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E-mpa® Program Antitrust Policy

It is the policy of E-mpa® to strictly comply with all relevant antitrust laws. Any discussion or conduct in violation of such laws or regulations should be avoided. Since we are an association of competitors, the E-mpa® Mission and our collective desire for fair and open competition should be reflected in our actions and communications.

Discussions should never include the following topics:

• Individual company current or projected prices, price changes, price differentials, markups, discounts, allowances, terms and conditions of sale (including credit terms, etc.), or data that bears on prices, including profits, margins or cost.

• Individual company bids or intentions to bid for particular products, procedures for responding to bid invitations or specific contractual arrangements.

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E-mpa® Program Antitrust Policy – Cont’d

• Plans of individual companies concerning the design, characteristics, production distribution, marketing, or introduction dates of particular products, including proposed territories or customers.

• The appearance of or agreement to – individually or as a group – boycott, sanction or endorse one or more suppliers, vendors, customers, or other entities or individuals.

• The airing, distributing, communicating or other actions that provide compliments, complaints, or other opinions about entities and individuals that might hinder competition.

• Any other matter forbidden by law.

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E-mpa® Program Antitrust Policy– Cont’d

An antitrust violation does not require proof of a formal agreement. For example, a discussion of a sensitive topic, such as price, followed by action by those involved or present at the discussion is enough to show a price-fixing conspiracy.

As a result, those attending an E-mpa® meeting should remember the importance of avoiding not only unlawful activities, but even the appearance of unlawful activity. Additionally, participants and guests are reminded not to discuss or exchange information regarding the above matters—even in jest—during social gatherings accompanying E-mpa®-sanctioned meetings.

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Code of EthicsPresentation Dates:

May 22nd & June 20th 2014

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Four Categories

HonestyIntegrity

CompetenceProfessionalism

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Honesty

H1 Accept only those assignments which have the potential of providing a genuine benefit to the client and for which the member possesses the requisite experience and competence to perform the tasks.Recognizing when it is appropriate to turn away a prospective new client. Examples? Referrals to E-mpa.org

H2 Advise clients when the Member believes their requests will not be fundable.Much easier to advise applicants in FY2013 and FY2014; however, until threshold is announced it is still a sophisticated guess.

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H3 Establish agreements with clients regarding the archiving of notes, documentation, and computer files at project completion.

5 Years from the last date of service; therefore, in many cases, documents must be retained for far longer than 5 years.

HonestyE-mpa® Code of Ethics

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Honesty (con’t)

H4 Charge fees that are reasonable and commensurate with the services delivered and the responsibility accepted, and agree to all payment terms in advance.

H5 Immediately disclose to the client circumstances or interests that the Member believes may influence or appear to influence their judgment and objectivity. Conflict of Interests? Examples?

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Honesty (con’t)

H6 Report to E-mpa™ any legal action being taken against the Member organization, and any E-rate-related action being taken against any individual in the organization.

E-mpa® Code of Ethics

Reports may be made to the E-mpa Ethics Chair or directly to any Board member. Board strives to maintain confidentiality and exercises discretion when reviewing perceived Ethics matters.

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Integrity

I1 Maintain the highest standards of honesty, integrity and confidentiality in all relationships with clients, keeping as the utmost concerns the client’s best interest.

I2 Understand that if debarred from the E-rate program or convicted of a felony, membership in E-mpa™ will be suspended pending review of the E-mpa™ Board of Directors.

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Integrity

I3 Honor copyrights, trademarks, service marks, terms of use and other legally binding agreements.

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Integrity (con’t)

I4 Avoid conflicts of interest or the appearance of such.

I5 Refuse to accept commissions, remuneration, or other benefits from a third party in connection with the recommendations to a client.

I6 Offer to withdraw from a consulting assignment when the Member believes their objectivity or integrity may be impaired.

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Integrity (con’t)

I7 Report to appropriate authorities and to USAC ongoing occurrences of malfeasance, dangerous behavior, or illegal activities

I8 Refrain from inviting an employee of an active or inactive client to consider alternative employment without prior discussion with the client.

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Integrity (con’t)

I10 Refrain from advertising services in a deceptive manner, misrepresenting or denigrating individual consulting practitioners, consulting firms, or the E-rate management and consulting profession.

I11 Report any perceived violations of the Code to E-mpa™ and promote adherence to the Code by all individuals working on behalf of the Member.

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Integrity (con’t)

I12 Guard the competitive bidding process and use every reasonable effort to ensure that each client conducts a “fair and competitive bidding process.”

I13 Ensure that clients are aware of and in agreement with actions taken on the clients’ behalf.

I14 Obtain explicit written authorization from each client when certifying forms or performing other E-rate related work on their behalf.

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Integrity (con’t)

I15 Refrain from disseminating false or misleading information to clients, colleagues, the FCC, USAC, media outlets or their representatives.

I16 Immediately sever any relationship that would require the consultant to violate this Code of Ethics.

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Competence

C1 Obey all laws governing the preparation and submission of E-rate forms and applications as regulated by the FCC, the Universal Service Administrative Company, local, state and federal government.

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Competence (con’t)

C2 Maintain current knowledge of E-Rate programs rules and regulations by – attending USAC training sessions– reading USAC News Briefs – reviewing FCC appeal decisions– participating in USAC conference calls– participating in professional development programs

provided by E-mpa™ as appropriate to the individual member or company

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Competence (con’t)

C3 Retain all client information, records and documents prepared for submission to USAC for a period of five years from the last date of service.

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Professionalism

P1 Act at all times in the best interest of the client.

P2 Extend professional courtesies to all colleagues in the E-rate management field while maintaining respect for a colleague’s practice and area of specialty.

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Professionalism (con’t)

P3 Work to further the goals of the E-rate Management Professionals Association, Inc. by setting the example for professional standards and working to improve education throughout the E-rate management field.

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Professionalism (con’t)

P4 Provide clients with a list of competent E-rate management professionals or consultants who would be capable of completing any outstanding work should the member become incapable of completing the contract.

P5 Honor all commitments, contracts, and services schedules.

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Q&A

Questions Submitted

E-mpa® Code of Ethics

1. What do we do when we discover an applicant has not been following program rules?2. What do we do when we discover that an E-rate consultant is not following USAC rules?3. What do we do when we discover an E-mpa member is not following the E-mpa Code of Ethics?4. What are some deciding factors that might be considered when determining whether or not to take on

a new applicant:1. 3 days before the close of a filing window?2. That has applied for E-rate every year for the last 5 consecutive years but has never been funded?3. Has multi-year contracts, for which disbursements have been authorized, for services/equipment

you are certain are ineligible for reimbursement?4. When you suspect your workload or resources would not allow you to provide the level of

support the applicant expects and is entitled to?