Secure and Trusted Communications Networks Reimbursement Program FCC Form 5640 User Guide A step-by-step guide for Applicants completing FCC Form 5640: Application Request for Funding Allocation OMB Control No. 3060-1270 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Table of Contents Background ...................................................................................................................................................... 3 Purpose of this User Guide ............................................................................................................................ 4 Glossary ............................................................................................................................................................ 4 FCC Form 5640: Application Request for Funding Allocation ................................................................... 4 Batch Uploads .................................................................................................................................................. 6 Saving and Submitting FCC Form 5640 ........................................................................................................ 6 Responding to Requests for Information (RFIs) in the Online Portal ...................................................... 7 Navigating to the Reimbursement Program website & logging into the online application portal .... 8 Completing FCC Form 5640: Application Request for Funding Allocation .............................................. 9 Applicant Information ................................................................................................................................. 9 pplicant Payment Information ................................................................................................................... 9 Real Party in Interest Information ........................................................................................................... 10 Contact Information .................................................................................................................................. 10 Identifying Applicant Type ........................................................................................................................ 11 Program Eligibility ...................................................................................................................................... 13 Timeline and Plan Information ................................................................................................................ 14 Locations ..................................................................................................................................................... 15 Equipment .................................................................................................................................................. 18 Cost Estimates ............................................................................................................................................ 21 Certifications............................................................................................................................................... 24 Certifier Information ................................................................................................................................. 25 Attachments ............................................................................................................................................... 25 Saving & Submitting the Application....................................................................................................... 27 Prior to the filing window closing ........................................................................................................ 27 After the filing window closes .............................................................................................................. 28 2 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Background The Secure and Trusted Communications Networks Act of 2019 (Secure Networks Act), as amended, directed the Federal Communications Commission (FCC or Commission) to establish the Secure and Trusted Communications Networks Reimbursement Program (Reimbursement Program or SCRP).1 The purpose of the $1.9 billion Reimbursement Program is to reimburse providers of advanced communications services with ten million or fewer customers for costs reasonably incurred in the removal, replacement, and disposal of covered communications equipment or services produced or provided by Huawei Technologies Company (Huawei) or ZTE Corporation (ZTE) that pose a national security risk, that were obtained by providers on or before June 30, 2020.2 In the 2020 Supply Chain Order, the Commission established the Reimbursement Program and adopted rules for the Reimbursement Program codified in section 1.50004 of its rules.3 The Commission revised these rules in the 2021 Supply Chain Order and provided additional guidance on the application and reimbursement process in the Finalized Reimbursement Process Public Notice, including FCC Form 5640: Application Request for Funding Allocation (FCC Form 5640) and a Catalog of Eligible Expenses and Estimated Costs (Cost Catalog), and separately on the disposal process.4 The application filing window for the Reimbursement Program will open on October 29, 2021 at 12:00 AM ET and close on Friday, January 14, 2022 at 11:59 PM ET.5 Participation in the Reimbursement Program is limited to providers of advanced communications services providing high-speed, switched, broadband telecommunications capability that enables 1 Secure and Trusted Communications Act of 2019, Pub. L. No. 116-124, 134 Stat. 158 (2020) (codified as amended at 47 U.S.C. § 1601-1609 (Secure Networks Act); Consolidated Appropriations Act, 2021, Pub. L. No. 116-260, § 901, 134 Stat. 1182 (2020) (CAA). 2 2021 Supply Chain Order, 2021 WL 3024271, at 49-51, Appx. A. 3 Protecting Against National Security Threats to the Communications Supply Chain Through FCC Programs, WC Docket No. 18-89, Second Report and Order, 35 FCC Rcd 14284, 14374-83, Appx. A (2020) (2020 Supply Chain Order); 47 CFR § 1.50004. 4 Protecting Against National Security Threats to the Communications Supply Chain Through FCC Programs, WC Docket No. 18-89, Third Report and Order, FCC 21-86, 2021 WL 3024271, at 49-51, Appx. A (Jul. 14, 2021) (2021 Supply Chain Order); Wireline Competition Bureau Finalizes Application Filings, Procedures, Cost Catalog, and Replacement List for the Secure and Trusted Communications Networks Reimbursement Program, WC Docket No. 18-89, Public Notice, DA 21-947 (WCB Aug. 3, 2021) (Finalized Reimbursement Process Public Notice); Wireline Competition Bureau Announces Best Practices for Equipment Disposal and Revises FCC Form 5640 Certifications for the Secure and Trusted Communications Networks Reimbursement Program, WC Docket No. 18- 89, Public Notice, DA 21-1234 (WCB Sept. 30, 2021). 5 Wireline Competition Bureau Announces Application Filing Window for the Secure and Trusted Communications Networks Reimbursement Program – Filing Window Opens October 29, 2021, WC Docket No. 18-89, Public Notice, DA 21-1207 (WCB Sept. 27, 2021). 