
• E-rate audits will vary, e.g., BCAP, PQA, etc.
• The best way to prepare for an audit is to: –
Know and follow
the program rules –
DOCUMENT EVERYTHING and SAVE DOCUMENTATION IN ORGANIZED WAY
• You can’t prove that the School, District, and/or Library abided by the rules if you don’t document your processes and retain supporting documents.
• Organize your supporting documentation so that ….
auditors
and/or
your successor(s
you followed all E-rate program rules. )… can trace what you did to demonstrate that Intermediate/Advanced Presentation I 2011 California Department of Education 145
TOM TORLAKSON
State Superintendent of Public Instruction
Audits
PREPARING FOR AUDITS
1. Plan ahead for an audit or review by documenting every step of the process as the work is done.
e.g., document how you conducted competitive bidding; save copies of any RFPs issued in conjunction with any Form 470s, save copies of your bid evaluation matrix and scoring of bidders, etc.
• • • 2. Create and maintain ORGANIZED E-Rate binders for EACH funding year Retain – Retain – Retain – Lessen your pain!! Retain ALL E-rate related documents Contact service providers for assistance when appropriate • USAC Compliance Documentation Checklist for audits http://www.usac.org/_res/documents/sl/pdf/CompDo cChecklist.pdf
Intermediate/Advanced Presentation I 2011 California Department of Education 146
TOM TORLAKSON
State Superintendent of Public Instruction
Audits
Other Levels of Scrutiny
•
H.A.T.S Visits
•Helping Applicants To Succeed • Primarily for applicants that have had funding issues in the past • Welcome the help…do not be afraid •
Special Compliance Reviews
• Typically during PIA • Item 25 Selective Review • Cost Effectiveness Review • CIPA Compliance and Competitive Bidding Selective Reviews Intermediate/Advanced Presentation I 2011 California Department of Education 147
TOM TORLAKSON
State Superintendent of Public Instruction
Always Be Prepared for Audits
Document Retention Requirements
• Keep for 5 years
after
last date of service – Be aware of contract dates and extensions – All USAC correspondence, including Quarterly Disbursement Reports • Make sure all departments understand document retention requirements for E-Rate – E.g., food services data, surveys, etc., in support of NSLP participation • Align Board policies with E-rate requirements • Per 5 th Report and Order: if applicant can’t prove compliance with rules through documentation, they must assume that you didn’t follow the rules • No documentation = Recovery of Funds (Applicant may have to pay back USAC for E-rate monies they already received) Intermediate/Advanced Presentation I 2011 California Department of Education 148
Who to Contact?
TOM TORLAKSON
State Superintendent of Public Instruction • • • •
State Library:
Rushton Brandis, (916) 653-5471 [email protected]
CDE/E-rate:
John Vardanega, (916) 323-2241 [email protected]
CDE/EETT:
Tech Plans: Doris Stephen, 916-324-9943 [email protected]
K-12 HSN/Butte COE:
Russ Selken 530-532-5678 [email protected]
Intermediate/Advanced Presentation I 2011 California Department of Education 149
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Appendices
Intermediate/Advanced Presentation I 2011 California Department of Education 150
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
California Teleconnect Fund (CTF)
Intermediate/Advanced Presentation I 2011 California Department of Education 151
TOM TORLAKSON
State Superintendent of Public Instruction
California Teleconnect Fund Overview
• The California Public Utilities Commission (CPUC) established the California Teleconnect Fund (CTF) in 1996 and is solely funded through an all end-user surcharge placed on all intrastate telecommunications services in California. • The CTF program 50% discount on selected telecommunications services to qualifying K-12 schools, community colleges, libraries, government-owned and operated hospitals and health clinics, Network Consortium.
non-profit community based organizations, California Telehealth • Program website:
http://www.cpuc.ca.gov/PUC/Telco/Public+Programs/CTF/
Intermediate/Advanced Presentation I 2011 California Department of Education 152
Who is Eligible for CTF?
TOM TORLAKSON
State Superintendent of Public Instruction • Schools: Public or nonprofit private schools that provide elementary or secondary education and that have endowments under $50 million. • Libraries: Libraries eligible to participate in state-based plans for funds under Title III of the Library Services and Technology Act.
