About the Schools and Libraries Program:

• Overview of the Program
• Overview of the Process
• Outreach and Training
• Site Visits
• Filing Appeals
• Understanding Audits

Schools and Libraries Tools:

• Apply Online
• Commitments
• Submit a Question
• Latest News
• Calendar/Reminders
• Required Forms
• Reference Area
• Search Tools
• Changes and Corrections
• Suspensions and Debarments
• Program Compliance - Whistleblower Hotline
• Submitting A Complaint

Step 2: Technology Planning

An approved technology plan must meet five criteria that address goals, strategies, needs, resources, and evaluation.

The Federal Communications Commission (FCC) requires applicants to base requests for services to be purchased with Schools and Libraries support discounts on an approved technology plan. The only exception is that applicants who seek discounts for basic telephone service only do not need a technology plan. Applicants who seek telecommunication services other than basic telephone service, Internet access, internal connections, or basic maintenance of internal connections should review the following information about technology plan requirements and approval. Additional assistance in writing a plan is provided in Questions to Consider: Technology Planning

The sections below provide guidance on the core elements of approved technology plans and information about the approval process including:

• Elements of a Technology Plan
• Technology Plan Scope and Timeframe
• Technology Plan Approval Process
• Reviews for Program Compliance
• USAC Contact Information

Elements of a Technology Plan
The FCC has stipulated that requests for discounts must be based on an approved technology plan. To ensure that schools and libraries are prepared to effectively use the requested services, applicants must certify that their requests are based on approved technology plans that include provisions for integrating telecommunication services and Internet access into their educational program or library services. Most schools and libraries have already developed such plans and may only need to modify these existing plans slightly to conform to program criteria for technology plans.

To qualify as an approved technology plan for a discount and to meet the requirements of the FCC's Fifth Report and Order (FCC 04-190, released August 13, 2004), the plan must contain the following five elements:

• The plan must establish clear goals and a realistic strategy for using telecommunications and information technology to improve education or library services;
• The plan must have a professional development strategy to ensure that staff know how to use these new technologies to improve education or library services;
• The plan must include an assessment of the telecommunication services, hardware, software, and other services that will be needed to improve education or library services;
• The plan must provide a sufficient budget to acquire and support the non-discounted elements of the plan: the hardware, software, professional development and other services that will be needed to implement the strategy; and
• The plan must include an evaluation process that enables the school or library to monitor progress toward the specified goals and make mid-course corrections in response to new developments and opportunities and they arise.

Note: If the plan was approved prior to the effective date of the Fifth Report and Order (October 13, 2004) and did not contain all of the five required elements, that plan should be updated to include the missing elements. Technology plans must include all five elements.

Technology Plan Scope and Timeframe

Scope

Schools and libraries are not required to write or develop a separate Universal Service Fund technology plan. However, the approved plan must include a sufficient level of information to validate the purpose of a Universal Service Fund request. An approved technology plan does not have to include the specific details on required on the Description of Services Requested and Certification Form (Form 470), the Services Ordered and Certification Form (Form 471), the Receipt of Service Confirmation Form (Form 486), and the Adjustment to Funding Commitment and Modification to Receipt of Service Confirmation Form (Form 500).

The information submitted on those forms should build on the foundation provided by the approved technology plan, by documenting specific implementation details and operational steps being taken under the plan. That information will be considered a refinement of the plan as long the requested services can be supported by the plan.

All approved technology plans should include provisions for evaluating progress toward the plan's goals, and ideally these assessments should occur on an annual basis. A technology plan should be responsive to new and emerging opportunities, open to review and not a static document. If you find that your technology needs change and you want to order services beyond the scope of your existing plan, you must prepare and submit a new plan for approval.

Timeframe

Approved technology plans should cover a period of not more than three years. In view of the rapid development cycle of new technologies and services, schools and libraries should approach long-term commitments with caution. However, long-range planning may be important in the case of some lease-purchase arrangements or very large capital investments that require extended commitments. There may also be cases in which an approved plan is longer than three years to conform to federal, state, or local requirements. Whenever an approved plan is longer than three years, there should be a significant review of progress during the third year.

A technology plan must be written - including all five elements - at the time the Form 470 is filed and must be approved before the start of service. Applicants are now required to formally certify on Form 486 that the technology plans on which they based their purchases were approved before they began to receive service. (See Reviews for Program Compliance below for more details).

Technology Plan Approval Process

Technology Plan Approvers

To ensure that technology plans are based on the reasonable needs and resources of the applicant, and that they are compatible with the goals of the Schools and Libraries Program, the FCC requires independent approval of an applicant's technology plan (FCC Order 97-157). Applicants can locate a technology plan approver by using the Technology Plan Approver Locator.

Technology Plan Certification

The technology plan approver is expected to use the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe. USAC will provide a letter of certification to each approving entity. Each approver should provide a copy of a document similar to the Sample Technology Plan Approval Form to the school district, school, library system, or library to certify that its plan has been approved and is consistent with the five criteria listed above in Elements of a Technology Plan and in the checklist on the sample form. When a Form 486 is submitted to USAC, the applicant will be required to identify the entity that approved the technology plan for each eligible school or library receiving services on the form. During a program integrity review, a school or library may be required to produce a document similar to the Sample Technology Plan Certification Form, in order to document approval of its technology plan.

