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The application window for filing Program Year 5 (2002-2003) Form 471s closed at midnight, January 17. Applicants, whose Form 470s were properly posted and certified and whose Form 471s were filed on time, can now relax for a short while (various other E-rate deadlines are summarized below).
The next phase in the PY5 funding process is for the SLD to review the 30,000 or more expected applications that were filed (a full count should be available shortly). Several steps are involved that may require an applicant's attention.
Problem Resolution. Form 471s, that were submitted by mail, are data entered by the SLD in Lawrence, Kansas. Incomplete or inconsistent Form 471 entries may generate calls, faxes, or e-mails from SLD Problem Resolution reviewers for clarification. Typically, these are straightforward questions that can be easily answered. If you need to call a reviewer back, you have to call the SLD's general Client Service Bureau ("CSB") at 888-203-8100 and leave a message for the reviewer to return your call. Problem Resolution reviewers do not have direct telephone numbers. To avoid telephone tag, we recommend leaving a message that includes an indication of the best time to reach you.
Applications that were completed online normally require few Problem Resolution inquiries since the online process automatically contains a number of consistency checks. There are exceptions. To their credit, for example, the SLD proactively called any applicant who recently submitted an application marked for the 2001-2002 program year (an application that should have been submitted last January) on the assumption that the applicant probably applied for the wrong year.
Note: The Problem Resolution process is also used by the SLD during the data entry phase for applicant Form 486s, Form 500s and BEARs.
Receipt Acknowledgment Letter ("RAL"). Once an application has cleared the online or data entry process, a RAL is sent to the applicant acknowledging receipt of the application and summarizing the funding requests. An applicant should review this data promptly. If the summarized data mirrors the applicant's application, no applicant action is required. If errors are found, it may be possible to make a correction before the application is forwarded for detailed review. Correction instructions are included in the RAL.
Program Integrity Assurance ("PIA"). Detailed application review is handled by PIA in Whippany, New Jersey. Inquires from PIA reviewers (identified by direct telephone numbers with a 973 area code) generally involve requests for clarification and/or additional documentation on product or applicant eligibility, discount rate calculations, contract status, etc. These are serious inquires that must be addressed in a timely fashion.
PIA inquiries typically provide 7-day deadlines for response. Although extensions may be granted upon request, inquiries that are ignored may lead to unilateral PIA resolution (denials or reductions) on specific funding requests. An applicant requiring more time to respond should provide whatever information is available immediately and negotiate a schedule for completion.
PIA review is often a multi-step process. A reviewer may request additional data once he (or a higher-level review team) has reviewed an initial response, or may initiate a second request on an entirely different application issue.
Note: The PIA process is also used by the SLD during the review phase of applicant BEARs (and occasionally Form 486s and Form 500s).
Selective or Item 25 Review. Special reviews are conducted by PIA under certain circumstances deemed questionable by the SLD. In our experience, such reviews are most often triggered by unusually large requests (relative to an applicant's size) or the use of certain service providers. Selective reviews typically begin with a faxed request (4-5 pages for a "mini-Item 25" or 13-14 pages for a full Item 25 review) for additional information on an applicant's procurement, planning, or budgetary situation. The "Item 25" designation refers to the Form 471 certification that the applicant has ".secured access to all the resources..necessary to make effective use of the services purchased as well as to pay the undiscounted charges for eligible services."
Any applicant subject to a special review should assume that the SLD is seeking more than a simple clarification of a funding request. Failure to respond appropriately may lead to an extended funding delay and/or full denial of an application. As a first step in responding to such a review, it is worth discussing the request with the PIA reviewer; often it is possible to focus the response to specific issues of concern to the SLD.
Now that the PY5 Form 471 application window has closed, it is time to focus on the list of key deadlines that must be met over the next few months:
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