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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

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • 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

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • Copy of a completed Form 471(if manually filed) with signature (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
 

Procurement Information

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • 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")

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • 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 486

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • Copy of a completed Form 486
  • Verification of Form 486 receipt
 

Form 500

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • Copy of completed Form 500 with signatures
  • Verification of Form 500 receipt by the SLD
 

Appeal information

Form Identifier:__________________ Date Submitted:__________________
Applicant:___________________________ Contact:____________________________
  • SLD communication notes (e.g., data entry or PIA requested support information)