3 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide users to originate and receive high-quality voice, data, graphics, and video telecommunications using any technology with connection speeds of at least 200 kbps in either direction.6 Schools, libraries, or health care providers, or consortium thereof, that provide facilities-based broadband connections of at least 200 kbps in one direction to end users may qualify as providers of advanced communications services.7 Purpose of this User Guide This document is intended to be utilized as a step-by-step user guide for Applicants to the Reimbursement Program. This user guide is not a substitute for the requirements in the Secure Networks Act, the Commission’s rules, and official FCC guidance including: the 2020 Supply Chain Order, 2021 Supply Chain Order, Finalized Reimbursement Process Public Notice, Cost Catalog, and other official documents released by the Commission related to the Reimbursement Program. Any contradiction is inadvertent. Glossary CPE: Customer Premises Equipment FCC: Federal Communications Commission (also ‘The Commission’) FA: Fund Administrator Reimbursement Program: Secure and Trusted Communications Networks Reimbursement Program RFI: Request for Information FRN: FCC Registration Number Covered equipment or service: Covered communications equipment or service produced or provided by Huawei or ZTE that was obtained on or before June 30, 2020 FCC Form 5640: Application Request for Funding Allocation During the filing window, eligible providers of advanced communications services may request funding from the Reimbursement Program for the costs Please refer to the reasonably incurred for the removal, replacement, and disposal of covered FAQs for more guidance and Huawei and ZTE communications equipment or services. In order to be information on the considered for Reimbursement Program funding, eligible providers of Reimbursement advanced communications services must submit an FCC Form 5640: Program. Application Request for Funding Allocation online. The FCC utilizes an online application portal (administered through ServiceNow) to maintain the application process for the Reimbursement Program to receive and process FCC Form 5640. The online portal is broken up 6 47 CFR § 1.50001(a). 7 2020 Supply Chain Order, 35 FCC Rcd at 14332-33, para. 112. 4 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide into multiple parts based on the required filings for different stages of the Reimbursement Program. Applicants will need to complete the FCC Form 5640: Application Request for Funding Allocation first, which must be submitted before the filing window closes. To initiate an application, applicants will first need to access the SCRP Filing Portal via the SCRP Welcome Page. A link to the welcome page will be located at https://www.fcc.gov/supplychain once the filing window opens. To access the SCRP Filing Portal, applicants will need to provide their Commission Registration System (CORES) username and password. If an applicant does not have a CORES username and password, then the applicant will first need to register with CORES to obtain a username and password at https://apps.fcc.gov/cores/userLogin.do. As part of FCC Form 5640, Applicants will be asked to enter information about the location(s) of their covered communications equipment or service(s); details on each piece of equipment or service(s), both existing and replacement; and cost estimates for their replacement equipment or service(s). Applicants are limited, due to system constraints, to entering 1,000 locations, 1,000 pieces of equipment (combined existing and replacement) and 20,000 cost estimates in each application submitted. Applicants that anticipate exceeding any of these limits will need to submit multiple applications using different FCC Registration Numbers (FRNs) obtained through CORES such that no one application exceeds any of these limits Additionally, only one user can work inside the Form 5640 application at a time. Therefore, Applicants that will exceed the location, equipment or cost estimate limits or those that are concerned about their ability to complete the application within the filing window period may do one of the following, as applicable: • Applicants with multiple eligible subsidiaries can apply at the subsidiary level, as opposed to the holding company level, using the FRN of each subsidiary for separate applications. This will allow unique users to work on each application and may allow Applicants to avoid the above limitations. • Applicants may also create multiple FRNs associated with one entity EIN/TIN. This will allow the Applicant to create multiple applications, one for each FRN, enabling unique users to work on each application. If Applicants choose to create additional/multiple FRNs they will need to provide an attachment of all related FRNs that can be considered during the review period. They will also need to provide the same required eligibility and cost estimate attachments with each application to prevent any delay in the review of each application. Applicants who choose to create multiple FRNs for use in creating multiple FCC Form 5640 Applications should use the same TIN in the TIN field of each FRN registration filing. When creating new FRNs, it is important that Applicants use a consistent naming convention that somehow indicates the FRNs are associated, e.g., Applicants may organize their applications geographically, by distribution layer, or any logical manner and use an FRN naming conventions that reflects that decision. 5 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Providers may refer to the Secure and Trusted Communications Networks Reimbursement Program Webinar, available on the SCRP website, for a walk-through of the system to help them determine if one of these two options are applicable for their circumstance. Providers are encouraged to visit the SCRP website frequently for updated information and guidance. Batch Uploads The FCC Form 5640 will allow applicants to download Excel batch upload templates for the locations, equipment, and cost estimate sections of the application. These templates can be completed offline, outside the SCRP Filing Portal, so that multiple users can work within the same template or on multiple versions of the same template and then combined. The completed batch files can then be uploaded into the FCC Form 5640 application. Saving and Submitting FCC Form 5640 Applicants can save their FCC Form 5640 application as they progress by Figure 1: The blue clicking the blue ‘Save as Draft’ button in the bottom left of the page. 'Save as Draft' Applicants will have the ability to save and return to their application up until button is available at the bottom left the filing window closes. Applicants must submit their application prior to the hand of the screen window closing. A saved application that is not submitted prior to the filing until you are ready to submit window closing will not be considered. All parts of the online application that have a red asterisk (*) are mandatory and need to be completed by the Applicant before they can submit their application. Applicants are encouraged to complete all relevant parts of the application, including those that are not mandatory and do not have a red asterisk, as this may expedite the review of their application. Contacting the Help Desk If Applicants have questions throughout the application process, they may contact the Reimbursement Program Help Desk by emailing SCRPFundAdmin@fcc.gov or calling (202)-418- 7540. The Help Desk is available from 9:00 AM ET to 5:00 PM ET, Monday through Friday, except for Federal holidays. Additionally, Applicants can reference the Frequently Asked Questions (FAQs) document posted on the Reimbursement Program website, www.fcc.gov/supplychain, for further information. 