911 Grant Program |
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Leonard Bechtel
Department of Commerce
Jack Danielson
National Highway Traffic Safety Administration
21 September 2017
[Federal Register Volume 82, Number 182 (Thursday, September 21, 2017)]
[Proposed Rules]
[Pages 44131-44143]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-19944]
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DEPARTMENT OF COMMERCE
National Telecommunications and Information Administration
DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
47 CFR Part 400
[Docket No. 170420407-7407-01]
RIN 0660-AA33; RIN 2127-AL86
911 Grant Program
AGENCY: National Telecommunications and Information Administration
(NTIA), Department of Commerce (DOC); and National Highway Traffic
Safety Administration (NHTSA), Department of Transportation (DOT).
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: This action proposes revised implementing regulations for the
911 Grant Program, as a result of the enactment of the Next Generation
911 (NG911) Advancement Act of 2012. The 911 Grant Program provides
grants to improve 911 services, E-911 services, and NG911 services and
applications. NTIA and NHTSA (the Agencies) request comments on this
proposed rule.
DATES: Comments must be received by November 6, 2017 at 5:00 p.m.
Eastern Standard Time.
ADDRESSES: You may submit comments identified by Docket No. 170420407-
7407-01 by any of the following methods:
Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting
comments.
Mail: National Telecommunications and Information
Administration, U.S. Department of Commerce, Attn: NG911 Grant Program,
1401 Constitution Avenue NW., Room 4076, Washington, DC 20230.
Instructions: Please note that all material sent via the U.S.
Postal Service (including Overnight or Express Mail) is subject to
delivery delays of up to two weeks due to mail security procedures.
Responders should include the name of the person or organization filing
the comment, as well as a page number, on each page of their
submissions. Paper submissions should also include an electronic
version on CD or DVD in .txt, .pdf, or Word format (please specify
version), which should be labeled with the name and organizational
affiliation of the filer and the name of the word
[[Page 44132]]
processing program used to create the document. Note that all comments
received are a part of the public record and will be posted without
change to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT:
For program issues: Daniel Phythyon, Telecommunications Policy
Specialist, Office of Public Safety Communications, National
Telecommunications and Information Administration, U.S. Department of
Commerce, 1401 Constitution Avenue NW., Room 4076, Washington, DC
20230; telephone: (202) 482-5018; email: DPhythyon@ntia.doc.gov; or
Laurie Flaherty, Coordinator, National 911 Program, Office of Emergency
Medical Services, National Highway Traffic Safety Administration, 1200
New Jersey Avenue SE., NPD-400, Washington, DC 20590; telephone: (202)
366-2705; email: Laurie.Flaherty@dot.gov.
For legal issues: Michael Vasquez, Attorney-Advisor, Office of the
Chief Counsel, National Telecommunications and Information
Administration, U.S. Department of Commerce, 1401 Constitution Avenue
NW., Room 4713, Washington, DC 20230; telephone: (202) 482-1816; email:
MVasquez@ntia.doc.gov; or Megan Brown, Attorney-Advisor, Office of the
Chief Counsel, National Highway Traffic Safety Administration, 1200 New
Jersey Avenue SE., NCC-300, Washington, DC 20590; telephone: (202) 366-
1834; email: Megan.Brown@dot.gov.
For media inquiries: Stephen F. Yusko, Public Affairs Specialist,
Office of Public Affairs, National Telecommunications and Information
Administration, U.S. Department of Commerce, 1401 Constitution Avenue
NW., Room 4897, Washington, DC 20230; telephone: (202) 482-7002; email:
press@ntia.doc.gov; or Karen Aldana, Public Affairs Specialist, Office
of Communications and Consumer Information, National Highway Traffic
Safety Administration, U.S. Department of Transportation, 1200 New
Jersey Avenue SE., Room W52-306, Washington DC 20590; telephone: (202)
366-3280; email: karen.aldana@dot.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Summary of the NG911 Advancement Act of 2012
III. Proposed Regulations
A. Heading
B. Purpose
C. Definitions
D. Who May Apply
E. Application Requirements
F. Approval and Award
G. Distribution of Grant Funds
H. Eligible Uses for Grant Funds
I. Continuing Compliance
J. Financial and Administrative Requirements
K. Closeout
L. Waiver Authority
M. Appendices
IV. Public Participation
V. Statutory Basis for This Action
VI. Regulatory Analyses and Notices
I. Background
In 2009, NTIA and NHTSA issued regulations implementing the E-911
Grant Program enacted in the Ensuring Needed Help Arrives Near Callers
Employing 911 (ENHANCE 911) Act of 2004 (Pub. L. 108-494, codified at
47 U.S.C. 942) (74 FR 26965, June 5, 2009). Accordingly, in 2009, NTIA
and NHTSA made more than $40 million in grants available to 30 States
and Territories to help 911 call centers nationwide upgrade equipment
and operations through the E-911 Grant Program.
In 2012, the NG911 Advancement Act of 2012 (Middle Class Tax Relief
and Job Creation Act of 2012, Pub. L. 112-96, Title VI, Subtitle E
(codified at 47 U.S.C. 942)) enacted changes to the program. The NG911
Advancement Act provides new funding for grants to be used for the
implementation and operation of 911 services, E-911 services, migration
to an IP-enabled emergency network, and adoption and operation of NG911
services and applications; the implementation of IP-enabled emergency
services and applications enabled by Next Generation 911 services,
including the establishment of IP backbone networks and the application
layer software infrastructure needed to interconnect the multitude of
emergency response organizations; and training public safety personnel,
including call-takers, first responders, and other individuals and
organizations who are part of the emergency response chain in 911
services. In 2016, about $115 million from spectrum auction proceeds
were deposited into the Public Safety Trust Fund and made available to
NTIA and NHTSA for the 911 Grant Program.\1\
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\1\ The Public Safety Trust Fund (TAS 13-12/22-8233) is an
account established in the Treasury and managed by NTIA. From this
account, NTIA makes available funds for a number of public safety
related programs, including the 911 Grant Program. See 47 U.S.C.
1457(b)(6).
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For more than 40 years, local and state 911 call centers, also
known as Public Safety Answering Points (PSAPs), have served the public
in emergencies. PSAPs receive incoming 911 calls from the public and
dispatch the appropriate emergency responders, such as police, fire,
and emergency medical services, to the scene of emergencies. The
purpose of the 911 Grant Program is to provide federal funding to
support the transition of PSAPs and their interconnecting 911 network
and core services, to facilitate migration to an IP-enabled emergency
network, and adoption and operation of NG911 services and applications.
