Roadshow Presentation Funding Year 2012 October 2011 Gary Rawson, ITS Lee Bray, MDE

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Roadshow Presentation Funding Year 2012 October 2011 Gary Rawson, ITS Lee Bray, MDE 12/29/21 1

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Roadshow Presentation Funding Year 2012 October 2011 Gary Rawson, ITS Lee Bray, MDE. Topics to cover. The Mississippi Story Funding Denials ITS State Master Contracts Deadlines Technology Plan Form 470 Form 471 PIA Contacts FCDL Form 486 BEAR or SPI Service Deliver Invoice Delivery - PowerPoint PPT Presentation

Transcript of Roadshow Presentation Funding Year 2012 October 2011 Gary Rawson, ITS Lee Bray, MDE

Page 1: Roadshow Presentation Funding Year 2012 October 2011 Gary Rawson, ITS Lee Bray, MDE

Roadshow PresentationFunding Year 2012

October 2011

Gary Rawson, ITSLee Bray, MDE

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Topics to cover• The Mississippi Story

1. Funding2. Denials

• ITS State Master Contracts• Deadlines

1. Technology Plan2. Form 4703. Form 4714. PIA Contacts5. FCDL6. Form 4867. BEAR or SPI8. Service Deliver9. Invoice Delivery

• State Procurement• Eligible Services• Non Instructional Facilities• Gift Rules• CIPA• Guest Speakers

1. Bobby Massey is going to speak about MDE2. Jimmy Webster is going to speak about ITS, 4000, and RFPs in general

• Open Lab to file Form 470s and BEARs04/22/23 2

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E-rate hot-lines

Complaints And Gripes• Call 601-432-8113• Talk to whomever answers

Compliments and happy stories• Call 601-359-5544• Talk to whomever answers

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Vendor E-rate Contacts

• It is often difficult to keep up with contact information for Service Providers and TCs.

• People change, or addresses change• Wouldn’t it be nice if….– All Service Providers and/or TCs had a single e-

mail address that would route e-mails to the appropriate person or persons

– What about [email protected] – What about [email protected]

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Mississippi E-rate as of October 19, 2011

We have completed 14 years and are now entering our 15th year of the program

• Committed dollars, including FY2011: $471,801,698.21

• Average $ per student: $943.60 (Assuming Student Count of 500,000)

• Average $ per year: $31,453,446.55

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Mississippi E-rate as of October 19, 2011

For FY2010, Year 14 of the program• Average Statewide discount: 83.6%

• Pre-Discount Amount: $47,397,967.67

• Requested Amount: $40,053,888.23

Difference $7,344,079.44

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Different Ways of Viewing the Same Data

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Different Ways of Viewing the Same Data

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Mississippi E-rate as of October 19, 2011

For FY2010, Year 14 of the program• Average Statewide discount: 83.6%

• Pre-Discount Amount: $47,397,967.67

• Requested Amount: $40,053,888.23

Difference $7,344,079.44

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Mississippi E-rate as of October 19, 2011

For FY2010, Year 14 of the program

• Requested Amount: $40,053,888.23

• Committed Amount: $36,859,704.54

Difference: $3,194,183.69 Denials: $2,389,931.82

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Mississippi E-rate as of October 19, 2011

For FY2010, Year 14 of the program• Committed Amount: $36,859,704.54

• Disbursed Amount: $21,745,052.86

Difference: $15,114,651.68

Unfiled BEARS: $5,951,433.63

Pending: $9,163,218.05

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105 FRN Denials for FY 2010

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• The FRN is denied because the applicant failed to respond to the Administrator's Selective Review Information Request. You did not provide any documentation to determine if the entity met program rules requirements for competitive bidding and Item 25 certification.

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• The FRN is denied because the applicant failed to respond to the Administrator's Selective Review Information: This FRN is denied because the documents provided by you and/or your vendor indicates that there was not a fair and open competitive bid process free from conflicts of interest. The documentation provided by you and/or your service provider indicates that prior to/throughout your contractual relationship with the service provider listed on the FRN, that you were offered and accepted gifts, meals, gratuities, entertainment from the service provider, which resulted in a competitive process that was no longer fair and open and therefore funding is denied.