6 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Responding to Requests for Information (RFIs) in the Online Portal After the filing window has closed, the FCC and/or Reimbursement Program Fund Administrator may ask the Applicant via a request for information (RFI) for additional information, and to revise their application and/or estimate. Applicants will receive an RFI notification via email and will respond to the RFI request within the online portal. This RFI notification will also unlock their application to allow amendments. Failure to respond to an RFI could potentially result in a delay or denial in funding. Applicants will be given a 15-day period to cure any material defects identified in an RFI before an application request can be denied by the FCC. Figure 2: Reimbursement Claim Correspondence After logging into their online portal, Applicants will click on their Program Participant File. Applicants will see a ‘Correspondence’ table at the top of the page which will contain the RFI. By clicking on the row with the RFI communication, the specific details of the RFI will open, such as the Program Participant ID number, Term Extension Request, Status, Correspondence Type, and more. These greyed boxes cannot be edited by the Applicant. After scrolling down, Applicants will see the body of the communications correspondence and all communications history in regard to this RFI. Applicants should make any requested updates to their application before responding to the RFI. If no updates are required, Applicants will have the ability to type their reply message to the FCC and/or Fund Administrator to provide clarifications. Responding to the RFI will re-lock the application, so please ensure all application updates are made before responding to the RFI. 7 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Navigating to the Reimbursement Program website & logging into the online application portal Applicants eligible to participate in the Reimbursement Program will utilize FCC Form 5640 (Application Request for Funding Allocation), accessed via an online portal established by the FCC and accessible at https://www.fcc.gov/supplychai n, to submit their applications. Upon arriving at the online portal, Applicants will navigate to and click the ‘SCRP Filing Portal’ button (highlighted by the red box in Figure 3). Figure 3: The SCRP Landing Page & Filing Portal Link Applicants that have not already started an application will navigate to and click the blue ‘Start New Application Request for Funding Allocation’ button. Applicants that have already started an application will navigate to and click on their application under the ‘Program Participant Files’. Applicants can save their application and return to it later in order to finalize and submit before the filing deadline. Figure 4: New Applicants to the SCRP will click the blue 'Start New Application Request for Funding Allocation’ button. Applications that have already been drafted or submitted will be listed under 'Program Participant Files'. 8 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Completing FCC Form 5640: Application Request for Funding Allocation A new application will open to a page titled ‘SCRP Application Request for Funding Allocation’. Applicant Information In this section, the Applicant will Figure 5: Applicant Information input their Applicant FCC Registration Number (FRN), Applicants are encouraged to use the Holding Company FRN here; however, which will automatically they are permitted to submit at the individual/subsidiary level. If applying at the subsidiary level, Applicants will identify their holding company FRN under populate the appropriate the “Real Party in Interest Information” section (see Page 8). If applying at Applicant contact information, the holding company level, Applicants will upload a list of the FRNs of the including: Applicant Name, subsidiaries covered by the application in the Attachments section. Email, Phone Number, Street If creating multiple FRNs for the same entity, Applicants should use the same Name, City, State, and Zip Code. Taxpayer Identification Number (TIN) in the TIN field of each FRN registration If you have created multiple filing and use a consistent naming convention for each new FRN that somehow indicates the FRNs are associated, e.g., Applicants may organize FRNs to address the application their applications geographically, by distribution layer, or any logical manner entry limitations described in and use an FRN naming convention that reflects that decision. the introduction to this Providers may start the CORES registration process by visiting the document, each FRN will be its Commission Registration System (CORES). own application. Applicant Payment Figure 6: Applicant Payment Information Information In this section, the Applicant will Applicants must register in SAM.gov using the DUNS number submitted in input their ‘Applicant Payment their Form 5640 Application in order to be eligible to receive payments from Information’, including: Data the U.S. Treasury. Applicants that do not already have a DUNS number and Universal Numbering System CAGE code are encouraged to register for these identifiers early, as they may take some time to obtain. Applicants can refer to The Dun & Bradstreet (DUNS) Number, DUNS+4, and website for more information on obtaining a DUNS number. The Defense Commercial and Government Logistics Agency CAGE portal has more information on obtaining a CAGE code. Entity (CAGE) Code. The SAM.Gov Entity Registration Status Tracker also has additional resources regarding the registration process. When registering the DUNS in SAM.Gov, Applicants will need to ensure that the TIN that they input matches the TIN associated with their FRN in CORES. 9 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Real Party in Interest Information In this section, the Applicant will input their ‘Real Party in Interest Figure 7: Real Party in Interest Information Information,’ including FRN of the Real Party in Interest. The ‘Real Party in Interest’ is the Applicants are encouraged to submit a single application at the holding Applicant’s parent company or company level unless they cannot do so based on the limitation of 1,000 locations, 1,000 pieces of equipment or 20,000 cost estimates. Applicants other controlling entity. Upon applying at the holding company level will input the same FRN here as entering the FRN of the Real provided in Applicant Information. Later in the Attachments section, Party in Interest, the ‘Name of Applicants will upload a list of the FRNs of the subsidiaries covered by the Real Party in Interest’ field will application. The Real Party in Interest name will be auto-generated based on the FRN entered. automatically populate (see Figure 7). Applicants applying at the individual/subsidiary level or those that created multiple FRNs for application purposes, will input their holding company’s FRN in this section, being sure to use the same Real Party in Interest FRN for each filing. Contact Information In this section, the Applicant will input their ‘Contact Information’. The Applicant may choose to tick the box indicating that the ‘Contact [is the] Same as Applicant’, in which case the same contact information Figure 8: Contact Information details will auto-populate. Otherwise the Applicant will need to manually input the following contact information: Please ensure that the point of contact listed is easily contactable through Contact Name, Email, Phone the information provided should the FCC or Fund Administrator need to follow up with any questions via an RFI. Number, Street Name, City, State (utilizing the drop-down menu), and Zip Code. These items identify the contact representative if it is different from the Applicant. 