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 Administrators 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.universalservi
  ce.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, by fax, or mail.
• E-mail appeals_at_sl.universalservice.org
• Click Submit a Question
• Fax [phone]
• 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 at www.sl.universalservice.or
  g/reference/appealsprocedure.asp
• Fax [phone]
• 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 senders fax
  machine or computer by any time up to 1200
  midnight in the senders 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 Administrators Decision on
  Appeal Letter (ADL).

10
When will SLD Grant 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 SLDs files
  demonstrate that SLD could have identified the
  mistake.
• The applicants 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 Youll 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
  Administrators Decision Letter.

20
Our Goals

• Issue Receipt Acknowledgment Letters for
  meritorious pre-commitment appeals within 30-days
  from issuance of the Administrators Decision
  Letter.
• Provide excellent customer service to our
  stakeholders.

21
QUESTIONS