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November 2001

Please click on the topic below to view the most recent announcements:

In the last two weeks, the SLD has added an electronic certification option to both Form 470 and Form 471. This new feature will help applicants speed the filing of their forms. To obtain more information on how you may qualify to receive your User ID and PIN so that you can electronically certify these forms, click here.

Schools and libraries are already filing their certifications online. Gayle Scriven, the Director of Florence Public Library in Florence, Kansas, was the first to complete the electronic certification of Form 470 online. Florence Public Library serves a population of 670. "I liked the concept of the electronic signature process; that’s why I used it. We are open 15 hours a week; our one computer is in use all the time, and it is only because of the E-rate program that we can afford this service."

Tomahawk School District in Tomahawk, Wisconsin, was the first applicant to electronically certify its Form 471. Lin Kautza, District Technology Coordinator, said, "Electronic certification is more time-effective, and streamlines the application process. I have moved from manual filing to online filing to electronic certification, and I appreciate the immense time savings these improvements have made."

For more information on electronically certifying your Form 470, click here. For more information on electronically certifying your Form 471, click here. You may also call the SLD Client Service Bureau at 1-888-203-8100 or send an e-mail to question@universalservice.org.

Applicants who would like to electronically certify Form 470 or Form 471 must have a valid User ID and PIN. Following are tips to assist with the PIN request process:

SLD has added the capability for online submission of certifications to the online Form 471.

To be able to submit certifications for Form 471 online, you must have a valid User ID and PIN. To obtain a PIN, you must be the authorized person named on either (1) a Form 471 for Funding Year 2 or later that was approved for funding or (2) a Form 486 for Funding Year 2 or later that was successfully data entered. To request a PIN, you must go to the PIN Request Area of this web site; if your request is successfully processed, you will receive your PIN by mail. More information on User IDs and PINs is available in the Online Submission of Certifications posted in the Reference Area of this web site.

Applicants who reach the online Form 471 Block 6 certification page will now have two options, each with its own button — to continue either with electronic certification or with manual certification.

Electronic certification

For electronic certification, you will check the appropriate Block 6 certifications and click the "Submit" button. You will need to enter the User ID that you selected when applying for your PIN and the PIN assigned to you by the SLD. Then you must click the checkbox to affirm your compliance with the electronic certification process, and click the "Done" button.

• If your electronic certification is successful, you will receive a confirmation indicating that your certification was successful along with a Certification ID Number. Print out the Block 6 certification page using your browser. When you print out Block 6 using your browser, the form will automatically include your Form 471 Application Number, Entity Number, Billed Entity Name, and Billed Entity Address. Please save a copy for your records. Be sure to include a copy of this page when mailing attachments to the SLD. This page is necessary to match the attachments with the correct application.

• If you fail to enter a correct User ID and PIN after five attempts, you will be re-directed to the manual certification process (see below).

Manual certification

For manual certification, you will check the appropriate Block 6 certifications, click "Submit," and then print a completed certification page for the authorized person to sign and submit to the SLD. When you print out Block 6 using your browser, the form will automatically include Form 471 Application Number, Entity Number, Billed Entity Name, and Billed Entity Address. If you mail attachment(s) separately from the Form 471 or the Block 6 certification page, be sure to mark your attachment(s) and include your Form 471 Application Number, Entity Number, Billed Entity Name, and Billed Entity Address. This information is necessary to match the attachments with the correct application.

REMINDER: The following application materials associated with a Funding Year 5 Form 471 must be received by 11:59 p.m. EST on January 17, 2002 or postmarked on or before January 17, 2002 in order for the request to receive consideration as inside the window:

• The Form 471 itself (whether electronic or paper)
• The Block 6 certification of the Form 471 with the signature of the authorized person (whether electronic or paper)
• The Block 5 certification of any Form 470 cited in a Funding Year 5 Form 471 with the signature of the authorized person (whether electronic or paper).

Your Item 21 Attachment(s) is not required to be received or postmarked by January 17, 2002, but the SLD must have the Item 21 Attachment(s) to process the Form 471. (See Form 471 Minimum Processing Standards and Filing Requirements for detailed instructions on how to label your Item 21 Attachment(s)).

The Schools and Libraries Client Service Bureau will be closed on Thursday, November 22 and Friday, November 23, 2001 in observance of Thanksgiving. The Client Service Bureau will resume normal operations on Monday, November 26, 2001 at 8:00 a.m., EST.

SLD has added the capability for online submission of certifications to the online Form 470.

To be able to submit certifications for Form 470 online, you must have a valid User ID and PIN. To obtain a PIN, you must be an authorized person named on either (1) a Form 471 for Funding Year 2 or later that was approved for funding or (2) a Form 486 for Funding Year 2 or later that was successfully data entered. To request a PIN, you must go to the PIN Request Area of this web site; if your request is successfully processed, you will receive your PIN by mail. More information on User IDs and Pins is available in the Online Submission of Certifications posted in the Reference Area of this web site.

