1. Appeals Roxane Ortman Train-the-Trainer Workshop September 27-29, 2004 Schools & Libraries Division

2. Slide #2Schools and Libraries Division What is an Appeal? uAn appeal is a request, filed by an aggrieved party, for reconsideration of a decision made by the Administrator. uAn appeal cannot be considered until the Administrator has issued a decision letter.

3. Slide #3Schools and Libraries Division How Do I Write an Appeal? uIdentify your correspondence as an appeal. uProvide relevant information (contact information, applicant name, Form number, case number, etc.) uProvide the title of the Administrator’s decision letter. uProvide the text from the decision being appealed. uExplain why you disagree with decision.

4. Slide #4Schools and Libraries Division How Do I Write an Appeal? uProvide documentation to support your claim. uInclude an authorized signature. uSee the Appeals Procedure at www.sl.universalservice.org/reference/appe alsprocedure.asp for filing an appeal with the FCC. www.sl.universalservice.org/reference/appe alsprocedure.asp

5. Slide #5Schools and Libraries Division How Do I Submit an Appeal to the SLD? uAppeals to the SLD can be submitted electronically, by fax, or mail. n E-mail: appeals@sl.universalservice.orgappeals@sl.universalservice.org n Click Submit a QuestionSubmit a Question n Fax: (973) 599-6542 n Mail: Letter of Appeal Schools and Libraries Division 80 South Jefferson Road Box 125 – Correspondence Unit Whippany, NJ 07981

6. Slide #6Schools and Libraries Division How Do I Submit an Appeal or Waiver Request to the FCC? uThe FCC accepts appeals or waiver requests via mail, fax, or via the Electronic Comment Filing System (ECFS). n Mail: See the Appeals Procedure for specific mailing requirements at www.sl.universalservice.org/reference/appealsproc edure.asp www.sl.universalservice.org/reference/appealsproc edure.asp n Fax: (202) 418-0187 n ECFS: www.fcc.gov/cgb/ecfs/www.fcc.gov/cgb/ecfs/ uThe FCC recommends filing with the ECFS to ensure timely filing.

7. Slide #7Schools and Libraries Division What is the Deadline for Filing an Appeal? uAppeals must be postmarked no later than 60 days after the date of the decision letter being appealed. uPetitions for Reconsideration are excluded from the 60-day deadline since they must, by statute, be received by the FCC within 30 days of the FCC Decision. uAppeals via fax and e-mail will be considered “postmarked” on a business day if the complete transmission is sent from the sender’s fax machine or computer by any time up to 12:00 midnight in the sender’s local time zone.

8. Slide #8Schools and Libraries Division What is a Waiver Request? uA waiver request is a request to waive an FCC policy, rule or deadline. uFor example: n Form 471 Application Filing Window: An applicant missed the filing deadline for the Form 471 because of extenuating circumstances and would like the filing deadline waived. n 28 Day Posting Period: An applicant failed to post a Form 470 for the type of services requested on their Form 471 and would like the competitive bidding requirement waived.  SLD does not have the authority to grant a waiver. Waiver requests should be filed with the FCC.

9. Slide #9Schools and Libraries Division Are You Unsure How SLD Made Its Decision? uExamine what was requested from and submitted to SLD. The answer is generally in the details. uIf that does not work, explain in your appeal that you do not understand why the decision was made and state the outcome that you feel should have occurred. uThe SLD appeals process examines the correctness of the original decision, so if an error was made, the appeal process should correct that error. uIf your appeal is denied or partially approved, SLD will provide a detailed explanation of its rationale in the Administrator’s Decision on Appeal Letter (ADL).

10. Slide #10Schools and Libraries Division When will SLD Grant an Appeal on Its Original Decision? uSLD staff review the appeal and the applicable file. uSLD grants an appeal if: n The SLD made an error in its original decision. n The applicant made a mistake in the information submitted to SLD, the applicant identifies the mistake in its appeal, and the SLD’s files demonstrate that SLD could have identified the mistake. n The applicant’s appeal resolves an ambiguity that existed in the original file. n SLD receives new policy guidance that changes the original decision. uIf SLD determines that the issue on appeal should be granted, the SLD will continue its review process on the application.

