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| FCC Form 470 | Approval by OMB |
| 3060-0806 |
Schools and Libraries Universal Service
Description of Services Requested and Certification Form
Estimated Average Burden Hours Per Response: 6 hours
Section 54.504 of the Federal Communications Commission's rules requires all schools and libraries requesting universal service discounts to file this Description of Services Requested and Certification Form (FCC Form 470) with the Universal Service Administrator, individually, or as part of a consortium. 47 C.F.R. ? 54.504. The collection of information stems from the Commission's authority under Section 254 of the Communications Act of 1934, as amended, 47 U.S.C. ? 254. The data collected in FCC Form 470 will be used to ensure that schools and libraries and any consortia they comprise comply with the competitive bidding requirement contained in 47 C.F.R. ? 54.504.
The FCC is authorized under the Communications Act of 1934, as amended, to collect the personal information we request in this form. We will use the information you provide to determine whether approving this application is in the public interest. If we believe there may be a violation or potential violation of a FCC statute, regulation, rule or order, your application may be referred to the Federal, state, or local agency responsible for investigating, prosecuting, enforcing or implementing the statute, rule, regulation or order. In certain cases, the information in your application may be disclosed to the Department of Justice or a court or adjudicative body when (a) the FCC; or (b) any employee of the FCC; or (c) the United States Government, is a party of a proceeding before the body or has an interest in the proceeding.
If you owe a past due debt to the federal government, the taxpayer identification number (such as your social security number) and other information you provide may also be disclosed to the Department of the Treasury Financial Management Service, other federal agencies and/or your employer to offset your salary, IRS tax refund or other payments to collect that debt. The FCC may also provide this information to these agencies through the matching of computer records when authorized.
If you do not provide the information requested on this form, the processing of your application may be delayed or your application may be returned to you without action.
The foregoing Notice is required by the Privacy Act of 1974, Pub. L. No. 93-579, December 31, 1974, 5 U.S.C. ? 552, and the Paperwork Reduction Act of 1995, Pub. L. No. 104-13, 44 U.S.C. ? 3501, et seq. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
Public reporting burden for this collection of information is estimated to average six hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing, and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the reporting burden, to the Federal Communications Commission, Performance Evaluation and Records Management, Washington, D.C. 20554.
I. INTRODUCTION
On May 7, 1997, the Commission adopted rules providing discounts on all telecommunications services, Internet access, and internal connections, referred to henceforth as "eligible services" for all eligible schools and libraries. Section 54.504 of the Commission's rules requires all schools and libraries planning to order services under this discount mechanism to participate in a competitive bidding process except to the extent that they are bound by an existing contract for eligible services. 47 C.F.R. ? 54.504. To the extent that they are not bound by an existing contract, Section 54.504 of the Commission's rules requires schools and libraries to describe the services they plan to order on this form prior to actually ordering the services. 47 C.F.R. ? 54.504. The Universal Service Administrator will ensure that the information is disseminated in a manner likely to attract competing providers. The filing of this form with the Universal Service Administrator will fulfill the competitive bidding requirement and schools and libraries may sign contracts for services eligible for discounts four weeks after the descriptions set forth in Form 470 are posted on the administrator's website. The administrator will notify the applicant of the date their request is posted and the date on which the four-week waiting period ends. Those with questions about this application may call 1-888-203-8100.
II. FILING REQUIREMENTS AND GENERAL INSTRUCTIONS
All schools and libraries, or consortia acting on behalf of schools and libraries, requesting discounts on telecommunications services, Internet access, and internal connections, hereinafter "eligible services," pursuant to the universal service discount mechanism must file FCC Form 470. The entity that will negotiate with potential service providers should complete FCC Form 470. For example, if a school district negotiates with potential service providers on behalf of the schools in the district, an authorized person from the district should complete the form. Similarly, if a regional entity negotiates on behalf of a number of school districts, an authorized person for that regional entity should complete this form.
For purposes of the universal service discount mechanism, schools must meet the statutory definition of elementary and secondary schools found in the Elementary and Secondary Education Act of 1965, 20 U.S.C. ? 8801(14) and (25). An elementary school is "a non-profit day or residential school that provides elementary education, as determined under state law." 47 C.F.R. ? 54.500(a). A secondary school is "a non-profit day or residential school that provides secondary education, as determined under state law. A secondary school does not offer education beyond grade 12." 47 C.F.R. ? 54.500(i). In addition, eligible elementary and secondary schools may not have endowments exceeding $50 million. 47 C.F.R. ? 54.501(b)(3).