There are approximately 6,000 PSAPs nationwide that are responsible
for answering and processing 911 calls requiring a response from
police, fire, and emergency medical services agencies.\2\ PSAPs
collectively handle more than an estimated 240 million 911 calls each
year.\3\ About 70 percent of all 911 calls annually are placed from
wireless phones.\4\ Besides the public, PSAPs communicate with third-
party call centers, other PSAPs, emergency service providers (e.g.,
dispatch agencies, first responders, and other public safety entities),
and State emergency operations centers.\5\ Most PSAPs rely on decades-
old, narrowband, circuit-switched networks capable of carrying only
voice calls and very limited amounts of data.\6\ Advances in consumer
technology offering capabilities such as text messaging and video
communications have quickly outpaced those of PSAPs, which often cannot
support callers who wish to send text messages, images, video, and
other communications that utilize large amounts of data (e.g.,
telematics, sensor information).\7\
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\2\ Federal Communications Commission (FCC), Final Report of the
Task Force on Optimal PSAP Architecture (TFOPA) at 15 (Jan. 29,
2016), available at https://transition.fcc.gov/pshs/911/TFOPA/TFOPA_FINALReport_012916.pdf (TFOPA Final Report). The National
Emergency Number Association (NENA) estimates that there are 5,874
primary and secondary PSAPs as of January 2017. NENA 9-1-1
Statistics, available at http://www.nena.org/?page=911Statistics.
\3\ TFOPA Final Report at 15. See also, NENA 9-1-1 Statistics,
available at http://www.nena.org/?page=911Statistics.
\4\ Id.
\5\ TFOPA Final Report at 15.
\6\ Id.
\7\ Id.
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While there are still an estimated 50 counties that are using
``Basic'' 911 infrastructure, the majority of State and local
jurisdictions have completed the process of updating their 911
network's infrastructure since the ENHANCE 911 Act was passed in
2004.\8\ As of January 2017, data collected by the National Emergency
Number Association (NENA) show that 98.6 percent of PSAPs are capable
of receiving Phase II E-911 \9\ calls, providing E-911 service to 98.6
percent of the U.S. population and 96.5
[[Page 44133]]
percent of our country's counties.\10\ With the transition to E-911
essentially completed, State and local jurisdictions are now focused on
migrating to NG911 infrastructure.
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\8\ NENA 9-1-1 Statistics, available at http://www.nena.org/?page=911Statistics.
\9\ See 47 CFR 20.18(e), (h) (defining Phase II enhanced 911
service).
\10\ NENA 9-1-1 Statistics.
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NG911 is an initiative to modernize today's 911 services so that
citizens, first responders, and 911 call-takers can use IP-based,
broadband-enabled technologies to coordinate emergency responses.\11\
Using multiple formats, such as voice, text messages, photos, and
video, NG911 enables 911 calls to contain real-time caller location and
emergency information, improve coordination among the nation's PSAPs,
dynamically re-route calls based on location and PSAP congestion, and
connect first responders to key health and government services in the
event of an emergency.\12\
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\11\ National 911 Program, Next Generation 911 for Leaders in
Law Enforcement Educational Supplement at 3, available at https://www.911.gov/ng911_law/download/NG911_Resize_Mar2013_FINAL_LR.pdf.
\12\ Id. at 4-5.
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Data collected by the National 911 Profile Database in 2016 show
that 20 of the 46 States submitting data have adopted a statewide NG911
plan, 17 of 46 States are installing and testing basic components of
the NG911 infrastructure, 10 of 45 States have 100 percent of their
PSAPs connected to an Emergency Services IP Network, and 9 of 45 States
are using NG911 infrastructure to receive and process 911 voice
calls.\13\ These data suggest that most State and local jurisdictions
have already invested in and completed implementation of both basic 911
services and E-911 services and are focused on migration to NG911. The
911 Grant Program now seeks to provide financial support for investment
in the forward-looking technology of NG911 as contemplated by the NG911
Advancement Act.
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\13\ National 911 Program, 2016 National 911 Progress Report at
3, 85, 89 (Dec. 2016), available at https://www.911.gov/pdf/National-911-Program-2016-ProfileDatabaseProgressReport-120516-1.pdf.
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II. Summary of the NG911 Advancement Act of 2012
The NG911 Advancement Act modifies the 911 Grant Program to
incorporate NG911 services while preserving the basic structure of the
program, which provided matching grants to eligible State and local
governments and Tribal Organizations for the implementation and
operation of Phase II services, E-911 services, or migration to an IP-
enabled emergency network.
The NG911 Advancement Act, however, broadens the eligible uses of
funds from the 911 Grant Program to include: Adoption and operation of
NG911 services and applications; the implementation of IP-enabled
emergency services and applications enabled by NG911 services,
including the establishment of IP backbone networks and the application
layer software infrastructure needed to interconnect the multitude of
emergency response organizations; and training public safety personnel,
including call-takers, first responders, and other individuals and
organizations who are part of the emergency response chain in 911
services.\14\ The NG911 Advancement Act also increases the maximum
Federal share of the cost of a project eligible for a grant from 50
percent to 60 percent.\15\
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\14\ 47 U.S.C. 942(b)(1).
\15\ 47 U.S.C. 942(b)(2).
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States or other taxing jurisdictions that have diverted fees
collected for 911 services remain ineligible for grants under the
program and a State or jurisdiction that diverts fees during the term
of the grant must repay all grant funds awarded.\16\ The NG911
Advancement Act further clarifies that prohibited diversion of 911 fees
includes elimination of fees as well as redesignation of fees for
purposes other than implementation or operation of 911 services, E-911
services, or NG911 services during the term of the grant.\17\
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\16\ 47 U.S.C. 942(c). See also FCC, Eighth Annual Report to
Congress on State Collection and Distribution of 911 and Enhanced
911 Fees and Charges (Dec. 30, 2016), available at https://apps.fcc.gov/edocs_public/attachmatch/DA-17-61A2.pdf (reporting
that, of the 53 states and territories that reported information for
the 2015 calendar year, eight states and Puerto Rico diverted or
transferred 911 fees).
\17\ 47 U.S.C. 942(c)(3).
