13. Assignment of Proceeding

Michael R. Peevey is the assigned Commissioner and Thomas R. Pulsifer is the assigned ALJ in this proceeding.

1. Pursuant to SB 1040, the Rural and Regional Broadband Consortia Account was established, providing an appropriation of $10 million for grants to eligible Consortia to cover the cost of broadband deployment activities other than the capital costs of facilities, as specified by the Commission.

2. Ubiquitous deployment of broadband holds tremendous opportunities for consumers, technology providers, and content providers, and is important to the continued health and economic development in California.

3. The activities and programs expected to be performed by regional Consortia under the criteria adopted in this decision, offer the potential to promote greater deployment and adoption of broadband advanced communications services within areas that are underserved or not served at all, consistent with universal service policies aimed at bridging the "digital divide" as articulated in Pub. Util. Code §§ 709(c) and (d).

4. For purposes of qualifying for a grant under the CASF Consortia program, the Consortia membership criteria are set forth in Pub. Util. Code § 281.

5. The procedures and policies adopted in this decision governing the submission of applications and awarding of grants under the Consortia program are appropriate to ensure that the grant funds disbursed pursuant to Commission action are spent in a responsible and cost-effective manner consistent with adopted program goals.

6. A grant funding cap of $150,000 per year per Consortium, and a three-year cap of $450,000 per Consortium, provides a reasonable upper limit on disbursements, given the total fund appropriation size, and subject to Commission approval of lesser amounts, depending on the size of a given Consortium budget.

7. The amount of any CASF grant awarded to a Consortium may vary depending on the size of the budget submitted with the application, and subject to the Commission's review and approval of requested grant amounts.

8. It is reasonable to provide for supplemental grant funding capped at $2,000 per person for up to five delegates annually as long as an applicant utilizes the additional funds exclusively for broadband access, adoption, and sustainability, such as participation in learning summits, workshops, conferences, and/or training to share best practices, to promote team- building among Consortia, and to facilitate networking across geographic regions. All applicants are required to provide supporting documentation of collective anticipated costs per person as part of its Action Plan and Work Plan with its application.

9. The scoring criteria and weighting factors set forth in Attachment G provide a reasonable set of objective standards by which to select and rank applications and to award grants for the Rural and Regional Broadband Consortia Account.

1. The Commission has the responsibility and authority to establish procedures and controls necessary to implement funding through the Rural and Regional Broadband Consortia Account in accordance with the directives of SB 1040, as codified by Pub. Util. Code § 281.

2. Pursuant to SB 1040, Consortia grants must be used for purposes other than funding capital costs of broadband facilities. Separate provisions relating to CASF grant and loan accounts for the funding of broadband capital costs should be addressed in a separate decision in this proceeding.

3. The procedures and requirements adopted in this decision for administering the Consortia program are consistent with SB 1040 objectives to promote wider availability of advanced communications services through greater deployment and adoption of broadband.

4. An evaluation team comprised of the Commission's Communications Division staff should be assigned responsibility to assess all completed applications in each of the following areas: (1) Regional Consortium Representation and Endorsements; (2) Regional Consortium / Members' Experience; (3) Action Plan; (4) Work Plan; and (5) Budget.

5. Consortia applications should be subject to approval by Commission resolution based on the results of the Communications Division review in accordance with the scoring criteria set forth in Attachment G.

6. Applicants should be required to secure endorsements from critical stakeholders other than governmental institutions. Letters of endorsements should also be obtained from community-based organizations, schools, hospitals, libraries, businesses and consumers.

7. Applicants should be required to submit an Action Plan and Work Plan with the Consortia application. The Action Plan should conform to the requirements in Attachment A and B, outlining the Consortium's priorities as they relate to the region's needs for broadband deployment, access, and adoption. The Work Plan should conform to the requirements of Attachment A and C and include more detailed functions and activities related to implementing the Action Plan.

8. An applicant's proposed grant amount should not exceed the cap of $150,000 per year and the cap of $450,000 over three years. The applicant should be required to present a proposed budget detailing the expected costs to be covered by the Work Plan including explanation of how any other costs related to the Work Plan, if any, will be funded, e.g., matching funds from other sources, is required as part of the application. The requested amount of Consortia grant funds should be consistent with the budget presented in the application.

9. By executing a consent form prior to receiving grants of CASF funds, a Consortium agrees to the terms, conditions, and requirements of this Decision and the resolution awarding the grant and effectively comes under the jurisdiction of the Commission with respect to all matters relating to the administration of the CASF grant.

10. The administrative controls on approving Consortium grants and disbursement of grant funds as set forth in this decision are necessary and appropriate to enable the Commission to retain oversight of the Consortia program and to ensure that funds are spent in a cost-effective and responsible manner consistent with program goals.