Libraries must meet the statutory definition of library or library consortium found in the Library Services and Technology Act, Pub. L. No. 104-208, sec. 211 et seq., 110 Stat. 3009 (1996) (LSTA) and must be eligible for assistance from a state library administrative agency under that Act. A library includes: "(1) a public library; (2) a public elementary school or secondary school library; (3) an academic library; (4) a research library, which for the purposes of this definition means a library that: (i) makes publicly available library services and material suitable for scholarly research and not otherwise available to the public; and (ii) is not an integral part of an institution of higher education; and (5) a private library, but only if the state in which such private library is located determines that the library should be considered a library for purposes of this definition." 47 C.F.R. ? 54.500(d). A library's eligibility for universal service funding also depends on its funding as an independent entity. Only libraries whose budgets are completely separate from any schools are eligible to receive discounted services under the universal service support mechanism.. 47 C.F.R. ? 54.501(c)(2). For example, an elementary school library would only be eligible to receive discounted services if its budget were completely separate from the elementary school. If its budget were not completely separate from the elementary school, the elementary school library would not be eligible for support independent from the school with which it is associated, although it would be eligible to share in the benefits of the support secured by the elementary school.
A library consortium is "any local, statewide, regional, or interstate cooperative association of libraries that provides for the systemic and effective coordination of the resources of school, public, academic, and special libraries and information centers, for improving services to the clientele of such libraries." 47 C.F.R. ? 54.500(e).
FCC Form 470 must be filed with the Universal Service Administrator either electronically or at the address listed at the bottom of the form: Schools and Libraries Corporation, P.O. Box 4217, Iowa City, Iowa 52244-4217. DO NOT FILE THIS OR ANY OTHER UNIVERSAL SERVICE FORM WITH THE FEDERAL COMMUNICATIONS COMMISSION. To the extent that the applicant is seeking support for services that are not provided pursuant to an existing contract, it must wait at least four weeks from the date that the administrator has posted on its website a description of the applicant's request for eligible services, set forth in FCC Form 470, before the applicant may sign a contract for eligible services. Upon receipt of FCC Form 470, the administrator will notify the applicant of the date after which it may sign a contract for services eligible for discounts. 47 C.F.R. ?54.504(b)(3).
C. Compliance.
Schools and libraries filing false information are subject to penalties for false statements, including fine or imprisonment, under Title 18 of the United States Code, 18 U.S.C. ? 1001. Applicants should retain the worksheets and other records they use to compile these forms for three years. Thus, if applicants represent multiple billed entities, collect data from those entities, and add up that data, they should retain those data sheets for three years. If an applicant is audited, it should be able to demonstrate to the auditor how the entries in its application were provided.
III. SPECIFIC INSTRUCTIONS
You are encouraged to fill this form out electronically. It will be posted on the administrator's website at <http://www.slcfund.org> (This website is expected to be available in January). (Ed NOTE: Now located at http://www.sl.universalservice.org/) Instructions for using the website to file will be provided on the website. If you file paper copies of the application, please type or clearly print in the spaces provided and attach additional pages if necessary. Further information is available at 888-203-8100. You may file more than one FCC Form 470. For example, you may file one FCC Form 470 for internal connections, one for Internet access, one for high bandwidth video conferencing, and one for other telecommunications services, or you may file a single FCC Form 470 seeking all of these services. Also, an individual school or library may be covered by more than one FCC Form 470s filed by different consortia for different services.
Block 1 of FCC Form 470 asks you for your address and basic identifications. "You" refers hereinafter to the applicant -- eligible schools and libraries and those filing on their behalf.
Item (1) - Provide the name of your organization. You may be an individual school or library or a consortium, including a school district, a city, a state, or an entity created solely to participate in this universal service discount mechanism.
Item (2) - Provide the funding year, i.e., calendar year, for which you are applying for funds, e.g., "1998."
Item (3a) - If you are an individual school or library, provide the code number that the National Center for Educational Statistics (NCES) has assigned to you. If NCES has not assigned you such a number, the administrator will create a comparable number for identification purposes. If you do not know your codes, you can use the search system built into the application form for this item, on the administrator's website: <http://www.slcfund.org>> (This website is expected to be available in January). (Ed NOTE: Now located at http://www.sl.universalservice.org/) It permits you to enter your zip code and then select from the list of schools and libraries in your zip code. When you select your school or library, the system will insert the appropriate code in this box. Alternatively, you may call the administrator at 888-203-8100.