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III. Proposed Regulations
This NPRM proposes modifications to the E-911 Grant Program
regulations to implement the changes to the program enacted in the
NG911 Advancement Act. With the exception of the proposed changes
discussed below, the Agencies propose to retain the E-911 Grant Program
regulations set forth at 47 CFR part 400. The Agencies seek comments on
this proposal.
A. Heading (47 CFR Part 400)
The Agencies propose to amend the heading of Part 400 from ``E-911
Grant Program'' to ``911 Grant Program'' to reflect the reauthorization
of the grant program.
B. Purpose (47 CFR 400.1)
The Agencies propose to update the Purpose section of the 911 Grant
Program regulations set forth at Sec. 400.1 to conform to the NG911
Advancement Act.
C. Definitions (47 CFR 400.2)
The NG911 Advancement Act includes new definitions and makes
changes to current definitions to include NG911 services in the 911
Grant Program. The Agencies therefore propose to add definitions for:
911 services, emergency call, Next Generation 911 services, and Tribal
Organization. The Agencies also propose to revise the definitions for:
Designated E-911 charges, E-911 Coordinator, E-911 services, integrated
telecommunications services, ICO, PSAP, and State. The Agencies also
propose to remove the definitions for eligible entity and Phase II E-
911 services.
D. Who May Apply (47 CFR 400.3)
The E-911 Grant Program regulations only permit States to apply for
grant funds on behalf of all local governments, Tribal Organizations,
and PSAPs located within their jurisdiction. States were required to
coordinate their applications with these entities. This approach
streamlined the prior grant process and minimized administrative costs
of the program, while at the same time, providing safeguards to ensure
participation by local governments, Tribal Organizations, and PSAPs.
While the Agencies recognize the importance of coordination between
States and Tribal Organizations, directing States to coordinate with
Tribal Organizations did not result in adequate funding to improve
PSAPs serving tribal areas. The fact that tribes are sovereign nations
and that some tribal areas cross State lines further complicated this
issue.
The Agencies seek to provide equitable funding in a practical
manner to ensure the most efficient use of funds to produce maximum
benefit in implementing NG911 services. In this NPRM, the Agencies
propose to retain the ability of States to apply for funding on behalf
of all entities within their jurisdiction, but also to permit Tribal
Organizations to apply directly for 911 grants under certain
circumstances. The Agencies seek comment on this proposal as well as on
any challenges that Tribal Organizations may face under this grant
program. Specifically, the Agencies ask commenters to address the
following questions:
i. If the 911 Grant Program were open to Tribal Organizations
directly, would tribal PSAPs be able to meet the application
requirements provided in proposed 47 CFR 400.4, including statutory
requirements such as the matching requirement and non-
[[Page 44134]]
diversion certifications? What would be the challenges with providing
the necessary certifications, if any?
ii. A Tribal Organization applying for a 911 Program Grant must
identify the designated State 911 Coordinator(s) and provide
certifications that the Tribal Organization has not diverted designated
911 charges. What would be the challenges associated with providing
this information, if any?
iii. Do the tribal PSAPs collect 911 surcharge fees and/or receive
State-provided 911 surcharge funds? If so, are Tribal Organizations
able to certify that tribal sub-entities are not diverting 911
surcharge fees?
iv. What other tribal PSAP issues or challenges should NHTSA and
NTIA consider when determining how to involve tribal entities in this
grant program?
E. Application Requirements (47 CFR 400.4)
The Agencies propose to retain, with some modifications as
specified below, the general components of an application for a 911
grant. In order to accommodate applications from Tribal Organizations,
the Agencies propose to reorganize Sec. 400.4 to provide separate
application requirement instructions for State (Sec. 400.4(a)) and
Tribal Organization (Sec. 400.4(b)) applicants. The Agencies seek
specific comments on the application of these requirements to Tribal
Organizations (see questions concerning Tribal Organizations above).
1. State/Tribal 911 Plan
The Agencies propose to retain the State 911 Plan requirements with
minor modifications. Specifically, the Agencies propose to update
references to E-911 and migration to an IP-enabled emergency network to
reflect statutory language in the NG911 Advancement Act. In addition,
the Agencies propose to remove the requirement to give priority to
communities without 911 from the current E-911 Grant Program
regulations, Sec. 400.4(a)(1)(iii), to conform to the NG911
Advancement Act.
The Agencies propose similar Tribal 911 Plan requirements in Sec.
400.4(b).
2. Project Budget
The Agencies propose to retain the project budget requirements.
However, the NG911 Advancement Act increased the maximum Federal share
of the total cost of a project undertaken as a result of this grant
program from 50 percent to 60 percent. The Agencies propose to amend
Sec. 400.4(a) accordingly.
3. Supplemental Project Budget and Proposed Two-Step Application
Process
In 2009, the Agencies allocated E-911 Grant Program funding to all
States under the assumption that all States would qualify for an award.
Those preliminary funding levels were published in Appendix A to the
rule. Some States, however, were unable to meet the non-Federal
matching requirement or to make the required certifications, and
therefore rendered the initial funding allocations inaccurate. While
the Agencies were able to adjust the funding allocations, this caused
some delay in providing full funding to those States participating in
the program. The Agencies seek comment on whether to retain the single
application structure that requires an applicant to provide a
supplemental budget submission in addition to the project budget in the
event that additional funds become available for any reason.
Alternatively, the Agencies seek comment on whether a two-step
application process should be used. As an example of a possible two-
step application process, the Agencies would publish a Notice of
Funding Opportunity (NOFO) for the 911 Grant Program providing
additional details and deadlines for the application process. As a
first step, interested State and Tribal Organization applicants would
submit the required certifications set forth at Appendix A or B,
respectively. Then, the Agencies would provide preliminary funding
allocations for each of the States or Tribal Organizations that meets
the certification requirements. As a second step, those States or
Tribal Organizations would then submit a complete application packet,
including a project budget based on the preliminary funding level.
Because of the possibility that additional funds may become available
if certain states are unable to meet the certification requirements,
these States or Tribal Organizations could also include a supplemental
project budget as part of their complete application packet. The
Agencies seek comment on this proposed two-step application process and
funding allocation determination as set forth in the proposed
regulatory text.