Applicants who reach the online Form 470 Block 5 certification page will now have two options, each with its own button - to continue either with manual certification or with electronic certification.

For manual certification, an applicant will check the appropriate Block 5 certifications, click "Submit," and then print a completed certification page for the authorized person to sign and submit to the SLD.

For electronic certification, an applicant will check the appropriate Block 5 certifications, click "Submit," fill in the User ID and PIN and check a box to affirm compliance, then click "Done."

• If the system verifies the User ID and PIN, the computer will display a dialog box with a Certification ID Record Number specific to this online certification. If you click "OK," the computer will then display a copy of the certification page with the Certification ID Record Number displayed in the signature line for you to print for your records. Do not submit any part of the printed Form 470 application to the SLD.
• If the system cannot verify the User ID and PIN, the computer will display an error message and allow you to try to enter the User ID and PIN again. After a total of five unsuccessful attempts, the system will return you to the manual certification option. You must then submit your certification manually.

SLD is beginning the process of closing out disbursements on Funding Year 3 commitments.

File your Form 486 NOW, if you have not already done so.

Funding Year 3 Form 486 Deadlines

• Recurring Services: For Funding Requests with recurring services only, the absolute date by which the Form 486 has to be postmarked is December 14, 2001. If the Form 486 is not postmarked by December 14, the Funding Request Numbers (FRNs) will be cancelled and invoices will not be paid.

• Non-Recurring Services: For Funding Requests including non-recurring services, the Form 486 must be postmarked no later than 120 days after the close of the funding year (September 30). That would mean that the absolute date by which the Form 486 has to be postmarked is the following January 28.

Funding Year 3 Invoicing Deadlines (BEARS or SPIs)

Previously SLD had stated that November 20, 2001 was the deadline for BEARs and SPIs for Funding Year 3. We are changing that date, to allow for compliance with the newly established guidance for filing Forms 486.

• FRNs with Forms 486 postmarked ON OR BEFORE November 12, 2001: Invoices (BEARs or SPIs) must be postmarked no later than January 31, 2002.

• FRNs with Forms 486 postmarked AFTER November 12, 2001: Invoices (BEARs or SPIs) must be postmarked no later than 90 days after the date of the Service Provider 486 Notification Letter.

As the Funding Year 5 Window opens, USAC and SLD would like to remind schools and libraries that they do not evaluate, approve, or endorse particular service providers that may offer their services to participants in the Schools and Libraries Support Mechanism.

USAC has received a number of inquiries from schools and libraries asking whether the fact that a service provider has obtained a Service Provider Identification Number (SPIN) implies some measure of approval or endorsement of the service provider on the part of USAC. The answer is no.

USAC assigns a SPIN to a service provider that requests it primarily for billing purposes. The SPIN is simply an identification number which must be obtained in order for a service provider to participate in the program. Any individual service provider may obtain a SPIN by providing the information requested on Form 498 – the Service Provider Information Form – and submitting it to USAC. USAC does not evaluate, approve, or endorse particular service providers. Such an evaluation must be made by each school or library seeking services.

Schools and libraries should be wary of assertions by service providers and others that USAC or SLD has in any manner approved or endorsed a particular service provider. Neither USAC nor SLD evaluates, approves, or endorses particular service providers.

If you have any questions about USAC’s policies with regard to service providers or SPINs, please contact the SLD Client Service Bureau at 1-888-203-8100.

Today, Monday, November 5, 2001 at noon EST, the Form 471 application filing window for Funding Year 5 (July 1, 2002 - June 30, 2003) will open.

The window will remain open for seventy-four (74) calendar days and will close on Thursday, January 17, 2002 at 11:59 p.m. EST.

Following are the Form 471 filing requirements for Funding Year 5:

1. Application Materials: The following materials associated with Funding Year 5 Form 471 must be received by 11:59 p.m. EST on January 17, 2002 or postmarked on or before January 17, 2002 in order for the request to receive consideration as inside the window. These materials are:
   • The Form 471 itself (whether electronic or paper)
   • The Block 6 certification of the Form 471 with the signature of the authorized person (whether electronic or paper)
   • The Block 5 certification of any Form 470 cited in a Funding Year 5 Form 471 with the signature of the authorized person (whether electronic or paper).
     
     
2. Item 21 Attachment Labeling: Label your attachment as "Item 21 Attachment," and include the application number of the Form 471 it supports, or use the Applicant Form Identifier if you file manually. Be sure to label the attachment to correspond with each Block 5, Item (21) of your application.

   Form 470 certification: A completed Form 470 certification is a Block 5 certification with the signature of the authorized person. Forms 470 with completed certifications submitted in a previous year meet this requirement, as do those filed for Year 5 and submitted to the SLD with a postmark date on or before January 17, 2002. Any Year 5 Form 471 Block 5 funding request based on a Form 470 whose certification has not been received by 11:59 p.m. EST on January 17, 2002 or postmarked on or before January 17, 2002 will be rejected.