10 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Identifying Applicant Type In this section, the Applicant will identify the ‘Applicant Type’. A drop down menu of several Applicant Types, such as State Government , Independent School District, Individual, Small Business, etc., is provided and the Applicant can select up to three (3) applicable responses. Figure 9: Identify Applicant Type In this section, the Applicant will also identify the primary US State, District of Columbia, or U.S. Territory (from the drop-down If an Applicant’s answer indicates they are not a Commercial broadband menu) in which it expects a provider, they will need to provide supporting documentation in majority of its request for Attachments to justify why the Applicant is eligible for the program yet allocation will be utilized. If an does not identify as an Advanced Communications Services/Commercial Applicant anticipates an equal Broadband Provider amount of funding to be utilized Applicant type, in conjunction with other application information, will be in more than one U.S. State, the used to inform the prioritization of funding allocation among different District of Columbia or U.S. categories of Applicants should funding demand exceed available Territory, use number of funding. customers to identify the primary location. If the Applicant selects “Other,” an open text field will become available to provide additional applicant type information not adequately captured by the available options. The Applicant will then answer ‘yes’ or ‘no’ to the questions outlined below: • Is the Applicant a Commercial broadband provider? • Is the Applicant an Eligible Telecommunications Company (ETC)? Note: if the Applicant answers ‘yes’ to this question they will be prompted to answer additional mandatory questions, including: o Identify ETC Status (from the drop-down menu), i.e., Incumbent Local Exchange Carrier (ILEC) or Non-ILEC; o Please enter a list of Service Provider Identification Numbers (SPINs) (from the drop- down menu) that your company uses to conduct transactions with the Universal Service Administrative Company (USAC); o Identify the Study Area Code(s) from the drop-down menu where you are designated as an ETC; o FCC Form 499 Filer ID Number(s) (which the Applicant can select from the drop-down menu). 11 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide • Is the Applicant a health care provider? • Is the Applicant a school? • Is the Applicant a library? • Is Applicant subject to the Commission's Part 32 - Uniform System of Accounts for Telecommunications Companies regulations, 47 CFR §§ 32.01 et seq. (Part 32)? Definition of terms in Applicant Type section: • ETCs- Eligible telecommunications carriers (ETCs) as defined in 47 CFR § 54.201 receiving universal service fund support. • ILEC/Non-ILEC-Information used to identify if the filer is an ETC. ILEC refers to the term Incumbent Local Exchange Carrier. • SPINs- A Service Provider Identification Number (SPIN) (also known as a 498 ID) is a unique nine-digit number assigned to service providers that conduct business with the Universal Service Administrative Company (USAC). A SPIN is assigned when an FCC Form 498 is filed with USAC. • FCC Form 499 Filer ID- An FCC Form 499 Filer ID Number is a 6-digit identifier assigned to telecommunications providers that report quarterly and annual revenue to the FCC. • Part 32- This question aimed at identifying Applicants that may raise duplicate recovery concerns. The Commission’s Part 32 – Uniform System of Accounts for Telecommunications Companies applies to “every incumbent local exchange carrier, as defined in section 251(h) of the Communications Act, and any other carrier that the Commission designates by order. This part refers to such carriers as ‘companies’ or ‘Class B companies.’ Incumbent local exchange carriers’ successor or assign companies, as defined in section 251(h)(1)(B)(ii) of the Communications Act, that are found to be non-dominant by the Commission, will not be subject to this Uniform System of Accounts.” 47 CFR § 32.11. 12 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Program Eligibility In this section, Applicants will answer questions to determine Reimbursement Program eligibility. Applicants should pay particular attention to these questions and ensure they are answered Figure 10: Program Eligibility correctly to the best of their knowledge. The Applicant will answer ‘yes’ or ‘no’ to the questions outlined below: “Customers” is interpreted to include customers of the Applicant and customers of any affiliate taking advanced • Is Applicant a provider of advanced communications service from the provider and its communications service with 10 million or affiliates as of the date the application is filed. fewer customers? Answering “no” to these questions will automatically If the Applicant answers ‘yes’ and there is no generate a red text warning message and Applicants will not be considered eligible for the Reimbursement record of the Applicant filing FCC Form 477 in the Program. If an applicant still believes they should be most recent reporting period, then the Applicant considered eligible, they should provide supporting documentation in the Attachments section. Form 477 is will need to provide supporting documentation in required for all facilities-based broadband providers to the Attachments section. file data with the FCC twice a year on where they offer internet access service at speeds exceeding 200 kbps in • Is Applicant a provider of advanced at least one direction. communications service with 2 million or fewer Examples of Supporting Documentation Applicants customers? could include: If the Applicant answers ‘yes’ and there is no • Information from the Applicant’s website describing services provided to customers record of the Applicant filing FCC Form 477 in the • A catalog of services provided to customers most recent reporting period, then the Applicant • Annual public financial reports demonstrating number will need to provide supporting documentation in of customers and/or broadband services provided the Attachments section. • Have you previously purchased, leased, or otherwise obtained communications More information on Program eligibility and types of supporting documentation can be found in the FAQs. equipment or services on the Covered List that was produced or provided by Huawei Technologies Company or ZTE Corporation, including their affiliates and subsidiaries on or before June 30, 2020? Having a least one piece of existing Huawei or ZTE equipment or service is a requirement for eligibility in the Reimbursement Program. 13 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Timeline and Plan Information In this section, the Applicant will upload attachments to detail the timeline and project plan to remove, replace, and dispose of the covered communications equipment or services. The first attachment requires Applicants Figure 11: Timeline and Plan Information to upload a specific timeline for the permanent removal, replacement, and disposal of the covered communications equipment or services within the one- year term. This attachment can be in any of the following three formats PDF, Excel, or Word, but should include major milestones and the planned durations that are significant to the purchase, Figure 12: Request for Confidentiality Pop-up removal, installation, and disposal of any equipment or services for which Applicants will have the option to submit confidential and Applicants are applying for public/redacted versions of their timeline and plan. Applicants must reimbursement. This document should upload a request for confidentiality in Attachments if they upload a also specify the reimbursable item(s) confidential document in this section. from the Cost Catalog or their estimates related to each major milestone in the More information on confidentiality can be found in the FAQs. removal, replacement, and disposal process. The second attachment requires Applicants to provide an outline or description of their plan and the major project activities for the permanent removal, replacement and disposal of covered communications equipment or services. This attachment can be in any of the following three formats (PDF, Excel, or Word) and may be similar to a project Work Breakdown Structure (at level one and two only) or a high-level Gantt chart (although this is not a requirement). Consistent with the Freedom of Information Act (FOIA) and the FCC’s rules, Applicants may request confidential treatment for their attachments. If Applicants would like to provide a confidential version of these documents to be withheld from routine public inspection, they should check the box under the appropriate Timeline or Plan section. In this case, the additional upload boxes in Figure 12 will appear, and Applicants can upload their confidential documents in addition to the redacted versions provided above. If an Applicant chooses to provide confidential documents here, they must also upload a request for confidentiality at the end of the form. Attachments designated as “confidential” will be withheld from routine public inspection, subject to FOIA and the Commission’s rules, whereas attachments designated as “public” may be made publicly available. 