• PY3: Last funding wave
• PY2 out-of-the-window applications
• SLD appeal decisions
• Suggested E-rate record keeping list

PY3: Last Funding Wave

Wave Twenty-nine of Funding Commitment Decisions Letters ("FCDLs"), mailed on Friday, December 1, totals only $1.4 million, including $0.6 million for NYS applicants. Cumulatively, through this Wave, the SLD has awarded funding on over 26,325 applications totaling $2.096 billion in discounts. This includes $268 million for NYS applicants, over one-eighth of the national total.

The SLD announced that Wave Twenty-nine would be the last regular weekly funding wave. The SLD is still processing on a small number of applications with "unique circumstances." Applicants who fit into this category will be notified, and funds will be awarded on these applications as processing is completed. Approximately $150 million of PY3 funds remain uncommitted of which about one-third may be utilized for the remaining applications and two-thirds will be held in reserve for appeals.

PY2 Out-of-the-Window Applications

Now that the basic funding waves for PY3 have been completed, the SLD is expected to begin issuing FCDLs on PY2 out-of-the-window applications. The first group of these FCDLs should be released within the next 1-2 weeks.

SLD Appeal Decisions

When the SLD decides an appeal, it first sends an Administrator’s Decision on Appeal letter to the appellant. If additional funding is approved, however, it cannot be utilized until a revised FCDL has been received. The span of time between an appeal decision letter and a revised FCDL can be considerable. A number of appellants, who have received favorable notifications on PY2 appeals earlier this year, are still awaiting final FCDLs.

In the case of a successful appeal, the original decision letter contains the misleading advice that a Form 486 can now be filed. In fact, the SLD cannot process a Form 486 (or, for that matter, a Form 500) for a given funding request ("FRN") unless funding has been formally committed in an FCDL. Only in the case of a FRN, which was partially funded prior to the appeal, can a Form 486 be filed before a final FCDL is received.

We understand that the first batch of SLD decision letters on PY3 funding appeals were mailed late this week. We suspect that the preponderance of the early decisions will be fairly routine and perfunctory rejections. If the SLD denies an appeal, the appellant has 30 days to re-appeal to the FCC. The appeal window starts from the date of the SLD’s letter; the appeal must be received by the FCC no later than 30 days thereafter.

Suggested E-rate Record Keeping Checklist

The Item (32) certification of the Form 471 states: "I recognize that I may be audited pursuant to this application. I will retain for five years any and all worksheets and other records that I rely upon to fill out this application, and, if audited, will make available to the Administrator such records."

The following is a suggested checklist of information that should be available for an audit for which e-rate funds were awarded. This documentation should be retained for a minimum of five years and should be maintained by YEAR of application.

Form 470

____ copy of Form 470 (this can be obtained by printing it from the SLD website)

____ copy of Form 470 certification that was mailed to the SLD

____ verification of Form 470 certification receipt

____ copy of RFP or any documentation that is used in place of the RFP

____ copy of Form 470 -Receipt Notification Letter (first used in year 4)

Form 471

____ copy of a completed Form 471(if manually filed) with signature (i.e. including

____ student eligibility information, Item (21) information/attachments)

____ copy of Form 471 certification (if filed online)

____ verification of receipt of Form 471 or certification at the SLD

____ Receipt Acknowledge Letter (RAL Letter to make changes if necessary)

____ Commitment Letter from the SLD

____ documentation of any changes requested by the SLD (changes to the Form 471)

____ any documentation for an Item (25) review by the SLD

Form 486

____ copy of a completed Form 486

____ verification of Form 486 receipt

Procurement Information

____ documentation that shows bills or P.O.s for services, invoices for payment,

____ vouchers or canceled check that was used in payment, etc.

____ documentation that proves that the actual discounts that were received for

____ products and or services were correctly applied

____ inventory of tangible goods purchased with e-rate funds (i.e, product

____ identification, serial number, location of product)

Form 472 BEAR(s)

____ copy of a completed Form 472 BEAR(s) with signatures

____ verification of Form 472 receipt by the SLD

____ SLD letter of vendor payment

____ copy of payments received

Form 500 (if applicable)

___ copy of completed Form 500 with signatures

___ verification of Form 500 receipt by the SLD

Additional Information

____ Appeal information

____ SLD communication notes (e.g., data entry or PIA requested support information)