4. Designated 911 Coordinator
The Agencies propose to retain the requirement for a Designated 911
Coordinator for State applicants. The NG911 Advancement Act requires,
as a condition of eligibility for a non-State applicant, that the State
in which it is located has designated a 911 Coordinator. Therefore, for
the purpose of applications by Tribal Organizations, the Agencies
propose that the Tribal Organization identify the Designated State 911
Coordinator. Although a Tribal Organization applicant would not have to
designate its own 911 Coordinator, the Agencies propose that it
designate a responsible official to execute the grant agreement and
sign the required certifications.
5. Certifications
The Agencies propose to retain the certification requirements in
Sec. 400.4(a)(5) with updates to allow for certification by Tribal
Organizations and to reflect the statutory requirements in the NG911
Advancement Act.
6. Due Date
The Agencies also propose to amend the 911 Grant Program
regulations to provide that the deadlines for the initial and
subsequent submission requirements will be contained in the NOFO.
F. Approval and Award (47 CFR 400.5)
The Agencies propose to update the Approval and Award section of
the 911 Grant Program regulations set forth at Sec. 400.5 to account
for Tribal Organization applicants as described above.
G. Distribution of Grant Funds (47 CFR 400.6)
The E-911 Grant Program distributed grant funds to eligible States
using a formula based on State population and public road mileage. The
Agencies propose to apply the same formula for distribution of grant
funds to States and Territories in the new round of funding under the
911 Grant Program. As in the E-911 Grant Program, the formula will
provide for a minimum grant amount of $500,000 for States and $250,000
for Territories.
In the E-911 Grant Program, population and road miles were used as
the basis for the formula because 911 services are used by people, and
because the ability to make any phone calls (therefore to make 911
calls) in 2009 was dependent upon the presence of copper land lines
and/or cell towers. Road miles were used as a surrogate for cell tower
coverage in the 2009 regulation because at that time, cell towers were
the primary means of transmitting 911 calls to PSAPs, and were likely
to be built along roadways--especially in rural areas. Ultimately,
though, the combination of population and road miles favored urban
areas over rural and remote areas.
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Telecommunications technology has evolved tremendously since 2009.
The placement of phone calls is now much less dependent upon the
presence of copper facilities. In fact, the Federal Communications
Commission (FCC) has observed that, as of 2015, almost 75 percent of
U.S. residential customers (approximately 88 million households) no
longer received telephone service over traditional copper facilities
and relied increasingly on wireless, Voice over Internet Protocol
(VoIP) and satellite technologies, including hybrid cell tower/
satellite technology.\18\ In recognition of this continuing
technological displacement, the FCC in 2016 issued an order
streamlining legacy regulations to make it easier for carriers to
retire copper, landline telephone networks and replace them with fiber
or wireless technology.\19\ Although delivery of location information
has improved with the use of Assisted Global Position System (A-GPS),
in rural and remote areas, location-finding technology is less
accurate, since cell towers are typically placed along major highways
and there may not be a sufficient number of towers to provide accurate
triangulation to locate callers.\20\ Rural public safety agencies and
PSAPs are finding creative solutions, such as satellite-based
communications technologies, to overcome these communications
challenges.\21\
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\18\ In the Matter of Technology Transitions, GN Docket No. 13-
5; In the Matter of US Telecom Petition for Declaratory Ruling that
Incumbent Local Exchange Carriers are Non-Dominant in the Provision
of Switched Access Services, WC Docket No. 13-3; In the Matter of
Policies and Rules Governing Retirement of Copper Loops by Incumbent
Local Exchange Carriers, RM-11358, Declaratory Ruling, Second Report
and Order, and Order on Reconsideration, at ] 16 (July 15, 2016)
(hereinafter Declaratory Ruling), available at https://apps.fcc.gov/edocs_public/attachmatch/FCC-16-90A1.pdf.
\19\ See id.
\20\ See Congressional Research Service, An Emergency
Communications Safety Net: Integrating 911 and Other Services, CRS
Report at 5-6 (Aug. 25, 2008), available at, https://www.everycrsreport.com/files/20080825_RL32939_a6d2f372243a38357f5104b181e8fa326481e3ac.pdf.
\21\ See James J. Augustine, Rural Coverage: Communications
Challenges for EMS (Oct. 17, 2012), available at https://www.ems1.com/ems-products/communications/articles/1356405-Rural-coverage-Communications-challenges-for-EMS/.
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Additionally, research shows that rural and tribal 911 call centers
face significant challenges because they serve larger geographical
areas and, as a result, first responders may take more time to reach
the scene of the emergency. PSAP call takers in rural areas may be
required to stay on the phone longer and provide more extensive
emergency instructions until help arrives.\22\ Additionally, since the
bulk of funding to 911 call centers comes from states and
municipalities, rural 911 centers may lack the resources needed for
technology upgrades, equipment, and training.\23\
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\22\ Id.
\23\ Linda K. Moore, Congressional Research Service, Emergency
Communications: The Future of 911, CRS Report at 9-10 (Mar. 16,
2010), available at https://c.ymcdn.com/sites/www.nena.org/resource/collection/F203778C-3D83-4118-B5E3-3A95819586E1/CRS_911_Report_3.16.10.pdf.
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The Agencies propose to retain the formula used for distribution in
the E-911 grant program, however, given the advances in technology and
the unique challenges faced by rural and remote PSAPs, the Agencies are
seeking comment on whether other factors should be considered as part
of the formula for distribution of grant funds or whether the current
formula is the best framework to distribute the up to $110 million
available in new funding for the program. Specifically, the Agencies
ask commenters to address the following questions:
i. Do the existing factors of State population and public road
mileage adequately account for remote and rural areas? If not, would
the factor of land area, as determined by the Census Bureau, improve
the accounting for rural and remote areas?
ii. Given the evolution in technology since the previous grants
were awarded (e.g., less dependence on cell towers and increased
adoption of satellite and hybrid technologies), are there other factors
that the program should consider and what weight should the formula
give to each factor and why?