14 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Locations Here, the Applicant will add details of the location(s) of their covered communications equipment or service(s) by clicking the blue ‘Add’ button (see Figure 13). After clicking the blue ‘Add’ button, the ‘Add Row’ pop-up box will appear to add Figure 13: Locations specific details of the location(s) (see Figure 14). After a location is added it will be reflected in a row of the Locations table (Figure 13). If any errors are identified with a location that has been added, the system will display a system error validation message, highlighting the effected row and/or field. Due to system limitations, Applicants will be able to enter a maximum of 1,000 locations per application. If you have more than 1,000 locations, you will need to submit multiple applications using different FRNs. Applicants should only identify locations where there is equipment and/or services that will be removed, replaced, and disposed. Applicants should only enter locations once but upload all locations of equipment or services for which they will ultimately be seeking reimbursement. Applicants will need to input or upload their locations into the application before completing the cost estimate section of the application as the filing system will assign unique location IDs for each location that are necessary for completing the cost estimate Excel batch upload template. After uploading all locations, Applicants should download their locations and Location IDs by choosing ‘Download Locations CSV File (Download CSV)’ to utilize in the cost estimate section. This will expedite the cost estimates input process since these Location IDs will be required for each location specific cost estimate. The Applicant will need to input the following location information for each equipment or service location: Location Name, Latitude and Longitude (using WGS84 data), Location Address (Number & Street, City, State (from the drop-down menu), and Zip Code), Location Address if No Postal Address is Available, and Type of Site Location. Figure 14: Location(s) Pop-up 15 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Applicants should select the ‘type of site location’ (from the drop-down menu) that best describes the site based on the definitions below, including cell site, mobile switching, central office, network operations center, headquarters, and other. Applicants that base their cost estimates on the Cost Catalog should select the site location that matches the equipment from the Cost Catalog that they are seeking reimbursement and consider how/why the equipment is being utilized. Types of site locations from the drop-down menu include the following: If a location does not have a postal address, then Applicants must provide a location description (e.g., cross roads) in the “Location • Cell Site – A cell site, cell tower, Address if No Postal Address is Available” field and type “N/A” in the cellular base station (i.e., Base “Number & Street” field. If a location has a street address, then Applicants may type “N/A” in this field. Transceiver Station/Base Station) is a cellular-enabled mobile device site where antennas and electronic communications equipment are placed and which typically contains a radio mast, tower, or other raised structure to create a geographic RF cell in a cellular network. • Mobile Switching Center (MSC) – An MSC is a core part of the GSM/CDMA network system. It acts as a control center of a Network Switching Subsystems. MSCs connect calls between subscribers by switching the digital voice packets between network paths. An MSC is situated between the cell base station and the Public Networks. • Central Office (CO) – In the telecommunications sector, a CO is a local telephone company switching center. There are two types of COs: (1) the first is called an "end office" (EO) (often called a "Class 5 office") or "local exchange" (LE), and (2) the second is a “Tandem Office”, which interconnects local COs. An EO and LE connects directly to the outside plant, which is the feeder and distribution system to homes and offices. • Network Operations Center (NOC) – Also known as a Network Management Center or Operations Center, is one or more centralized locations from which network monitoring and control, or network management, is exercised over mobile, telecommunications or computer networks (i.e., services, databases, external services, firewalls, servers, etc.) 24 hours per day. • Headquarters – One or more locations where a company manages its business and/or operations. The service provider’s location or building serves as the primary managerial/administrative center of the organization/corporation where To extent the Applicant seeks to remove, replace, and dispose of most, if not all, of the important equipment at multiple customer premises locations, the Applicant functions of an organization are should NOT create a Location ID for each individual customer coordinated. address in their Form 5640. Rather, Applicants should create one Location ID for all customer premises locations in a given service • Other – Locations that do not satisfy area, select “Other” as the type of site location, describe “Other” any of the definitions listed above, location as “customer premises locations” in field provided, and enter the coordinates for the center of the service area in which the including disposal locations. If customer premises locations are served selecting ‘Other’ a brief description is required. 16 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Batch Uploads - Applicants may choose to batch upload locations using an Excel Batch Upload Validation Requirements include: spreadsheet (as demonstrated in Figure • Latitude of Location: Must use WGS84 data, range between 10 and 80, and be 4-6 decimal places 15). To do this, Applicants must first • Longitude of Location: Must use WGS84 data, range between -180 to download the Excel template within the -60 or 140 to 180, and be 4-6 decimal places • Location Address – Number & Street: If an address is not available, blue hyperlink (‘download the excel may type “N/A” in this field, but must provide a detailed description template for locations’), as shown in Figure of the location in “Location Address if no Postal Address is Available” 13, and enable macros after opening the field instead • Location Address – State: Must provide the abbreviated state name spreadsheet. The Excel template has strict (e.g., VA) or with each word in the state name capitalized (e.g., New data validation requirements that must York) be met before the file can be successfully • Location Address if No Postal Address is Available: Must complete if no address was provided in “Number & Street” field above. If uploaded. If the validation requirements address was provided, may type “N/A” are not met, the cell(s) will turn red indicating an error and Applicants will not be able to save the spreadsheet until resolving. We recommend saving additions to the template often, so that any potential validation errors are easily identified and resolved. After completing and saving the template, Applicants can upload it via the left blue ‘Choose File’ button under ‘Upload Locations Batch Excel’. Applicants are permitted to upload multiple Excel files per application. Subsequent uploads will add to the existing list of locations and not replace the list