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• 30% or more of this FRN includes a request for Cisco Learning Credits which is an ineligible product(s)/service(s) based on program rules.

• This funding request is denied as a result of a Cost Effectiveness Review, which has determined that your request for basic maintenance of the Mitel PBX System and its components has not been justified as cost effective as required by FCC rules. Percentage of maintenance vs. purchase cost for the Mitel PBX System and its components is 250% ($24,999.96/$10,007.05).

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• Applicant has not provided sufficient documentation to determine the eligibility of this item. No documentation was provided for item(s): Current Form 470

• Applicant has not provided sufficient documentation to determine the eligibility of this item. No documentation was provided for item(s): make/model of equipment, cost-allocation for Video on Demand Content Storage, Remote Controls, Microphones, Cameras, Speakers.

• Form 471 canceled in consultation with the applicant.

• Denied for Unknown Reasons04/22/2316

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You already know the process is as simple as Jell-o…Right?

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Deadlines

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Technology Plan• Written before filing a Form 470• Written before filing a Form 471 if using a SMC or

an existing contract• Approved before services start (certify on 486

that TP has been approved)

• Notes:TP should not cover more than three yearsCurrent TP should cover at least part of the upcoming

funding year

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Form 470

• Must be filed soon enough to allow 28 days before signing a contract and filing a Form 471

• Form 470 Receipt Notification Letter (RNL) allows 15 days to respond with corrections

• Notes:The RNL allows you to make specific modifications to

your Form 470 informationIf you provide yourself enough time you can simply file

a replacement 470

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Form 471

• Cannot be filed prior to the Window Opening (Early Jan.)• Cannot be filed prior to the Allowable Contract Date as shown on

your Form 470 (if you filed one) and on your RNL • Must be filed prior to the Window Closing (Mid March)• Form 471 Receipt Acknowledgment Letter (RAL) allows 20 days to

respond with corrections

• Notes: The Item 21 Attachments have to be “SUBMITTED” prior to the end of

the Window, not after the Window as in years past (Prior to FY2010) If you provide yourself enough time you can simply file a replacement

471

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PIA Contact

• Contact has been made if PIA performed: A live telephone conversation with the contact person or other

person designated by the contact person A voice mail message left at the contact person's telephone

number A fax sent to the contact person's fax number with confirmation

of successful transmission An email message sent to the contact person's email address

without a return message of unsuccessful transmission • You have 15 days to respond after PIA has made a request• If you don’t respond PIA will contact the State E-rate

Coordinator (who may in turn contact your Super)

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FCDL

• If you are funded, but USAC reduced your Funded Amount or

• If you are denied funding

You have 60 days from the date of the FCDL to APPEAL

• Typically you appeal first to USAC• You can appeal directly to FCC

• Notes: Almost all denials should be appealed

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Form 486• Cannot be filed prior to the FCDL• Must be received by USAC no later than 120 days after Service Start

Date on the 486or

• No later than 120 days after the date of the FCDLwhichever is later

• Applicants that have received a FCDL may file an Early 486 (prior to July 1st) if they have confirmed with their Service Provider that services will start in July of the upcoming funding year

• USAC will send a Form 486 Notification Letter to both applicant and service provider(s)

• Notes: The Form 486 generally notifies USAC that services have begun and that

USAC can begin processing of payments

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Form 474 – SPI (Service Provider Invoice)

• Cannot be filed by the Service Provider if the Applicant has already filed a Form 472 (BEAR)

• Cannot be filed by the service provider until: The Billed Entity has filed a Receipt of Service Confirmation Form (Form

486) for the services for which discounts are being requested The eligible services have been or are being received The service provider has provided a customer bill to the Billed Entity at

discounted prices.• USAC will issue a Remittance Statement to the Service Provider once

the Form 474 has been filed (the applicant is not notified).