To accommodate grant awards to Tribal Organizations, the proposal
would authorize the Agencies to set aside 2 percent of available grant
funds for distribution to Tribal Organizations with maximum awards of
no more than $250,000. The Agencies propose to allocate funding based
on a formula as follows: (1) 50 percent in the ratio to which the
population of the Tribal Organization bears to the total population of
all Tribal Organizations, as determined by the most recent population
data on American Indian/Alaska Native Reservation of Statistical
Area,\24\ and (2) 50 percent in the ratio which the public road mileage
in each Tribal Organization bears to the total public road mileage in
tribal areas, using the most recent national tribal transportation
facility inventory data. The Agencies seek comment on this proposal for
distribution to Tribal Organizations. The Agencies further seek comment
on whether a formula-based approach is the most equitable and/or
efficient way to distribute new grant funds. If yes, what factors
should the program consider and what weight should the formula give to
each factor and why? If not, please identify other allocation methods
that the Agencies should consider adopting for use in this grant
program.
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\24\ As computed under the Native American Housing Assistance
and Self-Determination Act of 1996, 25 U.S.C. 4101 et seq.
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H. Eligible Uses for Grant Funds (47 CFR 400.7)
The NG911 Advancement Act has broadened the eligible uses of grant
funds to include: Adoption and operation of NG911 services and
applications; and the implementation of IP-enabled emergency services
and applications enabled by NG911 services, including the establishment
of IP backbone networks and the application layer software
infrastructure needed to interconnect the multitude of emergency
response organizations. Accordingly, the Agencies propose to modify
Sec. 400.7 to include these new eligible uses. The Agencies also
provide clarification on the following specific uses:
1. NG911 Services
The NG911 Advancement Act, by name and intent, was established to
facilitate implementation of NG911 services, and the acquisition of
such NG911 services is allowable as an eligible use of 911 Grant
Program funds. Some grant recipients may choose to purchase the
hardware and software that perform the necessary functions enabling
NG911 calls to be received, processed and dispatched and use their own
staff to operate and maintain the NG911 system. Other recipients may
choose to contract with vendors that own the hardware and software, and
provide NG911 enabling functions as a service to State or local 911
entities. Still other recipients may choose to enter into subaward
relationships with local jurisdictions to implement the purposes of the
grant. The Agencies propose that any of these options, alone or in
combination, would be an eligible use of grant funds. To ``facilitate
coordination and communication between Federal, State, and local
emergency communications systems [and] emergency services personnel,''
the Agencies propose that recipients be required to specify the
purchase of hardware, software, and/or services that comply with
current NG911 standards,
[[Page 44136]]
as listed in the Department of Homeland Security's SAFECOM
Guidance.\25\
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\25\ 47 U.S.C. 942(a)(1). See also Department of Homeland
Security, ``Fiscal Year 2016 SAFECOM Guidance on Emergency
Communications Grants,'' at Appendix B--Technology and Equipment
Standards (2016), available at https://www.dhs.gov/sites/default/files/publications/FY%202016%20SAFECOM%20Guidance%20FINAL%20508C.pdf.
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2. Training
Given that the intent of this grant program is specifically to
improve the technology and operation of the 911 system, the NG911
Advancement Act permits grant funds to be used for training directly
related to 911 services for public safety personnel, including call-
takers, first responders, and other individuals and organizations that
are part of the emergency response chain in 911 services. The Agencies
seek comment on what, if any, limitations should be imposed on such
costs.
As part of a three-year, multi-stakeholder effort, the National 911
program office facilitated the development of the ``Recommended Minimum
Training Guidelines for Telecommunicators'' that identified nationally
recognized, universally accepted minimum topics that can be used to
train aspiring and current 911 telecommunications professionals, and to
provide the foundation for ongoing professional development.\26\ The
Agencies seek comment on whether use of 911 Grant Program funds for
training should be limited to training designed to meet these minimum
training guidelines. If these minimum training guidelines are required,
what, if any, challenges would this condition impose on PSAPs? What
should the Agencies consider as appropriate documentation of the PSAPs'
compliance in meeting the minimum training guidelines?
---------------------------------------------------------------------------
\26\ See National 911 Program, ``Recommended Minimum Training
Guidelines for Telecommunicators'' (May 19, 2016), available at
http://www.911.gov/pdf/Recommended_Minimum_Training_Guidelines_for_the_911_Telecommunicator_FINAL_May_19_2016.pdf.
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3. Planning and Administration
The Agencies intend to continue to allow recipients to use up to 10
percent of grant funds to cover administrative expenses incurred as a
direct result of participation in the grant program. The Agencies
propose allowing recipients to use a portion of the 10 percent maximum
for administrative costs to perform an assessment of their current 911
system, using the ``NG9-1-1 Readiness Scorecard'' produced by the FCC's
Task Force for Optimal PSAP Architecture,\27\ which includes the
ongoing activities necessary to develop, modify, and improve the
framework for State and Tribal NG911 governance, strategic planning,
and coordination.
---------------------------------------------------------------------------
\27\ See FCC, TFOPA Working Group 2 Phase II Supplemental
Report: NG9-1-1 Readiness Scorecard (Dec. 2, 2016), available at
https://transition.fcc.gov/pshs/911/TFOPA/TFOPA_WG2_Supplemental_Report-120216.pdf. The Task Force developed
the NG911 Readiness Scorecard with extensive participation from the
911 stakeholder community, and in conjunction with the National 911
Program.
---------------------------------------------------------------------------
4. Operation of 911 System
The NG911 Advancement Act provides that 911 grant funds are
intended to assist in implementation of NG911 systems and anticipates
that jurisdictions will use fees collected by State and local
governments to fund operations of 911 services.\28\ In order to
maximize use of funds to meet this goal, eligible entities may only use
grant funds to assist in the implementation of an NG911 system.\29\
However, as the implementation of NG911 occurs, States, local, and
tribal 911 authorities and PSAPs are required to operate parallel NG911
and legacy E-911 or 911 systems while the transition is being
completed. While surcharges collected by State and local governments
already pay for the operation of a current legacy system, grant funds
can be used only to cover the cost of operating the NG911 system until
such time as the current legacy system is shut down and the system is
fully operational using only NG911 technology.
---------------------------------------------------------------------------
\28\ See 47 U.S.C. 942(b)(1) and (c). See also ENHANCE 911 Act
of 2004, Public Law 108-494, Title I, Sec. 102, 118 Stat. 3986
(2004).
\29\ Implementation of a NG911 system does not include
construction of new PSAPs. Thus, the Agencies do not propose to
permit the use of grant funds for purposes of such construction.