of locations contained in the application. The blue ‘Download CSV’ button under ‘Download Locations CSV File’ provides Applicants with the opportunity to download their completed file, inclusive of the Location IDs, which they can utilize in the cost estimate section. Figure 15: Batch Upload Template 17 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Equipment In this section, the Applicant will upload details on each piece of equipment, both existing and replacement equipment, by clicking the blue ‘Add’ button (Figure 16). After clicking the blue ‘Add’ button, the ‘Add Row’ pop-up box will appear to add specific detail of the Figure 16: Equipment equipment(s) or service (Figure 17). The Equipment or Service ID number will be auto- Applicants must input their equipment and/or service prior generated. The Applicant will need to first to moving to the cost estimate section, as this information identify whether the equipment or service is an will be required in order to complete the cost estimate existing equipment or service or a replacement section. equipment or service from the drop-down If Applicants will require temporary/interim equipment menu; this designation will impact the questions in order to meet their construction deadline, then that equipment should be entered here as “Replacement the Applicant is required to answer. Due to Equipment”. Construction equipment that will only be used system limitations, Applicants will only be able temporarily (e.g., trunk rentals, cells on wheels (COWs), to enter a maximum of 1,000 equipment items cranes, etc.) does not need to be included in this section (existing and replacement combined) per and should only be provided in the estimate section. application. If the Applicant has more than 1,000 equipment items, then it will need to submit multiple applications using different FRNs. Applicants can enter equipment directly into the Form 5640, or Excel templates are available for batch uploads. 18 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Replacement Equipment Applicants will need to provide the following information for their Replacement Equipment: Equipment Make, Equipment Model, Equipment Manufacturer’s or Service Provider’s Country of Origin (from the drop-down menu), Description Equipment or Service Type, Description of Equipment or Service Capabilities, and the Number of units at site. The following questions will also be mandatory: • Does the proposed replacement of covered equipment and services involve Open RAN or virtualized network solutions? • Is the equipment or service replacing the covered equipment or service compatible with or does it include standardized open and interoperable interfaces in the fronthaul Radio Access Network and Core Network? If answering ‘yes’ to this question, the following question will need to be answered: o If ‘yes,’ is this equipment or service compliant with O-RAN Alliance 7.2 fronthaul standards? If answering no to Figure17: Equipment Pop-up this question, the following question will If the Applicant has existing equipment or is purchasing need to be answered: new equipment for multiple sites where the required ▪ If ‘no,’ can it be upgraded to be O- information about the equipment is identical, then the Applicant can input this as one equipment entry but RAN Alliance 7.2 fronthaul standards, must indicate the total number of units for the and is there a commitment to do so? application. • Is the equipment or service compliant with the 3GPP X2 standard and other 3GPP open interfaces? If answering ‘yes’ to this question, the following question will need to be answered: o If ‘yes,’ then is there an associated fee to make this equipment interoperable or open? • If indicating ‘Replacement Equipment’, Applicants will not be required to provide documentation of the equipment. Existing Equipment Applicants will need to provide the following information for their ‘Existing Equipment’,: Equipment Make, Equipment Model, Equipment Manufacturer’s or Service Provider’s Country of Origin (from 19 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide the drop-down menu), Description Equipment or Service Type, Provide an explanation for non- operational equipment or service, Description of Equipment or Service Capabilities, and the Number of units at site. The following questions will also be mandatory: • Is the Equipment or Service a Covered Equipment or Service? • Indicate if the equipment or service is operational within network (‘yes’ or ‘no’). o Applicants should check ‘yes’ to this question if the existing equipment is currently operational in their network or if the entity has already replaced their old equipment, but it was operational at the time of replacement. o If an Applicant answers ‘no’ to this question, they will have to provide an explanation of why the equipment is non-operational and why. • Date Obtained o The date obtained is a required field if the Applicant indicates that the equipment is covered (i.e. Huawei or ZTE equipment). Per program guidelines, existing covered equipment must have been purchased on or before June 30, 2020.8 Applicants have the ability in Attachments For existing covered equipment, the Applicant will be to upload additional documentation that required to provide documentation of the equipment, such will identify the make, model, and serial number of existing equipment at the as a purchase order or photograph, confirming that it was Applicant level. Supporting documentation obtained on or before June 30, 2020. If this supporting could include: documentation is not available or does not indicate when • Architecture or network configuration the equipment was purchased, the Applicant must provide diagram • Equipment inventory lists with asset level an affidavit certifying that the equipment was purchased identification on or before June 30, 2020. The requirement to upload Professional Services will not be provided documentation for equipment in this section only applies in this section, rather they should be to Existing Equipment, not Replacement Equipment. The included in the Cost Estimates section Existing Equipment supporting documentation is used to next. Refer to the Cost Estimates section establish that the Applicant has covered Huawei and/or ZTE next for more information. equipment. Applicants will have the option of designating the Attachments as “confidential” to be withheld from routine public inspection, subject to FOIA and the Commission’s rules, whereas attachments designated as “public” may be made publicly available Multiple pieces of equipment or service(s) can be added. After an equipment or service is added it will be reflected in Excel template can be downloaded from a row (Figure 15 ). If any errors are identified with that row, the application and worked offline to allow the system will display a system error validation message, multiple users to work simultaneously. Excel files can then either be consolidated highlighting the effected row and/or field. There is also an or uploaded separately. option to batch upload equipment using an Excel spreadsheet located in this section (as demonstrated in Figure 15). To do this, Applicants must 8 See 2021 Supply Chain Order at 21, para. 46; 47 CFR § 1.50004(i). 