Intermediate/Advanced Presentation I 2011 California Department of Education 153
TOM TORLAKSON
State Superintendent of Public Instruction
Who is Eligible for CTF
(continued) – Hospitals and health clinics that are owned and operated by a municipal, county government, or a hospital district. • Community based organizations (CBOs): o must be a tax-exempt organization as described in Section 501 (c)(3) or 501 (d) of the Internal Revenue Code, Title 26 of the United States Code and must also have a Form 990. o Second, they must offer health care, job training, job placement, 2-1-1 referral services and information (approved by the Commission), educational instruction, or a community technology program offering access to and training in the Internet and other technologies.
• California Community Colleges • California Telehealth Network Consortium Intermediate/Advanced Presentation I 2011 California Department of Education 154
TOM TORLAKSON
State Superintendent of Public Instruction Qualified organizations may receive 50% discount on the following telecommunications services • Measured Business service • Centrex, PBX Trunks • ISDN service • DS1 service • DS3 service • Up to and including OC-192 services, or their functional equivalents • Internet access services, with certain exceptions, o as defined under the FCC’s website • Multi-Protocol Label Switching
Service Providers may use different terminology to “name” their CTF-eligible services. Contact the applicable Service Provider for more details which billing components and named services are eligible for CTF discounts.
o
Not all billing elements associated with the above named services may be eligible for CTF discounts, e.g., usage is not eligible, federal taxes and surcharges not eligible, etc.
Intermediate/Advanced Presentation I 2011 California Department of Education 155
TOM TORLAKSON
State Superintendent of Public Instruction
Internet Services eligible for CTF, Effective 12/1/2008:
• The definition of Internet Access is the same as that used by the FCC.
• Internet definition can be found @ http://fjallfoss.fcc.gov/edocs_public/attachmatch/FCC-08-265A2.pdf
• Eligible Internet Services include: o landline; and o satellite/wireless Internet access, including cellular data plans and laptop cards o o
Service Providers may use different terminology to “name” their CTF-eligible services. Contact the applicable Service Provider for more details which billing components and named services are eligible for CTF discounts. Not all billing elements associated with the above named services may be eligible for CTF discounts.
Intermediate/Advanced Presentation I 2011 California Department of Education 156
TOM TORLAKSON
State Superintendent of Public Instruction
SB1102 IMPACT ON PARTICIPATING SCHOOLS AND LIBRARIES
• CTF service providers are required to apply the California statewide average E-rate percentage before calculating the CTF discount (
this calculation only reduces customer’s eligible dollar amount considered for CTF discounts; it does not provide the customer an E-rate discount
) on eligible services, where applicable. •
“NEW “ (effective 7/1/12)….
Community based organizations (CBOs) that offer Head Start programs will see CTF discounts
stacked, just as with schools and libraries
Intermediate/Advanced Presentation I 2011 California Department of Education 157
TOM TORLAKSON
State Superintendent of Public Instruction
Services that are Ineligible for E-rate, but eligible for CTF
• If an applicant is a public or private school or public library, eligible to receive E-rate discounts, but subscribe to telecommunications services that are ineligible E-rate discounts, those services will not be affected by SB1102. • CTF applicant is required to provide documentation to their carrier identifying each CTF service/circuit ID and the reason why they are ineligible for E-rate discounts.
• Contact your carrier to inquire what paperwork they require to accommodate for these situations. • E.g., currently, data plans for wireless are only eligible for E rate if used on campus. Off campus usage is not currently eligible. If school or library is not applying for E-rate for the data plans or is cost allocating only for a portion of the off campus usage & is applying for CTF for the card, customer must submit CTF Eligible/E-rate Ineligible Services form (
annually
) to receive 50% discount CTF discounts without stacking. Intermediate/Advanced Presentation I 2011 California Department of Education 158
TOM TORLAKSON
State Superintendent of Public Instruction
Questions?
Intermediate/Advanced Presentation I 2011 California Department of Education 159
Who to Contact?