• Notes: No invoices will be paid until the Service Provider has filed its Service

Provider Annual Certification (SPAC)

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Form 472 – BEAR (Billed Entity Applicant Reimbursement)

• Cannot be filed by the Applicant if the Service Provider has already filed a Form 474 (SPI)

• Cannot be filed by the Applicant /Billed Entity until: The Billed Entity has filed a Receipt of Service Confirmation Form (Form 486) for

the services for which discounts are being requested The eligible services have been or are being received The Billed Entity has paid for the services in full

• The Form 471 must be received not later than 120 days after the last date to receive service or 120 days after the date of the From 486 NL, whichever is later

• USAC will issue a Form 472 Notification Letter to both the Applicant and the Service Provider once the BEAR has been filed

• Notes: BEARS are usually filed annually, but can be filed quarterly, semiannually, monthly No invoices will be paid until the Service Provider has filed its Service Provider

Annual Certification (SPAC)04/22/23 27

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Service Delivery Deadlines Recurring Services

• Must be delivered during the relevant funding year (July 1 – June 30)Priority One infrastructure cost can be incurred prior

to the funding yearInitiation of installation cannot take place before

selection of the service provider pursuant to a posted Form 470 and in any event no earlier than six months prior to July 1 of the funding year.

The Priority 1 service must depend on the installation of the infrastructure.

The underlying Priority 1 service cannot have a service start date prior to July 1 of the funding year.

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Service Delivery Deadlines Non-Recurring Services

• Must be delivered during the relevant funding year (July 1 – September 30)

• Extensions can occur when: A Funding Commitment Decision Letter (FCDL) is issued by USAC on or

after March 1 of the funding year for which support is authorized (AutoE)

Service provider change authorizations or service substitution authorizations are approved by USAC on or after March 1 of the funding year for which support is authorized (AutoE)

The applicant requested an extension because the service provider was unable to complete delivery and installation for reasons beyond the service provider's control (Before September 30th)

The applicant requested an extension because the service provider has been unwilling to complete delivery and installation after USAC withheld payment for those services on a properly-submitted invoice for more than 60 days after submission of the invoice (Before September 30th)

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31

31

30

31

31

Last Day of Service

31+31+30+28 = 120 Last Date to Invoice

Invoice Deadline

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Invoice Deadlines

• Invoices must be postmarked no later than: 120 days after the last date to receive service, or 120 days after the date of the Form 486 Notification Letter, whichever is later.

• USAC provides for the extension of invoice deadlines under certain conditions. These conditions include: Authorized service provider changes Authorized service substitutions No timely USAC notice (e.g., the service provider's Form 486 Notification Letter

is returned as undeliverable) USAC errors (for example, in data entry) that ultimately result in a late invoice Documentation requirements that necessitate third-party contact or

certification Natural or man-made disasters that prevent timely filing of invoices "Good Samaritan" BEARs Circumstances beyond the service provider's control

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ITS State Master Contracts

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ITS Contract Sheet

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Using ITS Single Award Contracts

• For Single Award Contracts, there is only one provider – ATT (4000-1): WAN services, In-StateLD, Out of State

LD, POTS, Centrex, Voice Mail, WAN Equipment – Cspire (RFP3489): Cellular and Blackberry

• Do you have to solicit quotes?– Yes, for your Item 21 Attachment– It is a good practice, but you are not required to

obtain a quote for each Funding Request Number, especially if it is for recurring services.

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Using ITS Multi-Award Contracts• The only one we have that is e-rate eligible is the Switch EPL

– EPL 3548• MDE paid ITS to create this specifically for Districts• You will have to solicit quotes from all vendors, just as you have in the

past. • IT Hardware EPL 3658

– Desktop and mobile-based computers, monitors, engineering and GIS-Level workstations, laser and inkjet printers, large format printers and plotters, interactive whiteboards, projectors, large displays, Windows-based servers, storage, UPS, rack, switches, wireless components, thin client systems, video conferencing equipment, and AV components.