20 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide first download the Excel template within the blue hyperlink (‘download this Excel template for equipment’). After completing the template, they can upload the document via the blue ‘Choose File’ button under ‘Upload Equipment Batch Excel’. The Excel template has strict data validation requirements that must be met before the file can be successfully uploaded. If the validation requirements are not met, the cell(s) will turn red indicating an error and Applicants will not be able to save the spreadsheet until resolving. We recommend saving additions to the template often, so that any potential validation errors are easily identified and resolved. After completing and saving the template, Applicants can upload it via the left blue ‘Choose File’ button under ‘Upload Locations Batch Excel’. Applicants are permitted to upload multiple Excel files per application. Subsequent uploads will add to the existing list of equipment and not replace the list of equipment contained in the application. Applicants must input or upload their equipment before completing the cost estimate section of the application as the filing system will assign unique equipment IDs that are needed to complete the cost estimate Excel batch upload template. After uploading all equipment, Applicants should download their equipment and equipment IDs by choosing ‘Download Equipment CSV File (Download CSV)’ to utilize in the cost estimate section. Cost Estimates Here, the Applicant will upload details of each cost Applicants must complete the location and estimate using an Excel spreadsheet (as equipment sections prior to completing the cost estimate section, as the Location ID and Equipment demonstrated in Figure 18). To do this, Applicants ID will be required for submission of the cost must first download the cost estimate Excel estimate template. template and enable macros after opening. Once completed, Applicants will only be permitted to upload one cost estimate template per application. If Applicants need to revise their cost estimate file during the filing window after it has already been uploaded, they will need to delete the original Excel file and upload a new fully consolidated Excel file, inclusive of all cost estimates. The Excel template has strict data validation requirements that must be met before the file can be successfully saved and uploaded. If the validation requirements are not met, Applicants will be presented with an error message on the Part C application when trying to upload the cost estimate Excel file and will not be able to save and upload the file until resolving. Applicants can enter a maximum of 20,000 cost estimate entries. If an Applicant has more than 20,000 cost estimate entries, it will need to submit multiple applications using different FRNs. Figure 18: Cost Estimate Upload Template 21 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Applicants are required to submit initial cost estimates with their FCC Form 5640: Application Request for Funding Allocation. The FCC adopted a Cost Catalog containing predetermined cost estimates for communications equipment and services potentially eligible for reimbursement. Applicants may rely on the predetermined cost estimates identified in the Cost Catalog when submitting their cost estimates with their FCC Form 5640: Application Request for Funding Allocation. Inclusion or exclusion of a particular cost category in the Cost Catalog should not be interpreted as a determination of whether or not the expense is eligible for reimbursement. Applicants may search for the predetermined cost estimates identified in the Cost Catalog by searching for communications equipment and services in the drop-down menu. If an Applicant includes a cost estimate from the Cost Catalog that is higher than the mean of the range of expenses for that item, the Applicant should upload supporting documentation as an attachment. Alternatively, Applicants can submit individualized cost estimates that are not based on the Cost Catalog. The Applicant will need to input the following information in the Excel template for each cost estimate: • Description of Cost Estimate. • Identify if the cost estimate is associated with a Single Site or Non-site-specific (from the drop- down menu); o All cost estimates for existing or replacement equipment If applicants indicate that a cost estimate is associated with a technology upgrade that exceeds the comparable replacement, then they will have to should be tied to a location provide two quotes to support the cost estimate, one quote for the (Location ID); upgraded equipment they intend to purchase, and one quote for the o If Applicants pick ‘Single Site’ comparable equipment to support the comparable reimbursable amount. they will be required to In this case, the Applicant may not use the Cost Catalog average to support their cost estimate and should instead base their cost estimate on Identify the Location ID the cost of the comparable. equipment. associated with the cost estimate If the cost estimate is associated with Customer Premises Equipment (CPE) or CPE costs, Applicants should choose ‘Single Site’. Applicants will then input the Location ID for the CPE Location that was input in the Locations section; o If Applicants identify a cost estimate as ‘Non site-specific’, they will not be required to identify the location ID. • Indicate whether cost estimated is associated with a technology upgrade that exceeds a comparable replacement (‘yes’ or ‘no’). 22 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide • Indicate whether cost estimate is related to the following categories (choose ‘Access Layer’, ‘Distribution Layer’, ‘Core Layer’, ‘Software’ or ‘Services’ from the drop-down menu). For additional information on the Cost Estimate categories please refer to the Cost Catalog (pages 8, 9, 18, 21 & 23) • Indicate the related Cost Catalog If Applicants can’t find the related item in the Cost Catalog, subcategory (from the drop-down menu) they may not use a Cost Catalog amount. In this situation, Applicants will need to provide supporting documentation to based on the Category chosen above. justify the item and cost estimate, such as a quote, invoice, • Indicate the related Cost Catalog item purchase order, vendor price list, email from the vendor, etc. (from the drop-down menu). Applicants can only reference the Cost Catalog for pre- determined average cost estimates for anticipated categories • Indicate if the cost estimate average is not of costs associated with the removal, replacement, and identified in the Cost Catalog (if disposal of covered communications equipment and service. applicable). • Average cost from Cost Catalog (will be automatically populated). Professional Services can be uploaded in this section and • Provide estimate of costs reasonably would generally be considered ‘Non site-specific’. incurred if different than Cost Catalog estimate average. • Cost Estimate Justification and Supporting Quote Information. To determine whether the In this field, Applicants should provide the file name(s) of the equipment or service is quote(s) that support this cost estimate, in addition to any other considered an upgrade justification that the Applicant chooses to provide to support the under the Reimbursement Program guidelines, please cost estimate. Quotes that support the cost estimate should be refer to the FAQs. uploaded in the Attachments section later in the application. For additional information • Equipment ID for existing Equipment or Service Being Removed, on the Cost Catalog and cost Replaced and/or Disposed (from the drop-down menu). estimates, please refer to the FAQs. • Quantity of Existing Equipment • Equipment ID for replacement Equipment or Service (from the drop- For more information on Professional Services, please down menu). refer to the FAQs. • Quantity of replacement equipment 23 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Certifications The Applicant or Certifying Official must self-certify their application by ticking the box of the following questions. • The Certifying Official is authorized to submit this request for funding allocation on behalf of the above-named Applicant and, based on information known to me or provided to me by employees responsible for the information being submitted, the information set forth in this request for funding allocation has been examined and is true, accurate, and complete. The Certifying Official acknowledges that any false, fictitious, or fraudulent information or statement, or the omission