11. Slide #11Schools and Libraries Division Correcting SLD Errors Without an Appeal uIf the SLD determines through its own review that a decision was made in error, the SLD will correct the error without the applicant filing an appeal. uThe error must be identified by SLD within 60 days (the appeal window) from the issuance of the incorrect decision. uThe SLD will notify the applicant when a correctable error has been identified. uThe applicant will receive a revised FCDL in the next appeals commitment run for the given funding year.

12. Slide #12Schools and Libraries Division Will New Information Submitted on Appeal be Accepted? uExcept under limited circumstances, SLD will NOT accept new information on appeal. uNew information will be accepted if: n The information is provided to resolve an ambiguity that existed in the original file. n The information does not contradict information that has previously been submitted. n The information should have been, but was not, requested during the PIA Review Process.

13. Slide #13Schools and Libraries Division What is the Process for Meritorious Appeal Decisions? uAppeals of SLD decisions issued BEFORE an FCDL (pre-commitment appeals) n Meritorious pre-commitment appeals will go into the normal review process and will receive a commitment decision, via an FCDL, once the PIA Review has been completed. n You will know that your appeal has entered the review process once you receive a Receipt Acknowledgment Letter (RAL).

14. Slide #14Schools and Libraries Division What is the Process for Meritorious Appeal Decisions? uAppeals of SLD decisions issued ON or AFTER an FCDL (post-commitment appeals) n Meritorious post-commitment Form 471 Appeals will receive a revised (Appeals) FCDL. n If the appeal relates to a funding denial, the Form 486 can be filed once the revised FCDL has been received. n If you appeal a funding request that has a positive commitment, the Form 486 should be filed in the same manner as if the request were not the subject of an appeal. If service has started, DO NOT WAIT for an ADL or revised FCDL before filing your Form 486.

15. Slide #15Schools and Libraries Division What is the Process for Meritorious Appeal Decisions? uMeritorious appeals of a Service Start Date change (because of the late filing of the Form 486) will result in a revised Form 486 Notification Letter. It is not necessary to file a new Form 486. uIf an Invoicing Appeal is granted, the invoice that was appealed should be resubmitted.

16. Slide #16Schools and Libraries Division Top Categories of SLD Appeals uBased on FY2003 Appeals received through 8/27/2004: Category of Appeal Appeals Received Unsubstantiated Charges over 30%15.72% Service Eligibility11.27% Certification Issue9.36% Item 25 failure7.68% Competitive Bid Violation (Selective Review)6.45% Window Waivers5.68% Invalid Telecom Provider4.77% 28 Day Competitive Bidding Violation3.63% TOTAL64.56%

17. Slide #17Schools and Libraries Division How to Avoid an Adverse Decision that You’ll Want to Appeal uRemove the cost of ineligible products, services, uses, and users from requested amount prior to filing Forms 471. uRefer to the Eligible Services List for guidance on the eligibility of products and services. uSend each Form in its own envelope – make sure all pages are labeled. uHave relevant budget documentation on file to support your Item 25 Certification. uRetain copies of all documents supporting your competitive bidding process for all funding requests.

18. Slide #18Schools and Libraries Division How can You Expedite Your Appeal? uDesignate an alternate contact person who is familiar with the files that support your funding requests, in the event the primary contact is not available. uMaintain all documentation for each form in a readily accessible location to be able to provide requested information during review of your appeal.

19. Slide #19Schools and Libraries Division Our Goals… uTo issue high quality decisions within 90 days from receipt of the appeal. uTo issue revised Funding Commitment Decision Letters for meritorious post-commitment appeals decisions within 30 days from the issuance of the Administrator’s Decision Letter.

20. Slide #20Schools and Libraries Division Our Goals… uIssue Receipt Acknowledgment Letters for meritorious pre-commitment appeals within 30- days from issuance of the Administrator’s Decision Letter. uProvide excellent customer service to our stakeholders.

21. Slide #21Schools and Libraries Division QUESTIONS