– The IT Hardware EPL replaces the former Micro 3605 EPL and the Computer Hardware 3630 EPL. Both of these EPLs expired June 30, 2011 and may no longer be used

– The IT Hardware EPL is valid through June 30, 2014

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Questions about ITS Contracts

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Your Own Procurement/Bidding Process

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AT&T Here!

InLine Here!

Telepak Here! Comcast

Here!

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State Purchasing Guidelines for Non-State Contract Purchasing

–$0-$5,000• May purchase without

advertising or otherwise requesting competitive bids, unless the purchasing agency or entity has established more stringent procedures (your district may have its own guidelines).

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State Purchasing Guidelines for Non-State Contract Purchasing

–$5,001-$50,000 • May purchase without advertisement for bids, provided at least two competitive written bids have been obtained.

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State Purchasing Guidelines for Non-State Contract Purchasing

–$50,001 and above

• Advertise, issue written specifications and received sealed bids or proposals.

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State Purchasing Guidelines

• Large projects -You may hire ITS to help you• Procurement guidelines– www.its.ms.gov/procurement.shtml

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Procurements…• Lifecycle Cost

– The lifecycle cost of an information technology project means the total committed costs of the project, not just the initial or up-front costs. Lifecycle cost includes all costs associated with obtaining the item and maintaining and operating it for its projected lifecycle. Initial or one-time costs might include purchase price, freight, installation, and training. Ongoing costs include such expenses as post-warranty maintenance; support, including help desk charges, upgrade charges, and on-site vendor personnel; and any recurring usage charges.

– $5,000 per month, for a three year contract has the Lifecycle Cost of $180,000($5000 per month*12 months * 3 years

=$180,000)• Do IT services have to be bid?

– Yes, Section 25-53-3 of the Mississippi Code of 1972 defines ITS' authority over the acquisition of any information technology, computer or telecommunications equipment, electronic word processing and office systems, or services utilized in connection therewith, including, but not limited to, all phases of computer software and consulting services and insurance on all state-owned computer equipment. Please note that, unlike public purchasing law, the statute that defines ITS' purview over technology acquisitions includes services. All technology services, whether for direct, hands-on skills such as application development and network support, or for such technology consulting services as technology studies, project management, technology advisory roles, qualilty assurance support, and facilities management, are within ITS purview. Reference 001-020 – Acquisitions with ITS Purview in the Procurement Handbook for more information.

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Yes, but….School Districts are Governing Authorities, not under

ITS Purview.• Governing authorities (e.g. community/junior colleges,

county boards of supervisors, school districts, municipalities) are not required to use ITS procurement procedures but may choose to do so as one way of meeting public purchasing requirements.

• Public Purchasing Law: “Services do not have to be bid.”Telecom ServiceCellular Service Internet Service

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If You file your own 470• You select your vendor and sign your own

contract• If you choose an ITS State Master Contract (SMC)

then you must cite your own 470 and you must use the date you decided to use the SMC as your Contract Award Date (CAD)– The CAD must be after the Allowable Contract Date

(ACD) on the 470 (28days)– When audited, you will have to prove why you chose

SMC, just as you have to prove why you chose any vendor

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Form 470• When filing your Form 470, file under

Telecommunications Services (Block 2, Item 8) and Internet Access (Block 2, Item 9)

• For Priority One, WAN Services and Internet Access there are two types of providers1. Telecom Provider (ATT, InLine, Telepak,

Comcast)2. Internet Service Provider (Cable Company,

Research Network, Municipality)

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Form 470 Form 470 Instructions

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Should applicants submit an FCC Form 470 for lit fiber under both the telecommunications and Internet access categories?

• Yes. Any entity can provide supported telecommunications in whole or in part via fiber (whether lit or dark).

• Applicants are encouraged to submit an FCC Form 470 indicating the desired service in both the telecommunications service and Internet access categories.

• Once a provider is selected, an applicant should check the appropriate category of service on the FCC Form 471 application based on the type of provider they select to provide the fiber.