of any material fact on this or on any other documents submitted by the Applicant may subject the Applicant and the undersigned to punishment by fine or forfeiture under the Communications Act (47 U.S.C. §§ 502, 503(b), 1606), or fine or imprisonment under Title 18 of the United States Code (18 U.S.C. § 1001, §§ 286-287, and § 1343), or can lead to liability under the False Claims Act (31 U.S.C. §§ 3729-3733, and §§ 3801- 3812). • The Applicant will comply with the statute, rules, and orders governing the Reimbursement Program, including but not limited to allocations, draw downs, payments, obligations and expenditures of money, and the Certifying Official acknowledges that failure to be in compliance and remain in compliance with those statutes, rules, and orders may result in the denial of funding, cancellation of funding commitments, and/or recoupment of past disbursements. The Certifying Official acknowledges that failure to comply with the statute, rules, and orders governing the Reimbursement Program could result in civil or criminal prosecution by law enforcement authorities. • The Applicant as of the date of submission of this application has developed a specific plan and timeline for the permanent removal, replacement, and disposal of covered communications equipment or service. • If the application is approved, and then starting from the approval date of the application, the Applicant: (1) will not purchase, rent, lease or otherwise obtain covered communications equipment or service published by the Commission under 47 U.S.C. § 1601(a), using reimbursement funds (including funds derived from private sources) and (2) in developing and tailoring risk management practices, will consult and consider the standards, guidelines, and best practices set forth in the cybersecurity framework developed by the National Institute of Standards and Technology. • The Applicant’s cost estimates claimed as eligible for reimbursement were made in good faith and are limited to only the portion of the costs that will be reasonably incurred for the removal, replacement, and disposal of covered equipment and services in accordance with the Secure and Trusted Communications Networks Act of 2019, as amended, Pub. L. 116-124 § 4 (47 U.S.C. § 1603) and the Commission’s rules (47 CFR § 1.50004). • The Applicant will use all money received from the Reimbursement Program only for expenses eligible for reimbursement in accordance with the Reimbursement Program rules, orders, and statute (47 U.S.C § 1603). • The Applicant will file all required documentation for its expenses. 24 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide • The Applicant will not use Reimbursement Program funds for any portion of expenses that have been or will be reimbursed by other sources of funding (e.g., Federal pandemic relief funding such as the Coronavirus Aid, Relief, and Economic Security (CARES) Act, Emergency Broadband Benefit Program, or other provisions of the American Rescue Plan; targeted state funding; other external sources of targeted funding; or other universal service support mechanisms). • The Applicant will maintain detailed records, including receipts, of all costs claimed as eligible for reimbursement for a period of ten years. • The Applicant recognizes that it may be subject to an audit, inspection or investigation pursuant to its request for funding allocation, that it will retain for ten years any and all records related to its participation in the program as required by 47 CFR § 1.50004(n), and will make such records and equipment purchased with Reimbursement Program reimbursement available at the request of any representative (including any auditor) appointed by the Commission and its Office of Inspector General, or any local, state, or Federal agency with jurisdiction over the entity. • No kickbacks, as defined in 41 U.S.C. § 8701 and/or 42 U.S.C. § 1320a-7b, were paid or received by the Applicant to anyone in connection with the Reimbursement Program. Certifier Information Applicants must self-certify their application by including the: Certifying Official Name, Title, Phone Number, and Email (Figure 19). The Date Signed will automatically populate. This section is the equivalent of electronically signing Figure 19: Certifier Information the application. Attachments In this section, Applicants can upload documentation that supports the other sections of their application, or other documentation that they believe may be beneficial to their application, including: Figure 20: Attachments 25 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide • List of the FRNs of the subsidiaries, if applying at the holding company level (Real Party in Interest Information) • Explanation for why an Applicant does not identify as an Advanced Communications Services Provider (Identifying Applicant Type) • Supporting documentation to demonstrate an Applicant is eligible for the Program despite not having FCC Form 477 (Program Eligibility) • Explanation for why an Applicant has more than 10 million customers and/or didn’t identify Figure 21: Attachments Pop-up covered equipment (Program Eligibility) • Request for Confidentiality (Timeline and Plan For more information on the types of documentation Information) required to support certification of eligibility, please • Supporting quotes or other cost estimate refer to the FAQs. documentation (Equipment) • Supporting documentation of existing Huawei/ZTE equipment identifying the make, model, and serial number (Equipment) If uploading additional attachments here, Applicants will need to include a short description, the category of the attachment (from the drop-down menu), if it is to remain confidential, and provide a brief description of the request for confidentiality (Figure 21). Multiple attachments can be added. After an attachment is added it will be reflected in a row (Figure 20). 26 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide Saving & Submitting the Application Prior to the filing window closing Applicants can save this application as a draft by clicking on the Figure 222: The blue Figure 23: The blue blue ‘Save as Draft’ button on the bottom left of the page 'Save as Draft' 'Submit' button is button is always (Figure 22). Applicants can submit their application by clicking always available at available at the the bottom right on the blue ‘Submit’ button on the bottom right of the page bottom left hand of hand of the screen (Figure 23) any time before the filing window close date, which the screen is the final date by which Applicants must submit their application. Applicants will be prompted “Are you sure you want to submit this application?” before fully submitting. After submitting the application, Applicants may revise their application and re-submit as many times as needed during the filing window. Applicants can revise their application by logging into the portal and navigating to the relevant ‘Program Participant File’ (as shown in Figure 24) and selecting the “Revise” button (as shown in Figure 25). Once revisions have been made, applicants will have the option to save as draft or re-submit as documented above. Figure 24: Application Revisions Figure 25: Application Revisions 27 Updated as of 10/20/2021 Secure and Trusted Communications Networks Reimbursement Program: FCC Form 5640 User Guide After the filing window closes Once their application has been submitted and while it is being reviewed, i.e., prior to being deemed eligible and receiving notification of their allocation, Applicants cannot amend their cost estimates unless (1) specifically asked to revise their estimate in response to a RFI from the Reimbursement Program Fund Administrator or (2) the Applicant has notified the Reimbursement Program Fund Administrator via the Help Desk email at SCRPFundAdmin@fcc.gov or phone at (202)-418-7540 of its intent to amend its application. 28 Updated as of 10/20/2021