Item (3b-3c) - The administrator will insert your "Universal Service Control Number" and your "Applicant ID Number" (which refers to the entity that negotiates). You may leave these items blank.
Item (4a) - Check the box that best describes you. A "library consortium under the LSTA" refers to a library consortium as defined in the Library Services and Technology Act. See section II.A of these instructions. If you are ordering services as a consortium of schools, libraries, or other entities (other than a library consortium, as defined by the LSTA), you should check the fourth box.
Item (4b) - If you are ordering services as part of a consortium, you should also check all boxes in Item (4b) that apply. If your consortium includes non-governmental entities that are ineligible for support, you should check that box. In that case, however, you should note that you cannot negotiate pre-discount prices below tariffed rates for interstate services from incumbent local telephone companies. (Note: Those eligible for universal service support as "rural health care providers," who are members of a consortium, should be treated as "eligible for support" for the purpose of these categories). If your consortium intends to treat its contract as a master contract, with separate members of the consortium receiving separate bills, you should check this box to indicate this intention to potential service providers. Individual consortium members would then each be required to fill out a separate FCC Form 471. You should also indicate if your consortium represents a region within a state, an entire single state, or a multi-state group. If your consortium is a state or local educational agency or an educational service agency, as those terms are defined in 20 U.S.C. ? 8801, you should indicate this by checking the appropriate box. Note that school districts should not also check the box for "local educational agency," and that non-profit 501(c)(3) organizations are NOT governmental entities.
Item (5) - Provide your organization's full mailing address, whether a street address, Post Office Box number, or route number, your telephone number, and e-mail address (if you have one).
Item (6) - Provide the name, address, phone number, fax number, and e-mail address, and indicate the preferred mode of contact for the person that should be contacted with questions about the application. This person should be able to answer questions regarding the information included on this form and the services you request, including how to obtain a copy of your request for proposal (RFP), if you have prepared one. ALSO, to help alleviate problems caused if the pages of an application become separated, please provide the name and phone number of the contact person at the top of each page of application.
Block 2 of FCC Form 470 asks you to provide information about you that can help service providers determine whether you are the type of customer that they may be able to serve well.
Item (7a) - If your applicant group includes eligible K-12 schools, provide the total number of students in those schools.
Item (7b) - If your applicant group includes eligible libraries, provide the approximate number of patrons served as defined by either the census population within your service area or the number of cardholders you serve.
Item (8) - Provide the approximate total number of buildings for which you seek some form of telecommunications-related service.
Item (9) - Provide the approximate total number of rooms for which you seek service.
Block 3 of FCC Form 470 asks you to describe the services you desire. Like Block 2, this information can help service providers determine whether you are the type of customer that they may be interested in serving.
Item (10) - Check this box if you are only seeking discounts for eligible services that are the subject of an existing, binding contract, and fill in the date that the contract was signed and its termination date. If you have more than one existing contract, please list all of them. You can then skip the remainder of Block 3. DO NOT CHECK THIS BOX if you are seeking discounts for some services that are the subject of existing, binding contracts and some that are not. (Note: however, that FCC Form 471 requires applicants to provide much of the same type of information sought in Block 3 for their individual funding requests.) If you are purchasing telephone service at tariffed rates and have not signed a binding contract, you cannot treat this arrangement as an existing contract. While all forms of telecommunications services, including local and long distance services, are eligible for universal service discounts, you MUST seek competitive bids from providers of such services. That is, if you do not have an existing, binding contract for telephone service, you must include a description of the services you seek in Item (12) to give every service provider the opportunity to offer you services under contract.
Item (11) - Check this box if you have prepared a specific request for proposal (RFP) for any of the services sought. If your RFP is posted on a website, provide the website address where it is posted. If the RFP is not posted, your contact person (Item(6)) must be able to provide it to service providers.
Items (12-14) - All applicants, except those seeking discounts only for existing contracts, should fill out Items (12-14). For Items (12-14), you must provide particular information about the services you currently receive and additional services that you are interested in receiving in the future. If some, but not all, of the services for which you are seeking discounts are covered by a binding existing contract, you should explain that situation in the "Details" column of Items (12-14). You should provide as much information as possible in Items (12-14) to enable service providers to determine whether to submit a bid or contact you for further information. You may find that not all categories apply to your specific needs. Only complete the categories relevant to your request for services.