• If the provider is an eligible telecommunications carrier, the applicant can select Telecommunications Services if they are purchasing telecommunications services and other services, such as Internet access.

• If an eligible telecommunications carrier is providing only Internet access, and not telecommunications services, then the applicant must select Internet access.

• All other providers should be listed under Internet Access.

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470 Guidance• Purpose – to establish an e-rate eligible contract• Procurement Process must be Open and Fair– Open means there are not secrets in the process such as

information shared with one bidder but not with others– Fair means that all bidders are treated the same and no

bidder has advance knowledge of the project information

• Must abide by State and Local Rules– Item 25 on the 470, “I certify that I have reviewed all

FCC, State, and local procurement/competitive bidding requirements and that I have complied with them.”

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470 Guidance• Price is the primary determining factor– “Lowest and best”

• RFP is not required – but is recommended• The Bidding process must be open for 28 days– You cannot award the contract within 28 days– You cannot select your vendor within 28 days– You cannot file a Form 471 within 28 days

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470 Guidance• “Service providers…sending a generic email to

the applicant saying that the service provider can provide the general type of service requested is not considered a good faith response to a Form 470 posing and can be considered ‘spam’ and ignored by the applicant.”

• An applicant “Not responding to a potential bidder promptly can result in compromised competitive bidding process which can result in funding denial.”

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470 Guidance• “An applicant may choose to post questions received

from potential bidders along with the applicant’s answers on the applicant’s website. Doing so would ensure that all potential bidders have access to the same information – a key component in the fair and open competitive bidding process.”

• “You (an applicant) can set out specific requirements and disqualify bids that do not meet those requirements as long as you clearly identify the disqualification reasons on the 470 and/or your RFP. Disqualifications should be determined prior to any substantive bid evaluation. Disqualification reasons cannot be scored on a range, but rather a binary –i.e., the bidder either meets the standard or does not meet the standard.”

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470 Guidance• Mandatory Walkthrough – “You can require that bidders

participate in a walkthrough of your facility, or attend a bidders conference in order to submit a bid. As long as you have clearly stated in you 470 and/or RFP that not attending these events is a reason for disqualification, you can disqualify bids from service providers that were not present at these events.”

• Response Due Date - You can require that bidders submit their responses by a certain date and time and can reject any late responses as long as you have clearly stated in you 470 and/or RFP that a late response is a reason for disqualification. But, only if the deadline is after 28 days.

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470 Guidance• 470 Window?– No, but you do have a deadline

• “If you wait until the last possible day to post your Form 470, you will have to close your competitive bidding process, evaluate the bids received, select your service provider, sign a contract, and sign and submit your Form 471 (with Item 21 attachments) all on the last day of the filing window.”

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470 Guidance• If the Window close March 15th

• Deadline for filing a Form 470 is Feb. 17th• If you have to file on paper then you are looking

at Feb. 10th to give USAC time to process it.

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470 Guidance• Most common denials

1. 28 day violation2. Not a fair and open procurement3. Weak 470 – encyclopedic 4. Wrong categories of service

• “DR1: The 470 cited did not include service of this type; therefore it does not meet the 28 day competitive bidding requirement.”

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Your ContractsFunding Year 2012 07-01-12 to -6-30-13

• What if…1. 470: 11-09-112. Contract: 12-20-11 1 yr = 07-01-12 to 06-30-13

3. 471: 02-15-124. FDCL: 06-01-135. 486 SSD: 07-01-126. CED: 06-30-13

7. LDInvoice: 01-28-15 15 months after FCDL

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Questions about the procurement process

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Eligible Services

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 58

Eligible ServicesPriority One

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 59

• Broadcast “Blast” messaging• Monitoring services for 911, E911 or alarm telephone

lines• Services to ineligible locations• End-user devices – Cell phone, tablet computers

Not Eligible as Telecom Services

Priority One

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 60

• 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

Basic Maintenance of Internal Connections

Priority Two

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 61

• Agreements or contracts must state the eligible components covered, make, model and location

• Service must be delivered within the July 1st to June 30th timeframe

• Two-in-Five Rule does not apply to BMIC

Basic Maintenance of Internal Connections

Priority Two

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 62

• 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

BMIC Updated Guidance

Priority Two

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 63

• 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.

