Appeals Roxane Ortman

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

2. What is an Appeal? • An appeal is a request, filed by an aggrieved party, for reconsideration of a decision made by the Administrator. • An appeal cannot be considered until the Administrator has issued a decision letter.

3. How Do I Write an Appeal? • Identify your correspondence as an appeal. • Provide relevant information (contact information, applicant name, Form number, case number, etc.) • Provide the title of the Administrator’s decision letter. • Provide the text from the decision being appealed. • Explain why you disagree with decision.

4. How Do I Write an Appeal? • Provide documentation to support your claim. • Include an authorized signature. • See the Appeals Procedure at www.sl.universalservice.org/reference/appealsprocedure.asp for filing an appeal with the FCC.

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

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

7. What is the Deadline for Filing an Appeal? • Appeals must be postmarked no later than 60 days after the date of the decision letter being appealed. • Petitions 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. • Appeals 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. What is a Waiver Request? • A waiver request is a request to waive an FCC policy, rule or deadline. • For example: • 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. • 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. Are You Unsure How SLD Made Its Decision? • Examine what was requested from and submitted to SLD. The answer is generally in the details. • If 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. • The SLD appeals process examines the correctness of the original decision, so if an error was made, the appeal process should correct that error. • If 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. When will SLDGrant an Appeal on Its Original Decision? • SLD staff review the appeal and the applicable file. • SLD grants an appeal if: • The SLD made an error in its original decision. • 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. • The applicant’s appeal resolves an ambiguity that existed in the original file. • SLD receives new policy guidance that changes the original decision. • If SLD determines that the issue on appeal should be granted, the SLD will continue its review process on the application.

11. Correcting SLD Errors Without an Appeal • If 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. • The error must be identified by SLD within 60 days (the appeal window) from the issuance of the incorrect decision. • The SLD will notify the applicant when a correctable error has been identified. • The applicant will receive a revised FCDL in the next appeals commitment run for the given funding year.

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

13. What is the Process for Meritorious Appeal Decisions? • Appeals of SLD decisions issued BEFORE an FCDL (pre-commitment appeals) • 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. • You will know that your appeal has entered the review process once you receive a Receipt Acknowledgment Letter (RAL).

14. What is the Process for Meritorious Appeal Decisions? • Appeals of SLD decisions issued ON or AFTER an FCDL (post-commitment appeals) • Meritorious post-commitment Form 471 Appeals will receive a revised (Appeals) FCDL. • If the appeal relates to a funding denial, the Form 486 can be filed once the revised FCDL has been received. • 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. What is the Process for Meritorious Appeal Decisions? • Meritorious 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. • If an Invoicing Appeal is granted, the invoice that was appealed should be resubmitted.

16. Top Categories of SLD Appeals • Based on FY2003 Appeals received through 8/27/2004:

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

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

19. Our Goals… • To issue high quality decisions within 90 days from receipt of the appeal. • To 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. Our Goals… • Issue Receipt Acknowledgment Letters for meritorious pre-commitment appeals within 30-days from issuance of the Administrator’s Decision Letter. • Provide excellent customer service to our stakeholders.

21. QUESTIONS