Approval of State Education Agency and Public School Plans

The sole approver for State Education Agency (SEA) technology plans is the U.S. Department of Education. An SEA with an approved plan under the Technology Literacy Challenge (TLCF) initiative or the Enhancing Education Through Technology (EETT) program has an approved plan for purposes of the Universal Service Program. Although these plans cover a period of more than three years, they include provisions for periodic progress evaluations, and USAC will ask the U. S. Department of Education for progress reports under these plans during their third year.

Under FCC Order 97-157, SEAs are the preferred approvers for K-12 public school plans. A school, school district, or education service agency that has developed a plan approved under a TLCF or EETT initiative, when accompanied by a current year operating budget, has an approved plan for purposes of the Schools and Libraries Program. Many states also have established their own state-wide technology planning initiatives, and schools, school districts, or education service agencies may develop technology plans for state approval by participating in such initiatives, if those initiatives include the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe. School districts that have not developed approved technology plans under one of these national or state initiatives may have their own district-level plans approved by their SEA, following the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe. In the case of a Local Education Agency (LEA), plans that were approved for the U.S. Department of Education's EETT program satisfy the requirements for Schools and Libraries Program technology plans as long as they are accompanied by a current operating budget.

• School district technology plan. A school within a district that has an approved technology plan is considered to have an approved plan, if the district-wide plan validates the use of telecommunications services for educational purposes in that school in a manner consistent with the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe.
• Individual school technology plan. If an individual public school develops its own site-based or building level technology plan, it should seek approval for that plan at the district level following the criteria and standards above in Elements of a Technology Plan and Technology Plan Scope and Timeframe.
• Charter school technology plan. A charter school may have its technology plan approved through the same institution that granted its charter, if that agency is a USAC-Certified Technology Plan Approver.

A SEA may delegate its approval authority by designating a third party to establish and operate an independent peer review process on its behalf. In the event of such delegation, the SEA should notify USAC. USAC will certify the alternative approval entity, but the state will retain responsibility for the approvers operating under its jurisdiction.

In FCC Order 97-253, the FCC states that: "the Schools and Libraries Division may review and certify schools' and libraries technology plans when a state agency has indicated it will be unable to review such plans within a reasonable time." If such an event occurs, the SEA will notify USAC, which will consult with the SEA to certify a third party that can establish and operate an independent approval process on behalf of the public schools in the state. Although USAC will certify the alternative approval entity, the state will retain oversight responsibility for this entity, which will be operating under its jurisdiction.

Note: Schools that are subject to a state review process by state or local law may not circumvent the state process by submitting plans directly to USAC (FCC Order 97-420, paragraph 157). In the event that USAC certifies alternative procedures for approval of public school technology plans in a state, these procedures may not be used as an alternative approval process for public schools in any other state, and no USAC certified approval procedure may be used as an appeals mechanism for any school in any state.

Approval of Non-public Schools Plans

In states where non-public schools are not required by applicable law to obtain state approval for technology plans and telecommunications expenditures, or where SEAs have indicated that they will not be approve technology plans for non-public schools, USAC will authorize an alternative approval process administered by appropriate entities. The approved entities will certify to USAC that:

• Approval procedures will be similar in rigor to existing peer reviews used by non-public schools for other certification purposes
• Approval procedures will be based on an independent peer review that will include the criteria and standards for plans above in Elements of a Technology Plan and Technology Plan Scope and Timeframe.

USAC will certify technology plan approvers for non-public school plans. These entities may include:

• regional accreditation associations
• national, state, regional, and local private school associations
• national, state, and regional parochial school associations

In some states, the SEA or an education service agency may also work with non-public schools to establish an appropriate third-party approval process for non-public school technology plans. In the absence of any of these alternatives, USAC may consult directly with the SEA and the non-public schools in a state or region to certify appropriate approval procedures. USAC will maintain a directory of entities that it has certified to approve non-public school plans and will facilitate non-public school access to these entities when necessary. USAC and USAC-certified entities may not be used to appeal the review of any other entity.

A school within a Diocesan school district or comparable entity that has an approved plan is considered to have an approved plan in its own right, if that approved district-wide technology plan validates the use of the contracted telecommunications services for educational purposes in that school in a manner consistent with the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe.

Approval of Bureau of Indian Education (BIE) Plans, BIE School Plans, and Plans of Districts and Territories

The District of Columbia, Hawaii, and U.S. territories will have their plans approved under the U.S. Department of Education's Enhancing Education Through Technology (EETT) program.

The Department of Interior's Bureau of Indian Education (BIE) is the preferred approver for BIE contract and grant school plans, and it will use the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe to approve individual BIE school plans. BIE-operated schools can be covered by a plan written by the BIE and approved by the U.S. Department of Education. Any BIE school with an approved technology plan under the EETT program has an approved technology plan if that plan is accompanied by a current year operating budget.