BMIC Updated Guidance

Priority Two

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 64

• 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

BMIC Updated Guidance

Priority Two

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 65

• Telecommunication Services and Telecommunications are two separate categories on the Eligible Services List (ESL)– Telecommunications Services can only be provided by

an eligible telecommunications carrier – Telecommunications can be provided by non-

telecommunications carriers via fiber in whole or in part

Telecommunications Services vs Telecommunications

Dark Fiber

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 66

• 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

Leased Dark Fiber as Priority One

Dark Fiber

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Eligible Services I 2011 Schools & Libraries Fall Applicant Trainings 67

• Leased Dark Fiber as Priority One

Dark Fiber

• Installation costs to hook up the dark fiber is eligible from the eligible entity to the property line

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• Special Construction charges to build out connections from applicants’ facilities to an off-premise fiber network are NOT eligible

Dark Fiber as Priority One

Dark Fiber

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• Dark Fiber as Priority Two

Dark Fiber

• Installation and Fiber costs between two eligible buildings, not crossing a public right of way are considered Internal Connections

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Eligible ServicesEquipment Transfers, Disposal and Trade-in

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• 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

Equipment transfer rules

Equipment Transfers

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• 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.

Disposal of Equipment Rules

Disposal of Equipment

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• 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

Trade-ins and Exchanges

Trade-ins and Exchanges

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Questions about Eligible Services or the Transfer of Equipment

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Non-Instructional Facility (NIF)

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• Non-instructional facilities (NIFs) are buildings operated by a school, library, or district that are not schools or do not contain public library spaces

• NIFs may or may not contain classrooms• NIFs are always eligible for Priority 1 services• NIFs are only eligible for Priority 2 services if the services

are essential for the effective transport of data to the classroom or public areas of the library

Non-Instructional Facilities

Calculating Your Discount

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• 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– Use Block 4 checkbox for shared discount worksheet– Use additional worksheet if needed to indicate entities

receiving service

Non-Instructional Facilities

Calculating Your Discount

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• NIFs that serve multiple schools and have 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

– Retain documentation of your calculation • School under construction– Population is known = use that data– Population is unknown = use district shared discount

Non-Instructional Facilities and New School Construction

Calculating Your Discount

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Questions?????

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GiftsE-rate Gift Rules

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• Applicants have always been required to conduct fair and open competitive bidding process

• Applicants certify on the Form 471 Item 29 that they “…have not received anything of value or a promise of anything of value, other than services and equipment sought by means of this form, from the service provider, or any representative or agent thereof or any consultant in connection with this request for services. “

Fair and Open Competitive Bidding

New Gift Rules

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• FCC Rules - 47 C.F.R. § 54.503(d)

• Federal Gift Rules - 5 C.F.R. § 2635.201-205

• FCC Sixth Report and Order - 25 FCC Rcd 18762 (2010)

• FCC Clarification Order - 25 FCC Rcd 17324 (2010)

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• 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.

Gift Rules

E-rate Gift Rules

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• 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.

Gift Prohibitions

E-rate Gift Rules

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• “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.

Gift Rule Exceptions

E-rate Gift Rules

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• 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 year exception and there is no rule violation.

Gift Rule Exceptions Examples

E-rate Gift Rules

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• 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.

Gift Rule Exceptions Examples

E-rate Gift Rules

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• 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.

Gift Rule Exceptions Examples

E-rate Gift Rules

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• Promptly 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.

Curing Violations

E-rate Gift Rules

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• 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.

Curing Violations Examples

E-rate Gift Rules

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GiftsCharitable Donations

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• 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

Charitable Contributions

Charitable Donations

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• 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.

Allowable Charitable Contributions

Charitable Donations

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• 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

Potentially Allowable Charitable Contributions

Charitable Donations

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• 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.