11. Because CETF will not be able to apply for any grant under this decision due to conflicts concerns, there will be no reason for the Commission's President to recuse himself from reviewing the grant applications.

12. The procedures and requirements set forth in this decision as incorporated in the ordering paragraphs below should be adopted and implemented in order to enable grant funds to be disbursed consistent with the relevant statutory requirements.

O R D E R

IT IS ORDERED that:

1. The Commission hereby authorizes eligible Consortia to apply for grants pursuant to the Rural and Urban Regional Broadband Consortia Account subject to annual funding caps of $150,000 and three-year caps of $450,000, in accordance with Public Utilities Code Section 281 and the ordering paragraphs below. Each applicant for a consortium grant shall bear primary responsibility for assembling its own membership and delineating its geographic region of responsibility consistent with the standards and requirements set forth in this decision. The initial round of consortia applications may request funding covering up to a three-year period, capped at no more than $450,000 per consortium.

2. In the case of the Los Angeles region, smaller sub-regional consortia that are partners of a larger regional Consortium, the larger regional Consortium must serve as the umbrella organization submitting one application on behalf of all partnering sub-regional consortia. Each sub-regional consortium's action plan, work plan, budget, key contact information, and members will be consolidated into the application submitted by the larger regional Consortium with whom they are a partner.

3. The requested amount of sub-regional Consortia grants shall be reduced in proportion to their smaller scale compared with larger regional Consortia. A sub-regional Consortia application shall clearly delineate its relationship and interaction with the larger regional Consortium. Consortia applicants shall bear responsibility to develop and propose a grant amount applicable to sub-regional consortia partners, consistent with the principles and standards set forth in this decision. In any case, the combined total size of grants for all Los Angeles sub-regional consortia shall not exceed $150,000 for one year or $450,000 for three years.

4. The Commission's Communications Division is directed to schedule and host on at least an annual basis a Regional Consortia Learning Community Summit. All consortia receiving California Advanced Services Fund grants shall be required to attend the Summit. The purpose of the Summit is to provide a forum for all consortia to gather and exchange information and ideas on best practices to enhance the effectiveness of consortia programs. The first Summit shall be scheduled and posted on the Commission's website at the conclusion of the first year of Consortia funding.

5. A Consortium shall be eligible for seeking supplemental funding up to $2,000 per person for up to five delegates to participate annually in the Regional Consortia Learning Community Summit. Any actual reimbursement for such expenses will be subject to the State Administrative Manual requirements for cost ceilings and supporting documentation for per-diem expenses.

6. The adopted grant funding caps shall constitute an upper limit on possible authorized grant amounts. The actual grant amount requested in a Consortium application shall reflect the specific level of budgeted activities planned by the Consortium, as reflected in the budget information required to be attached to the application.

7. Eligible applicants are authorized to begin submitting applications for California Advanced Services Fund Consortia grants beginning on the effective date of this decision.

8. At a minimum, each Consortium application shall provide the following required information and documents itemized in the attachments to this decision, including:

A. Identification (i.e., name, contact information, etc.) of each Consortium member, including which, if any members are telecommunications carriers that are certificated by or registered with the Commission, identifying their Utility Identification number in such instances.

B. Background, description, and role each member of the Consortium will play in the proposed Consortium project.

C. Governing board structure in place that provides for direct representation from affected cities, counties, and tribes; the application must describe the governing board structure.

D. Identification and description of the geographical regions/population groups/community interests to be covered by the proposed Consortium project to include a map, list of Census Block Groups and ZIP Codes.

E. Description of existing and past projects including: (1) budget, timelines, and funding source; (2) demonstration that there will be no overlap and/or duplication of such projects (i.e., provide description of geographic region served and geographic region that will be served, etc.); and (3) best practices learned from said projects.

9. Each application must include an Action Plan and Work Plan which provide at a minimum, the information and disclosures set forth in Attachment A, B, and C hereto. A Work Plan must be submitted for each funding year, e.g., Work Plan Year 1, Work Plan Year 2, Work Plan Year 3.

10. Each application must include a budget of planned activities, a designated Fiscal Agent, and an affidavit attesting to the application's truth and accuracy. A budget must be submitted for each funding year, e.g., Budget Year 1, Budget Year 2, Budget Year 3.

11. Any proposed consortium budget must expressly exclude any costs for activities or programs within the consortia region that are separately funded from any other sources in order to ensure that California Advanced Services Fund (CASF) grants do not duplicate funding from any other sources. Any proposed consortium budget must be accompanied by a description of any and all existing broadband adoption or deployment activities funded by any other state or federal grants or by any other sources within the region covered by the consortium application, together with supporting detail necessary to confirm that the CASF consortium budget does not duplicate any such funding.

