Category 1 Form 471 Filing Guide – FY 2021
February 1, 2021
Attached: Form 471 Category 1 Filing Guide – FY 2021
~ PIA already reviewing submitted 471s! ~
~ Helpful hints below ~
~ Register Now for Category 1, Form 471 Training: https://e-ratepa.org/?page_id=745 ~
Congratulations to the 97 PA schools and libraries that already have filed their FY 2021 Form 471s! For the 900+ applicants that haven’t yet filed, there are only 53 days left to do so before the March 25, 2021 deadline. I know that many applicants have already received their PIA inquiries and, in fact, 18 of our 125 submitted FRNs are already in Wave Ready status! So don’t delay in submitting so you can be in the first waves that are slated to begin in April.
Training: If you haven’t already done so, don’t forget to register for Category 1, Form 471 Training at https://e-ratepa.org/?page_id=745.
CATEGORY 1 FILING GUIDE
Attached you will find a helpful Form 471 Filing Guide for Category 1 Services. It contains 129 slides, providing screenshots and hints/answers to each question related to three different types of funding requests as follows:
- Coaxial Cable Internet (MTM) – 1 FRN line item (starts on slide 18)
- Internet Access via Fiber Transport (contract) – 1 FRN line item (starts on slide 41)
- Lit Fiber WAN (contract) – 3 FRN line items (starts on slide 64)
Also, there are three additional sections to assist applicants, including a new Special Fiber Costs section to assist applicants that are filing for Special Construction costs, Leased Dark Fiber, Self-Provisioned Fiber, Category 1 Network Equipment & Category 1 Maintenance/Operations.
- Submitting/Printing Form – (starts on slide 96)
- Copy FRN Feature – (starts on slide 108)
- Special Fiber Costs Section – (starts on slide 116)
WHAT’S NEW FOR FY 2021
In general, the form has remained the same, with a few small, but welcome, improvements, thanks to stakeholder input:
- Easier navigation from FRN to FRN Line Items (this previously wasn’t intuitive because you had to click on the FRN Number on the Main FRN Page to get to the FRN Line Item Page).
- Ability to easily access Narrative Text Box while creating FRN Line Items. This is found at the bottom of the ‘Type of Connection’ Page. No FRN Line Item Narrative Boxes are included.
- Much better descriptions on how to create draft PDF when finishing form.
HELPFUL HINTS FOR FILING THE FORM 471
1. For Internet and Data FRNs, Answer the Yes/No Questions This Way:
- Answer 2nd Question first (is this for a WAN?)
- If the answer to the 2nd Question is Yes, then the answer to 1st question is No
- Internet FRNs should always answer No/Yes.
- There is a small exception for consortia backbone applications where they would answer No/No.
2. Finding Contracts Records to Select After Clicking Search
When you create an FRN in the 471, the system asks if it’s based on a contracted service or MTM service. If you choose Contract, the system will ask which contract you want to associate with that FRN. If you forgot to create your Contract Record in the EPC Contract Module prior to starting the 471, no worries – add them now. In a separate tab, go to your Landing Page > Name of your District > Contracts > Manage Contracts > Add a Contract. Then create a Contract Record for each separate contract you have (both C1 and C2). Reminder, you’re not required to upload copies of your contracts, but I strongly suggest you do so because PIA will likely ask you for them anyway. If you use the Copy FRN feature, your contract will still be linked from last year and doesn’t need linked again. (For help creating Contract Records, see https://e-ratepa.org/?p=32998).
3. Handing Contract Amendments in EPC
Unfortunately, there’s no way to modify or add additional documents to your existing Contract Record in EPC. If you amended your contract (perhaps to upgrade bandwidth), PIA may reach out to you to ask why the requested services/amounts are different than what are contained in your original contract in which case you’ll simply send them the contract amendment. Do not create a new contract record simply because a contract was amended.
4. Returning to the Main FRN Page (and stop adding FRN Line Items)
When you’re in the FRN Line Item page, instead of clicking on the green “Add New FRN Line Item,” click on the “Continue” button at the bottom right of the page. That will take you back to the Main FRN page where you will find all of the FRNs you’ve created. To get back into the FRN Line Item(s) for a single FRN, click on the blue FRN number (it’s hyperlinked).
5. Getting Back Into the 471
If you click on something that takes you out of the 471, or if you deliberately leave the 471, it’s easy to return where you left off. Simply go to your EPC Landing Page by clicking on the USAC Logo, and then under “My Tasks” in the top toolbar, click on the appropriate “FCC Form 471 – #20xxxxxxxx {Nickname You Gave the Form}.”
6. Clicked on “Save and Share” and Lost My 471
Whenever possible, don’t click this button! The draft 471 is then taken from your EPC profile and a message is sent to all other “users” associated with the organization asking if they want to “accept the task.” Only ever use the “Save and Share” feature if you truly want to “pass the ball” to another user to finish or certify the application.
7. How to Answer 2 Questions on the Certification Page
On the final Certification Page, there are two questions asking if you received any funds from a service provider or if a service provider has helped you locate funds. The answer to both of these questions should be NO. Essentially, they are asking if a service provider has waived any of your non-discounted amounts (your fair share), or given you funds to offset those amounts. Don’t be confused by the meaning of these questions or pause in anyway. The answers should always be NO. If a vendor does offer to waive your share or give you funds to cover it, cancel your contract with that vendor and go to the next lowest bid.
8. Changing/Updating Enrollment & NSLP Data
Although it’s too late up update your EPC Profile (the Admin Window closed on January 13), if you find that you forgot to update your data or found inaccuracies, you can still make corrections. After the 471 is submitted, submit a RAL Modification using these steps: Find your submitted Form 471 from the bottom of your EPC Landing Page > Form 471 > FY 2021 > Select 471 Number > Related Actions (from top toolbar) > Submit Modification Request (RAL) > Answer the appropriate questions in the RAL Correction module. Use the “Entity” portion of the RAL Modification module to update the enrollment/NSLP data. Note: although it’s not required, it also may be helpful to list the updated data in the Form 471 narrative box.
9. Have Written Documentation if Extending a Contract
If you have a contract that includes voluntary extensions, and you are exercising one of those extensions for FY 2021, be sure to have something in writing to or with the service provider. PIA will see that your Contract Expiration Date is a year later than last year and will require you to submit proof that you extended the contract. Such documentation to or with the service provider must be dated on or before the date you submitted your Form 471. It’s also a good idea to mention in the FRN Narrative box that you are extending the contract.
10. Have Documentation of Taxes/Surcharges
If your invoices include vendor taxes/surcharges, be sure to include those amounts on a separate FRN Line Item. Again this year, PIA is requiring proof of those amounts, so be prepared to provide PIA a copy of a vendor invoice or contract that shows these amounts, should you be asked. If you have signed a new contract with a vendor and don’t yet know the taxes/fees, REQUIRE YOUR SERVICE PROVIDER TO PROVIDE YOU WITH THIS INFORMATION. For most broadband services, vendors charge the 5.25% PA Gross Receipts Tax (at a minimum), and many also charge the Universal Service Fee (currently 31.8%). Most Internet invoices do not include taxes/surcharges.
If you have any questions as you’re working through your Form 471, please don’t hesitate to e-mail me at jtschell@comcast.net.
Happy filing!
— Julie
Julie Tritt Schell
Pennsylvania E-rate Coordinator
717-730-7133 – o
jtschell@comcast.net
www.e-ratepa.org
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