Potentially Allowable Charitable Contributions

Charitable Donations

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• Donations given for the purpose of influencing the competitive bidding process are rule violations. – Donations could either be directly from the service

provider or solicited or accepted indirectly through a non-profit organization.

Unallowable Charitable Contributions

Charitable Donations

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• “A gift which is solicited or accepted indirectly includes a gift: (1) Given with the employee’s knowledge and acquiescence to his parent, sibling, spouse, child, or dependent relative because of that person’s relationship to the employee, or (2) Given to any other person, including any charitable organization, on the basis of designation, recommendation, or other specification by the employee except as permitted for the disposition of perishable items or payments made to charitable organizations in lieu of honoraria.” See 5 C.F.R. § 2635.203(f).

Gifts solicited or accepted indirectly

Charitable Donations

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• Donations made indirectly through a third party, such as a non-profit, would be prohibited if the organization is used as a shell to disguise a directed gift. – A service provider directing its foundation to provide a

cash donation equal to the value of the applicant’s non-discount share is a prohibited donation.

• Service provider cannot direct the donation and must relinquish control of the gift once provided to a non-profit.

Gifts solicited or accepted indirectly

Charitable Donations

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• Example:– An employee who must decline a gift of a personal

computer pursuant to this rule may not suggest that the gift be given instead to one of five charitable organizations, whose names are provided by the employee.

– A service provider cannot donate computers to raffle with the caveat that they go to E-rate recipients, or specific individuals or schools, or a subset of schools and libraries.

Gifts solicited or accepted indirectly

Charitable Donations

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• 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

Unallowable Charitable Contributions

Charitable Donations

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• 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.

Unallowable Charitable Contributions

Charitable Donations

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GiftsConferences and Training Sessions

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• 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

Prizes

Conferences and Training Sessions

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• “Widely attended gatherings” allow for free attendance and meals or refreshments at that event. 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.

Widely Attended Gatherings

Conferences and Training Sessions

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• Food, refreshments, instruction and documents given to all attendees at Widely Attended Gatherings 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)

Conferences – Permissible Actions

Conferences and Training Sessions

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• 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 help with preparation or

completion of forms, or determining the services listed on the FCC Form 470 and/or RFP.

Conferences – Permissible Actions

Conferences and Training Sessions

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• 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.

• Meals at a Widely Attended Gatherings not provided to all attendees would be subject to gift limits

Conferences – Impermissible Actions

Conferences and Training Sessions

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• 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.

Conferences – Registration Fees

Conferences and Training Sessions

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• 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.

Board Membership

Representation on Boards

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Questions?

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CIPA

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What is CIPA? • You have a Handout – Read it• You also have E-rate Central’s CIPA Policy Primer• Children’s Internet Protection Act was signed into

law on December 21, 2000– Beginning with FY2001, CIPA sets certain

requirements for E-rate recipients of service receiving funds for Internet Access, Internal Connections, and Basic Maintenance of Internal Connections

– CIPA DOES NOT APPLY to Telecommunications Services

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113Program Compliance I 2010 Schools & Libraries Fall Applicant Trainings

Children Internet Protection Act requirements:– Proof of public notice of public meeting or hearing– Proof of public meeting or hearing– Copy of Internet Safety Policy– Technology protection measure

• Applicants must be CIPA compliant when receiving Internet access in the telecom service category

Documentation Tip:– Must maintain documentation from prior years if it

supports current funding year– Filter documentation examples: maintenance logs, filtering

logs, proof of purchase or vendor filter description

CIPA Compliance

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• FOR 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.

• FOR LIBRARIES – No new requirements.• Overall - several existing statutory requirements have

been codified and others have been clarified.

New requirements under CIPA

Summary of New Requirements

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Free Resources for Educators

Cybersafety

• http://onguardonline.gov/features/feature-0004-featured-net-cetera-toolkit

• http://www.media-awareness.ca/english/resources/educational/lessons/cyberbullying.cfm

• http://www.cybersmartcurriculum.org/ • http://www.staysafeonline.org/

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CIPA Questions

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