An individual BIE contract or grant school with a BIE-approved plan may choose to participate in the Schools and Libraries program in its own right independently of the BIE, if the BIE-approved technology plan supports and validates the use of the contracted telecommunications services for educational purposes in that school in a manner consistent with the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe. If an individual BIE school, or any other school or system serving Indian students, develops a technology plan that is not covered by BIE approval, USAC will consult with appropriate entities to establish an alternative approval procedure.

Approval of State Library Agency and Library Plans

State Library Agencies may have their plans approved through several mechanisms. The Institute of Museum and Library Services (IMLS) has approved a Library Services and Technology Act (LSTA) Plan for every state. These plans are similar in purpose and scope to Ed-Tech plans for SEAs, and they constitute approved technology plans for the purposes of the Schools and Libraries Program. Alternatively, a State Library Agency may choose to use a technology plan approved by an appropriate body within the state (e.g., the legislature, state department of telecommunications, state department of information technology, etc.). Since LSTA plans and many state agency plans cover a period of more than three years, USAC will ask the IMLS or the state agency for a progress report under these plans during their third year.

State Library Agencies are the preferred approvers for the technology plans of library systems and libraries in their states. USAC will consult with State Library Agencies and will certify their approval process if they affirm the application of the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe.

For the purposes of technology planning, USAC uses the following two definitions:

• "Library" is defined as a single administrative unit, which can have multiple outlets.
• "Library Consortium" is defined as an administrative unit which is a collection of multiple libraries, each with its own governing structure, that come together to share resources and aggregate demand.

Individual libraries may write their own technology plans. Library consortia technology plans may be used to fulfill the requirement for the individual libraries to have a technology plan if the consortium:

• Supports and validates the services requested by the library
• Is based on a collaborative planning process
• Follows the guidelines set out in the four technology planning scenarios outlined below:
  • Libraries and/or library consortia that apply only for basic telephone service are not required to have a technology plan.
  • Libraries that apply for discounts on services for its own library outlet(s) may have a plan written at the library level.
  • Library consortia that apply for discounts on services that are shared by a group of libraries may have a plan written at the consortium level as long as the plan supports and validates the requested services.
  • Libraries that apply for discounts on services for their own library outlet(s), which are part of a larger initiative supported by the library consortium, may have a plan written at the library consortium level, as long as the plan supports and validates the requested services.

A State Library Agency may delegate its approval authority by designating a third party to establish and operate an independent peer review process on its behalf. In the event of such delegation, the agency should notify USAC. The state agency will retain responsibility for the approvers operating under its jurisdiction.

Reviews for Program Compliance

USAC reviews certifications made on FCC Forms for compliance with program rules concerning availability and approval of technology plans.

Description of Services Requested and Certification Form (Form 470), the Services Ordered and Certification Form (Form 471)

All applicants certify on Forms 470 and 471 that their request for services will be based on a technology plan that has been or will be approved in accordance with the criteria and standards outlined above in Elements of a Technology Plan and Technology Plan Scope and Timeframe.

The technology plan must be written before the submission of the Form 470 and Form 471. The applicant must indicate the status of the technology plan in Block 5 of the Form 470 and Block 6 of the Form 471.

The plan should document an educational purpose or need for library services that are consistent with the "Summary Description of Needs or Services Requested" in Block 2 of the Form 470. The approved plan should be consistent with the "Technology Resources" in Block 3 and should support the "Certifications" in Block 5. The approved plan also should be consistent with similar information blocks in Form 471 and should support the "Certifications" in Forms 471 and 486. Applicants must retain documentation to demonstrate fulfillment of such requirements .

Receipt of Service Confirmation Form (Form 486)
To indicate services have begun, the school or library must file Form 486 and indicate on that form the name(s) of the organization(s) that approved a technology plan for any eligible recipient receiving services. The technology plan has to be approved by the start of service or the filing of the Form 486, whichever comes first. The approving entity is required to provide the applicant with a Certification of Technology Plan Approval that is similar to the Sample Technology Plan Approval Form. This document must be retained in accordance with the FCC's document retention policy. In the event of a program integrity review, a school or library may be required to produce a document similar to the Sample Technology Plan Approval Form, in order to document approval of its technology plan.

USAC Contact Information

USAC's Schools and Libraries Client Service Bureau will be able to answer many of your questions about establishing an approved technology plan, and they will be able to refer you to the certified approval entity in your state or region. You may reach the Client Service Bureau by a toll-free telephone call to 1-888-203-8100, by email, or by fax 1-888-276-8736.

To correspond by mail about the technology plan approval process, you may address letters to:

Universal Service Administrative Company
Schools and Libraries Program
Technology Planning
2000 L Street, NW - Suite 200
Washington, DC 20036

DO NOT SEND YOUR TECHNOLOGY PLAN TO USAC

Sending your plan to USAC will only delay the approval process. If you believe your state does not serve your type of school or library, call USAC's Client Service Bureau at 1-888-203-8100.