12. Applications must be submitted to the Commission as specified in Section 6.1 above, and received within 60 calendar days from the effective date of this decision in order to be considered in the first round of grant approvals. Applications received after 60 calendar days shall be reviewed and acted upon in a subsequent round of approvals.

13. The Commission's Communications Division shall post the name of each Consortium that submits an application for a grant, its contact information, and region(s) proposed to be covered within 14 days from the submission deadline on the California Advanced Services Fund Consortia Grant Account webpage.

14. The Commission's Communications Division is authorized to conduct the review and evaluation of eligible Consortia grantees in accordance with the scoring and evaluation criteria set forth in Attachment G.

15. Before the end of the initial California Advanced Services Fund Consortia Grant Account funding period, the Commission shall establish a schedule for a new round of application filings to award remaining unencumbered consortia grant funds. The same eligibility criteria, filing requirements, and scoring protocols adopted for the initial filing round shall apply for the subsequent round of filings. Any previously awarded consortia grant recipients seeking renewed funding for additional activities shall be considered based on how efficiently and cost-effectively any previously granted consortia funds were spent.

16. All the applicants shall be assigned a score in accordance with Appendix G criteria. Those applicants that meet a minimum threshold scoring criteria of 70 points (out of a possible 100) shall be eligible for funding. Where multiple applicants seek funding in the same region, the highest ranking applicant shall be considered eligible to receive a grant.

17. The disbursement of funds awarded by grant shall be subject to the requirements and protocols for the production of periodic progress reports and supporting documentation for payment reimbursement in accordance with the requirements set forth in Section 9 above.

18. Consortia applicants receiving awards shall be bound by the requirements and obligations set forth in the Commission's resolution authorizing such award, including Action and Work Plan, budget, the completed consent form (as shown in Attachment H), and completed affidavit, swearing or affirming to the statements as show in Attachment E to this decision.

19. Should the Consortium Grant recipient or its contractor fail to commence work at the agreed upon time, the Commission, upon ten business days written notice to the California Advanced Services Fund Consortia Grant Account recipient, reserves the right to terminate the award.

20. In the event that the California Advanced Services Fund (CASF) Consortia Grant Account recipient fails to complete the project, in accordance with the terms of approval granted by the Commission, the recipient will be required to reimburse some or all of the CASF Consortia Grant Account moneys that it has received, as may be directed by subsequent Commission order.

21. Any changes to the substantive terms of the terms and conditions underlying Commission approval of the Consortium grant, (e.g., changes to Action Plan, Work Plan, budget or designated Fiscal Agent, etc.) must be communicated to the Communications Division Director at least 30 days before the anticipated change, and may be subject to approval by either the Director or by Commission resolution before becoming effective.

This order is effective immediately.

Dated June 23, 2011, in San Francisco, California.

ATTACHMENT A

ACTION PLAN AND WORK PLAN CONTENTS

The Action Plan and Work Plan are to be tailored to fit the needs of a given region's constituents and geography, incorporating core responsibilities, including goals, measurable deliverables, expected outcomes, and specific timeline milestones as they relate to broadband deployment, access, and adoption. Below are required core responsibilities that should be included and reflected in an Action Plan. Following the Action Plan is a list of activities that should be included in a Work Plan. The Work Plan should include all activities designed to implement the Action Plan goals. Sample forms illustrating the format of an Action Plan and Work Plan are included as Attachments B and C.

Action Plan Core Responsibilities that should be included:

ATTACHMENT B

Sample of Action Plan Format

[Name of Regional Consortium]

[Name of Project]

ACTION PLAN

---EXAMPLE SECTIONS---

(END OF ATTACHMENT B)

Sample of Work Plan Format

[Name of Regional Consortium]

[Name of Project]

WORK PLAN - [MONTH, YEAR]

Activity(ies)

Timeline

Responsible Party(ies)

Performance Measure(s)

Identify, recruit, and train community-based organizations (CBOs) to conduct outreach

    · Identify CBOs and develop database

    · Secure commit-ments for CBO participa-tion

    · Train CBO officers

    · Convene meetings and facilitate planning

1/1/11 - 12/21/11

    · Identify CBOs and develop database: 1/1/11-1/8/11

    · Secure commitments: 1/9/11-2/9/11

    · Train CBO officers: 1/9/11-4/29/11

    · Convene meetings: 1/9/11-12/15/11

    · Joseph Lee, Community Relations Manager

    · Stephanie Singh, Marketing Director

    · Ashley Marino, CIO

    · Reach at least 80% of CBOs in region

    · Train CBO officers or designated representatives

    · Conduct two meetings per month

    · Conduct one conference call per week

(END OF ATTACHMENT C)

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