TOM TORLAKSON
State Superintendent of Public Instruction • • • •
State Library:
Rushton Brandis, (916) 653-5471 [email protected]
CDE/E-rate:
John Vardanega, (916) 323-2241 [email protected]
CDE/EETT:
Tech Plans: Doris Stephen, 916-324-9943 [email protected]
K-12 HSN/Butte COE:
Russ Selken 530-532-5678 [email protected]
Intermediate/Advanced Presentation I 2011 California Department of Education 160
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Alternative Discount Mechanisms
Intermediate/Advanced Presentation I 2011 California Department of Education 161
TOM TORLAKSON
State Superintendent of Public Instruction
Alternative Discount Mechanisms
Alternative Discount Mechanisms
• NSLP eligibility based on student’s family being at or below 185% of federal poverty levels • Income Eligibility Guidelines (IEG) published annually by U.S. Department of Agriculture • Other alternative discount methodologies seek to determine if a student meets the NSLP IEG threshold Intermediate/Advanced Presentation I 2011 California Department of Education 162
TOM TORLAKSON
State Superintendent of Public Instruction
Alternative Discount Mechanisms
Acceptable Mechanisms
• Programs that meet the IEG threshold for the NSLP: – Medicaid – Food stamps (SNAP) – Supplementary Security Income (SSI) – Section 8 Housing Assistance – Low Income Home Energy Assistance Program (LIHEAP) – Food Distribution Program on Indian Reservations
Unacceptable Mechanisms
• Programs that do not meet the IEG threshold for the NSLP: – Temporary Aid to Needy Families (TANF) – Title 1 – Scholarship programs Intermediate/Advanced Presentation I 2011 California Department of Education 163
TOM TORLAKSON
State Superintendent of Public Instruction
Alternative Discount Mechanisms
Sibling Match
• If school can establish that one sibling in a family is eligible for NSLP, then it can count the other siblings in the same family as eligible for NSLP even if the other siblings do not participate . Intermediate/Advanced Presentation I 2011 California Department of Education 164
TOM TORLAKSON
State Superintendent of Public Instruction
Alternative Discount Methods
Surveys
• Must be sent to all families whose children attend the school • Surveys must contain at least student and family name, size of family, income level of family or acceptable alternative mechanism • Surveys are valid for two years • NSLP application forms are never an acceptable survey instrument Intermediate/Advanced Presentation I 2011 California Department of Education 165
Alternative Discount Methods
TOM TORLAKSON
State Superintendent of Public Instruction
Survey Extrapolation
• If a survey is sent to all households of its students, and • If at least 50% of surveys are returned • School may extrapolate the data to 100% of its students • Example: – 100 families received the survey; 75 returned them – 25 of the 75 families are eligible for NSLP – 25/75 = 0.33
– School can report 33% of all students are eligible Intermediate/Advanced Presentation I 2011 California Department of Education 166
Alternative Discount Methods
Combining Alternative Discount Methods TOM TORLAKSON
State Superintendent of Public Instruction • Ensure that the same students are not double counted. • Surveys cannot be combined with other alternative discount methods if you have extrapolated • Provisions 1-4 cannot be combined with other alternative discount methods since they include extrapolation • Keep detailed records to show that the same students were not double counted Intermediate/Advanced Presentation I 2011 California Department of Education 167
TOM TORLAKSON
State Superintendent of Public Instruction
Alternative Discount Methods
Ineligible Discount Calculation Methods
• Feeder School Method – Extrapolating from elementary to secondary schools • Principal’s Survey/Estimate – Based on administrators’ knowledge of some of their students • Title I eligibility • Neighborhood poverty measurements Intermediate/Advanced Presentation I 2011 California Department of Education 168
TOM TORLAKSON
State Superintendent of Public Instruction
Intermediate/Advanced Presentation
Interconnected VoIP (Hosted; Priority 1)
Intermediate/Advanced Presentation I 2011 California Department of Education 169
TOM TORLAKSON
State Superintendent of Public Instruction
Interconnected VoIP
• Leased VoIP or PBX equipment are NOT eligible for Priority One funding.
• By removing the VoIP or PBX equipment, the local voice network will cease to function. This equipment is eligible ONLY as Internal Connections.
170 Intermediate/Advanced Presentation I 2011 California Department of Education 170
TOM TORLAKSON
State Superintendent of Public Instruction
Interconnected VoIP
• A gateway may be leased with eligible Priority One VoIP service.
• A gateway is considered a single basic terminating device.
171 Intermediate/Advanced Presentation I 2011 California Department of Education 171
TOM TORLAKSON
State Superintendent of Public Instruction
Interconnected VoIP
• A multipurpose leased router may be eligible for Priority One funding if, as seen in this example, the internal data and voice network functions without dependence on the leased router. 172 Intermediate/Advanced Presentation I 2011 California Department of Education 172