---------------------------------------------------------------------------
I. Continuing Compliance (47 CFR 400.8)
The Agencies propose to amend the Non-compliance section of the 911
Grant Program regulations as set forth at Sec. 400.8 to conform to the
NG911 Advancement Act and to reflect the proposed ability of Tribal
Organizations to apply directly for grant funds. Any applicant or grant
recipient that provides a certification knowing that the information
provided in the certification is false (1) will not be eligible to
receive the grant; (2) must return any grant awarded under this part
during the time that the certification is not valid; and (3) will not
be eligible to receive any subsequent grants under this part.\30\
---------------------------------------------------------------------------
\30\ See 47 U.S.C. 942(c)(4).
---------------------------------------------------------------------------
J. Financial and Administrative Requirements (47 CFR 400.9)
In 2014, the Department of Commerce and the Department of
Transportation, among other executive branch agencies, adopted the
Office of Management and Budget's Uniform Administrative Requirements,
Cost Principles, and Audit Requirements (OMB Uniform Guidance). See OMB
Uniform Guidance, 2 CFR part 200, 2 CFR part 1327 (DOC's implementing
regulations), and 2 CFR part 1201 (DOT's implementing regulation).
Accordingly, the Agencies propose to amend the financial and
administrative requirements section of the 911 Grant Program as set
forth at 47 CFR 400.9 to conform to the OMB Uniform Guidance. Because
this is a joint rulemaking, the Agencies will apply the OMB Uniform
Guidance without any agency-specific deviations.
K. Closeout (47 CFR 400.10)
The funds made available from the Public Safety Trust Fund for the
new grants are available for obligation until September 30, 2022, and
will be cancelled and returned to the Treasury no later than September
30, 2027. The recipients' right to incur costs under this part will
expire as of the end of the period of performance announced in the
Notice of Funding Opportunity, but in no event later than July 2, 2027.
The Agencies are amending this section to reflect this new date and to
update the reference to the new OMB Uniform Guidance.
L. Waiver Authority (47 CFR 400.11)
It is the general intent of the Agencies that the provisions of the
911 Grant Program regulations not be waived. The Agencies, however,
recognize that there may be extraordinary circumstances in which it is
in the best interest of the federal government to waive program
regulations. Accordingly, the Agencies propose to permit applicants or
grant recipients to request waiver of any of the provisions of the
program regulations and also to reserve the right for the Agencies to
do so on their own initiative. The Agencies recognize that such waiver
authority may only be exercised for requirements that are discretionary
and not mandated by statute or other applicable law. The Agencies seek
comment on this proposal.
M. Appendices (47 CFR Part 400, App. A, B, C, and D)
The Agencies propose to delete and replace the Appendices from the
E-911 Grant Program. In their place, the Agencies propose to insert the
following Appendices to conform to the certification requirements
contained in the NG911 Advancement Act and to reflect the proposed
ability of Tribal Organizations to apply directly for grant funds:
Appendix A (Initial Certification
[[Page 44137]]
For 911 Grant Applicants--States), Appendix B (Initial Certification
For 911 Grant Applicants--Tribal Organizations), Appendix C (Annual
Certification For 911 Grant Recipients--States), and Appendix D (Annual
Certification For 911 Grant Recipients--Tribal Organizations).
IV. Public Participation
A. How do I prepare and submit comments?
Your comments must be written in English. To ensure that your
comments are correctly filed in the Docket, please include the docket
number listed in this document in your comments. Your primary comments
should be no longer than 15 pages. You may attach additional documents
to your primary comments. There is no limit on the length of the
attachments.
You may submit comments identified by Docket No. 170420407-7407-01
by any of the following methods:
Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting
comments.
Mail: National Telecommunications and Information
Administration, U.S. Department of Commerce, Attn: NG911 Grant Program,
1401 Constitution Avenue NW., Room 4076, Washington, DC 20230.
B. How can I be sure my comments were received?
All comments received are a part of the public record and will be
posted without change to http://www.regulations.gov.
If you submit your comments by mail, enclose a self-addressed,
stamped postcard in the envelope containing your comments. Upon
receiving your comments, you will be notified with the postcard by
mail.
C. Will the Agencies consider late comments?
The Agencies will consider all comments received before the close
of business on the comment closing date indicated above under DATES. To
the extent possible, the Agencies will also consider comments received
after that date.
D. How can I read the comments submitted by other people?
Comments will be available on http://www.regulations.gov. Follow
the online instructions for accessing the docket. Please note that even
after the comment closing date, the Agencies may continue to file
relevant information on the docket as it becomes available.
Accordingly, the Agencies recommend that you periodically check the
docket for new material.
V. Statutory Basis for This Action
The Agencies' proposal would implement modifications to the E-911
Grant Program as required by the NG911 Advancement Act of 2012 (Pub. L.
112-96, Title VI, Subtitle E, codified at 47 U.S.C. 942).
VI. Regulatory Analyses and Notices
Executive Order 12866 (Regulatory Policies and Procedures)
This rulemaking has been determined to be significant under section
3(f) of Executive Order 12866, and therefore, has been reviewed by the
Office of Management and Budget (OMB).
Executive Order 13771
This rulemaking is exempt from the requirements of Executive Order
13771 because it is a ``transfer rule.''
Regulatory Flexibility Act
The Chief Counsel for Regulation of the Department of Commerce and
the Assistant Chief Counsel for the National Highway Traffic Safety
Administration have certified to the Small Business Administration
Office of Advocacy that this proposed rule would not have a significant
economic impact on a substantial number of small entities. Congress
enacted the Regulatory Flexibility Act of 1980 (RFA), as amended, 5
U.S.C. 601-612, to ensure that Government regulations do not
unnecessarily or disproportionately burden small entities. The RFA
requires a regulatory flexibility analysis if a rule would have a
significant economic impact on a substantial number of small entities.
The majority of potential applicants (56) for 911 grants are U.S.
States and Territories, which are not ``small entities'' for the
purposes of the RFA. See 5 U.S.C. 601(5). The remaining potential grant
applicants are a small number of Tribal Organizations (approximately
13) with a substantial emergency management/public safety presence
within their jurisdictions. Like States, Tribal Organizations are not
``small entities'' for the purposes of the RFA. See Small Business
Regulatory Flexibility Improvements Act of 2015, S. 1536, 114th Cong.
Sec. 2(d) (2015) (proposing to add Tribal Organizations to the RFA's
``small governmental jurisdiction'' definition, one of three categories
of ``small entities'' in the RFA). Therefore, we have determined under
the RFA that this proposed rule would not have a significant economic
impact on a substantial number of small entities. Accordingly, no
Regulatory Flexibility Analysis is required, and none has been
prepared.