   January 17, 2002 deadline: Failure to make the January 17, 2002 deadline for Form 471 application materials will place the entire application outside the window, and the applicant's funding will be jeopardized.

The Funding Year 5 FCC Forms 470 and 471 may be filed online or downloaded for manual filing. The forms are also available via mail by calling our Client Service Bureau at 1-888-203-8100.

Applicants who have completed the FCC Form 470 28-day posting period, and have selected their vendors for tariffed or month-to-month services and/or have executed contracts for contractual services, may submit the FCC Form 471, Services Ordered and Certification Form, to the SLD.

PINs Can Now Be Requested for Submitting Certifications Online (11/5/01)

Certain applicants may qualify to request a Personal Identification Number (PIN) and User Identification (User ID) to submit form certifications online.

To obtain a PIN and User ID, an individual must be the authorized person identified on either (1) a funded Form 471 for Funding Year 2 or later or (2) a Form 486 for Funding Year 2 or later which was successfully data entered. The authorized person applying for a PIN must also provide an e-mail address. Such authorized persons can apply now for a PIN in the PIN Request Area of this web site. When the online PIN application process is successfully completed, a computer-generated PIN will be mailed to the authorized person in a secure mailer via the United States Postal Service.

Additional guidance on requesting PINs may be obtained from Frequently Asked Questions, Online Submission of Certifications in the Reference Area of this web site.

With a valid PIN and User ID, an authorized person can submit certifications online for those forms for which that functionality has been added. Applicants are reminded that using a PIN to certify a form online is equivalent to signing a form with a hand-written signature, and that they are affirming the certifications requested on the form just as if they had signed the form using their hand-written signature. Should the certifications prove untrue, authorized persons will be held to the same enforcement standards as those who affirm the certifications on paper.

The functionality permitting the submission of certifications online will be added first to the Form 470 and, shortly thereafter, to the Form 471. We will post a notification in the What’s New section of this web site each time this functionality is available for a form. Applicants who qualify for a PIN and who wish to submit certifications online for Funding Year 5 can apply for a PIN, begin the data entry of the form online, save their work, and then complete the application process — including the submission of the certifications online — after they receive a PIN and after the online certification functionality is added to the form.

The Schools and Libraries Division has updated the list of Entity Numbers in the Reference Area of this web site. This list provides links to tables of entity numbers created from the SLD database on November 2, 2001. If you can't find your entity number in the list, contact the Client Service Bureau at 1-888-203-8100.

USAC would like to make schools and libraries aware of reports it has received of individuals and/or organizations misrepresenting their relationship to the Schools and Libraries Division of USAC. In some cases an individual claims to be an investigator working for USAC. In others, an organization claims to be an "SLD certified" consultant.

Individual Misrepresenting Himself as SLD Investigator

USAC has received reports of an individual approaching schools in the New York area claiming to represent the Schools and Libraries Division of USAC in an investigation of the schools’ service providers. The reports indicate that, during the course of meeting with school personnel, the individual makes a number of accusations about the school’s current service provider and then attempts to solicit the school’s business for his company. Schools and libraries should be aware that this individual is not an employee or agent of the Schools and Libraries Division and has no authority to represent us. If you are approached by any individual claiming to represent the Schools and Libraries Division in this manner, please contact the Client Service Bureau immediately at 1-888-203-8100 to report the incident.

The Schools and Libraries Division does not conduct informal investigations of service providers at school or library sites. We do conduct on-site audits from time to time. Our auditors notify the appropriate schools and libraries, however, well in advance of the audit and provide verifying identification upon request.

Organization Misrepresenting Itself as SLD "Certified"

USAC has learned that an organization that offers consulting services to schools and libraries related to the Schools and Libraries Support Mechanism advertises itself as an "SLD certified" consultant. This is a misleading claim. Neither SLD nor USAC certifies or otherwise approves outside consultants or service providers.

Contact Information

If you have any questions concerning this notice or the relationship of particular individuals to the Schools and Libraries Division of USAC, please contact the Client Service Bureau at 1-888-203-8100.

The difficulties which we experienced earlier this afternoon at the Client Service Bureau have been resolved and agents are available to take your calls. Again, we apologize for any inconvenience

We are currently experiencing some difficulties in answering your calls at the SLD Client Service Bureau. When you call, you will receive a message asking you to hold, but we are unable to pick up your call.

We will post another announcement as soon as we can take your calls again. We apologize for this inconvenience.

The SLD web site will be in transition to prepare for the opening of the Funding Year 5 Form 471 application filing window. The transition period will last from midnight EST on Sunday, November 4, 2001 until noon EST on Monday, November 5, 2001.

As we prepare for the application filing window opening during this time, users will be able to browse the Schools and Libraries area of the web site but will not have access to the interactive functions, e.g., apply online, search posted Form 470, deleted 470 applications, etc.

Normal service will return when the Funding Year 5 application filing window opens on November 5, 2001 at noon EST. We apologize for any inconvenience this may cause and look forward to serving you as the window opens.