December 11, 2003

TO: Directors of Public Library Systems, Directors of Reference and Research Library Resources Systems

FROM: Carol Desch, Coordinator of Statewide Library Services

SUBJECT: New 2004-2007 E-Rate Technology Plans Due March 31, 2004

CC: Janet M. Welch; Sara McCain; Win Himsworth, E-Rate Central


The current library system E-Rate Technology Plans cover the three-year period, July 1, 2001 - June 30, 2004. Based upon the requirement of the Schools and Libraries Division (SLD), the New York State Library is requesting new E-Rate Technology Plans to cover the period July 1, 2004 - June 30, 2007. The deadline for receipt of the library system plans in the New York State Library's Division of Library Development is March 31, 2004. Please send two copies of your plan to the attention of Sara McCain, E-Rate Coordinator.

We suggest that member library plans should also be submitted to their library systems by March 31, 2004. Library systems will review the member libraries' plans and send a certified list to Sara McCain's attention by May 28, 2004. The member libraries' plans should be retained by the library system. Please do not send member plans to the State Library. A copy of the certification form for member library plans is attached. The submitted copy of the certification must have an original signature.

Both the library systems' and the member libraries' plans are covered by the same SLD criteria and the same level of specificity for technology plans. The criteria are described in the text below.

Who Needs a Plan?

Public libraries and library systems that seek discounts only for basic local and/or long distance telephone services (wireline or wireless) need not prepare technology plans. If a library system decides that it is not necessary to file a technology plan, then the system needs to file a certification informing the State Library of that decision. A copy of the certification form is attached. Please send one copy with original signature to Sara McCain by March 31, 2004, if your library system determines that it is not necessary to file a technology plan.

For all other purposes, such as Internet service and internal connections, before discounts are provided to applicants, their technology plans must be approved by an SLD-certified technology plan approver. In New York State, the State Library provides this certification. Assisting the State Library in this effort is E-Rate Central, a company that holds a contract with the State Education Department to provide E-Rate information services for all New York State schools and libraries.

Technology Plan

Required Components

The SLD states that the technology plan required for the E-Rate discount should guide planning and investment -- both for E-Rate funds and for the other resources needed to take advantage of technology. The plan must contain the following five components:

  1. Clear goals and a realistic strategy for using telecommunications and information technology to improve education or library services
  2. A professional development strategy to ensure that staff know how to use these new technologies to improve education or library services
  3. An assessment of the telecommunication services, hardware, software, and other services that will be needed to improve education or library services
  4. 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
  5. An evaluation process that enables the school or library to monitor progress toward the specified goals.

Under item 4, the plan must provide specific budget details for each of the three years if the system wishes to receive approval for a three-year plan.

Important New Information

The following information was taken from the E-Rate News for the Week of 9/22-9/26/2003 from E-Rate Central:

The SLD stressed in its Train-the-Trainer session for state E-Rate coordinators this September that it would be paying more attention to technology plans and to the link between these plans and the E-Rate services requested. Here are a few important points concerning the SLD's expectations:

  • Form 470 requests must be based on a written technology plan. The Form 470 has long had a certification (Item 20) that an applicant was covered by a technology plan, but this is the first time that the SLD has stressed that it must be a current and formal plan.
  • The plan must cover all services being requested, including such non-basic telecom services as Centrex. This is the first time the SLD has detailed the degree of specificity required in technology plans. Effectively, the SLD is asking for a highly operational, rather than strategic, plan.
  • Budgets incorporated in the plan must show both revenue sources and anticipated expenses sufficient to cover both the E-Rate services requested and other resources needed to support these services. This is not a new requirement, but it does reflect added emphasis and does suggest additional application review criteria.
  • E-Rate technology plans have long had a requirement for an "evaluation" component. The SLD is now stressing the need to monitor -- and document -- the applicant's progress in meeting its plan objectives.

Based on our experience with the review process for the 2001-2004 plans and the need to request follow-up information in order to approve some technology plans through the three-year period, the State Library asks all library systems to pay particular attention to the budget and evaluation requirements. It is important to keep in mind that the SLD is expecting that the technology plans provide a sufficient level of detail to support all the services requested in the 470 and 471 forms and confirmed in the 486 form. In the event of an audit, the examiners will ask for a copy of the technology plan.

Attached to this memo are: an SLD document called Technology Planning: Questions to Consider, relating specifically to components 1, 2 and 5; and a chart outlining the process for approval of library and library system technology plans.

Impact of Children's Internet Protection Act (CIPA)

Effective June 23, 2003, the Supreme Court ruled that the filtering requirement in CIPA was constitutional for public libraries. The Court's decision means that any public library using E-Rate for Internet provider costs or for internal connection costs must comply with the law's filtering requirement. The filtering provision does not apply to discounts on telecommunication costs, including voice or data circuits.

Libraries have until the start of 2004 E-Rate services to comply with CIPA's filtering mandate. For most libraries this will be July 1, 2004. During the current (2003) E-Rate funding year, libraries need to be already compliant with CIPA's filtering provision or be undertaking actions to be compliant by the start of 2004 services. For more detailed information about CIPA and E-Rate, you can go to the Wisconsin Department of Public Instruction web site.

If you have questions about this memo, the plan requirements or about the review process, please contact Sara McCain at 518-486-4857 or at smccain@mail.nysed.gov . This memo and all attachments are available on this web site. The forms are available in both Word and PDF format.