The specific data requested in Items (12-14) is sought only to provide potential service providers with information so that they may contact you for detailed information on your specific requirements. This requirement is not intended to restrict your ability to contract for whatever technologies best meet your educational purposes as authorized by FCC rules and the Telecommunications Act of 1996.
Item (12) - Describe your needs with respect to telecommunications services. Telecommunications is the transmission, between or among points specified by the user, of information of the user's choosing without change in the form or content of the information as sent and received. 47 U.S.C. ? 153(43), 47 C.F.R. 54.5. All commercially available telecommunications services are eligible for support under the universal service discount mechanism. 47 C.F.R. ? 54.502. For example, local and long distance telephone services are generally considered telecommunications services.
Items (12a-12d) list specific data that should help service providers assess the types and quantities of telecommunications that you may desire to purchase.
Item (12a) - Provide the number of telephones (or fax machines or other devices that may terminate or originate what are commonly considered "calls") that have service or for which you would like service. Do not include "extension" phones in columns two - four, but you should indicate that number in column five. Extension phones are phones associated with the same phone number. For example, if a library has two telephone numbers, but four telephones, then it should place a "2" in column two. The library should indicate that it has two extensions in column five.
Item (12b) - Provide the number of computers for which you have or will be requesting telecommunications-related service. This number includes those that are already linked to other computers and those that you would like to link to other computers. These computers would not, necessarily, be connected to the Internet.
Item (12c) - Provide the number of high bandwidth video conferencing links you currently maintain or desire.
Item (12d) - (Optional) You may specify any other telecommunications applications or services which you already receive or which you may wish to receive.
Items (12-14, column 2) - In the second column in Items (12-14), labeled "Existing Service," provide information on the services that you already receive. For example, if you currently purchase service for 14 phones, you would fill in "14" under Item (12a), column two.
Items (12-14, column 3) - In the third column in Items (12-14), labeled "Additional Services Desired," you must provide information on the additional services you seek. For example, if you already have one high bandwidth video conferencing link, but want to add three more such links, you would fill in "3" under Item (12c), column three.
Items (12-14, column 4) - Use the fourth column to total your existing service plus the desired additional services to yield your total desired level of service. For example, if you have 12 computers connected to the Internet and want to add connections for 24 more computers to permit connections for a total of 36 computers, then you would insert "36" in column four of Item (12b).
Items (12-14, column 5) - You may use column five to provide additional detailed information that may assist potential service providers in assessing your request for services. Providing information in the fifth column is optional.
Item (13) - Describe your needs with respect to internal connections. A given service is generally eligible for support under the universal service discount mechanism as a component of internal connections if it is necessary to transport information to individual classrooms. 47 C.F.R. ? 54.500(c). For example, routers, hubs, and network file servers are eligible for discounts as components of internal connections. Computers, modems, fax machines, video monitors, and other equipment used in classrooms or throughout a library (at the endpoints of the communications network) are not eligible for discounts.
Item (13a) - Provide the number of different buildings for which you have or seek at least some internal connections. Note, that if you only seek to connect additional rooms in buildings that are already at least partially connected, then you would place a "0" in column three, because you would not be seeking internal connections for any additional buildings. You would indicate your desire to connect additional rooms in Item (13b, column 3).
Item (13b) - Provide the total number of rooms in the buildings for which you have or seek internal connections that are already connected or which you want to have connected.
Item (13c) - Indicate the highest line speed you have or seek for your internal connections.
Item (13d) - (Optional) You may specify any other internal connections, applications, or services that you already receive or that you seek.
Item (14) - Describe some of your needs with respect to Internet access. Basic conduit, or non-content, access to the Internet is eligible for support under the universal service discount program. 47 C.F.R. ? 54.5. It is possible to have both dial-up and dedicated connections. In most cases, however, you may seek only one (14a, 14b) or the other (14c, 14d). Note, however, that schools and libraries may obtain universal service discounts on access to the Internet but not on separate charges for particular proprietary content or other information services or on a bundled package of conduit and content, unless the bundled package included minimal content and provided a more cost-effective means of securing non-content access to the Internet than other non-content alternatives.
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[FCC Form 470 - continued]