Congressional Review Act
This rulemaking has not been determined to be major under the
Congressional Review Act, 5 U.S.C. 801 et seq.
Executive Order 13132 (Federalism)
This proposed rule does not contain policies having federalism
implications requiring preparations of a Federalism Summary Impact
Statement.
Executive Order 12988 (Civil Justice Reform)
This rulemaking has been reviewed under Executive Order 12988,
Civil Justice Reform, as amended by Executive Order 13175. The Agencies
have determined that the proposed rule meets the applicable standards
provided in section 3 of the Executive Order to minimize litigation,
eliminate ambiguity, and reduce burden.
Executive Order 12372 (Intergovernmental Consultation)
Applications under this program are subject to Executive Order
12372, ``Intergovernmental Review of Federal Programs,'' which requires
intergovernmental consultation with State and local officials. All
applicants are required to submit a copy of their applications to their
designated State Single Point of Contact (SPOC) offices. See 7 CFR part
3015, subpart V.
Executive Order 12630
This proposed rule does not contain policies that have takings
implications.
Executive Order 13175 (Consultation and Coordination With Indian
Tribes)
The Agencies have analyzed this proposed rule under Executive Order
13175, and have determined that the proposed action would not have a
substantial direct effect on one or more Indian tribes, would not
impose substantial direct compliance costs on Indian tribal
governments, and would not preempt tribal law. The program is voluntary
and any Tribal Organization that chooses to apply and subsequently
qualifies would receive grant funds. Therefore, a tribal summary impact
statement is not required.
Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.)
requires each Federal agency to seek and obtain OMB approval before
collecting information from the public. Federal agencies may not
collect information unless it displays a currently valid OMB control
[[Page 44138]]
number. The Agencies' proposed use of Standard Forms 424 (Application
for Federal Assistance), 424A (Budget Information for Non-Construction
Programs), 424B (Assurances for Non-Construction Programs), 424C
(Budget Information for Construction Programs), 425 (Federal Financial
Report), and SF-LLL (Disclosure for Lobbying Activities) has been
approved previously by OMB under the respective control numbers 4040-
0004, 4040-0005, 4040-0006, 4040-0007, 4040-0014, and 4040-0013. The
Agencies will submit a Request for Common Form to OMB to use the
previously-approved information collection instruments.
The Agencies obtained OMB approval previously for an information
collection related to the annual progress reporting and closeout
reporting requirements and State 911 Plans for the E-911 Grant Program,
under OMB Control Number 2127-0661. At the request of NHTSA, OMB
discontinued this information collection on January 31, 2012. The
Agencies are seeking a new information collection that will operate as
a reinstatement with change of the previously approved information
collection. With the new information collection that will operate as a
reinstatement with change, the Agencies propose to collect information
for the State 911 Plans, and Annual Performance Reports. As required by
the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)), the Agencies
have submitted the proposed new information collection that will
operate as a reinstatement with change to OMB for its review. The
Agencies will use the collection of information to ensure that grant
recipients are effectively monitored and evaluated against the core
purposes of the 911 Grant Program. The Agencies are seeking OMB
approval for a period of three years.
OMB Control Number: None.
Form Number(s): None.
Type of Review: Regular.
Affected Public: State, local, and Tribal Organizations.
Frequency: Once, State 911 Plan; Annually, Annual Performance
Report.
Number of Respondents: 60 (42 States, District of Columbia, 4
Territories, 13 Tribal Organizations).
Average Time per Response: 154 hours (State 911 Plan--94 hours and
Annual Performance Report--60 hours).
Estimated Total Annual Burden Hours: 9,240 hours.
Estimated Total Annual Cost to Public: $400,000 ($244,156 for the
State 911 Plan; $155,844 for the Annual Performance Report).
Comments are invited on: (a) Whether the proposed collection of
information is necessary for the proper performance of the functions of
the agency, including whether the information shall have practical
utility; (b) the accuracy of the agency's estimate of the burden
(including hours and cost) of the proposed collection of information;
(c) ways to enhance the quality, utility, and clarity of the
information to be collected; and (d) ways to minimize the burden of the
collection of information on respondents, including through the use of
automated collection techniques or other forms of information
technology.
Individuals and organizations may send comments on the information
collection to the close of the proposed rule's comment period. Direct
all written comments regarding the collection of information to the
Office of Information and Regulatory Affairs of OMB, Attention: Desk
officer for Department of Commerce, Nicholas A. Fraser. OMB may file
public comments, in the form of a Notice of Action, on the collection
of information within 60 days of the publication of this NPRM. See 5
CFR 1320.11(c).
Unfunded Mandates Reform Act
This proposed rule contains no Federal mandates (under the
regulatory provision of Title II of the Unfunded Mandates Reform Act of
1995) for State, local, and tribal governments or the private sector.
The program is voluntary and States and Tribal Organizations that
choose to apply and qualify would receive grant funds. Thus, this
rulemaking is not subject to the requirements of sections 202 and 205
of the Unfunded Mandates Reform Act of 1995.
National Environmental Policy Act
The Agencies have reviewed this rulemaking action for the purposes
of the National Environmental Policy Act. The Agencies have determined
that this proposal would not have a significant impact on the quality
of the human environment.
Dated: September 14, 2017.
Leonard Bechtel,
Chief Financial Officer and Director of Administration, Performing the
non-exclusive duties of the Assistant Secretary for Communications and
Information, National Telecommunications and Information
Administration.
Jack Danielson,
Acting Deputy Administrator, National Highway Traffic Safety
Administration.
List of Subjects in 47 CFR Part 400
Grant programs, Telecommunications, Emergency response capabilities
(911).
0
In consideration of the foregoing, the National Telecommunications and
Information Administration, Department of Commerce, and the National
Highway Traffic Safety Administration, Department of Transportation,
propose to revise part 400 in title 47 of the Code of Federal
Regulations to read as follows:
PART 400--911 GRANT PROGRAM
Sec.
400.1 Purpose.
400.2 Definitions.
400.3 Who may apply.
400.4 Application requirements.
400.5 Approval and award.
400.6 Distribution of grant funds.
400.7 Eligible uses for grant funds.
400.8 Continuing compliance.
400.9 Financial and administrative requirements.
400.10 Closeout.
400.11 Waiver authority.
Appendix A to Part 400--Initial Certification for 911 Grant
Applicants--States
Appendix B to Part 400--Initial Certification for 911 Grant
Applicants--Tribal Organizations
Appendix C to Part 400--Annual Certification for 911 Grant
Recipients--States
Appendix D to Part 400--Annual Certification for 911 Grant
Recipients--Tribal Organizations
Authority: 47 U.S.C. 942.
Sec. 400.1 Purpose.
This part establishes uniform application, approval, award,
financial and administrative requirements for the grant program
authorized under the ``Ensuring Needed Help Arrives Near Callers
Employing 911 Act of 2004'' (ENHANCE 911 Act), as amended by the ``Next
Generation 911 Advancement Act of 2012'' (NG911 Advancement Act).
Sec. 400.2 Definitions.
As used in this part--
911 Coordinator means a single officer or governmental body of the
State in which the applicant is located that is responsible for
coordinating implementation of 911 services in that State.
911 services means both E-911 services and Next Generation 911
services.
Administrator means the Administrator of the National Highway
Traffic Safety Administration (NHTSA), U.S. Department of
Transportation.
Assistant Secretary means the Assistant Secretary for
Communications and Information, U.S. Department of Commerce, and
Administrator of the National Telecommunications and Information
Administration (NTIA).
Designated 911 charges means any taxes, fees, or other charges
imposed by
[[Page 44139]]
a State or other taxing jurisdiction that are designated or presented
as dedicated to deliver or improve 911, E-911 or NG911 services.
E-911 services means both phase I and phase II enhanced 911
services, as described in Sec. 20.18 of this title, as subsequently
revised.
Emergency call refers to any real-time communication with a public
safety answering point or other emergency management or response
agency, including--
(1) Through voice, text, or video and related data; and
(2) Nonhuman-initiated automatic event alerts, such as alarms,
telematics, or sensor data, which may also include real-time voice,
text, or video communications.
ICO means the 911 Implementation Coordination Office established
under 47 U.S.C. 942 for the administration of the 911 grant program,
located at the National Highway Traffic Safety Administration, U.S.
Department of Transportation, 1200 New Jersey Avenue SE., NTI-140,
Washington, DC 20590.
Integrated telecommunications services means one or more elements
of the provision of multiple 911 systems' or PSAPs' infrastructure,
equipment, or utilities, such as voice, data, image, graphics, and
video network, customer premises equipment (such as consoles, hardware,
or software), or other utilities, which make common use of all or part
of the same transmission facilities, switches, signaling, or control
devices (e.g., database, cybersecurity).
IP-enabled emergency network or IP-enabled emergency system means
an emergency communications network or system based on a secured
infrastructure that allows secured transmission of information, using
Internet Protocol, among users of the network or system.
Next Generation 911 services means an IP-based system comprised of
hardware, software, data, and operational policies and procedures
that--
(1) Provides standardized interfaces from emergency call and
message services to support emergency communications;
(2) Processes all types of emergency calls, including voice, data,
and multimedia information;
(3) Acquires and integrates additional emergency call data useful
to call routing and handling;
(4) Delivers the emergency calls, messages, and data to the
appropriate public safety answering point and other appropriate
emergency entities;
(5) Supports data or video communications needs for coordinated
incident response and management; and
(6) Provides broadband service to public safety answering points or
other first responder entities.
PSAP means a public safety answering point, a facility that has
been designated to receive emergency calls and route them to emergency
service personnel.
State means any State of the United States, the District of
Columbia, Puerto Rico, American Samoa, Guam, the United States Virgin
Islands, the Northern Mariana Islands, and any other territory or
possession of the United States.
Tribal Organization means the recognized governing body of any
Indian tribe; any legally established organization of Indians which is
controlled, sanctioned, or chartered by such governing body or which is
democratically elected by the adult members of the Indian community to
be served by such organization and which includes the maximum
participation of Indians in all phases of its activities: Provided,
that in any case where a contract is let or grant made to an
organization to perform services benefiting more than one Indian tribe,
the approval of each such Indian tribe shall be a prerequisite to the
letting or making of such contract or grant.
Sec. 400.3 Who may apply.
In order to apply for a grant under this part, an applicant must be
a State or Tribal Organization as defined in Sec. 400.2.
Sec. 400.4 Application requirements.
(a) Contents for a State application. An application for funds for
the 911 Grant Program from a State must consist of the following
components:
(1) State 911 plan. A plan that--
(i) Details the projects and activities proposed to be funded for:
(A) The implementation and operation of 911 services, E-911
services, migration to an IP-enabled emergency network, and adoption
and operation of Next Generation 911 services and applications;
(B) The implementation of IP-enabled emergency services and
applications enabled by Next Generation 911 services, including the
establishment of IP backbone networks and the application layer
software infrastructure needed to interconnect the multitude of
emergency response organizations; and
(C) Training public safety personnel, including call-takers, first
responders, and other individuals and organizations who are part of the
emergency response chain in 911 services.
(ii) Establishes metrics and a time table for grant implementation;
and
(iii) Describes the steps the applicant has taken to--
(A) Coordinate its application with local governments, Tribal
Organizations, and PSAPs within the State;
(B) Ensure that at least 90 percent of the grant funds will be used
for the direct benefit of PSAPs and not more than 10 percent of the
grant funds will be used for the applicant's administrative expenses
related to the 911 Grant Program; and
(C) Involve integrated telecommunications services in the
implementation and delivery of 911 services, E-911 services, and Next
Generation 911 services.
(2) Project budget. A project budget for all proposed projects and
activities to be funded by the grant funds. Specifically, for each
project or activity, the applicant must:
(i) Demonstrate that the project or activity meets the eligible use
requirement in Sec. 400.7; and
(ii) Identify the non-Federal sources, which meet the requirements
of 2 CFR 200.306, that will fund at least 40 percent of the cost;
except that as provided in 48 U.S.C. 1469a, the requirement for non-
Federal matching funds (including in-kind contributions) is waived for
American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin
Islands for grant amounts up to $200,000.
(3) Supplemental project budget. States that qualify for a grant
under the program may also qualify for additional grant funds that may
become available. To be eligible for any such additional grant funds
that may become available in accordance with Sec. 400.6, a State must
submit, with its application, a supplemental project budget that
identifies the maximum dollar amount the State is able to match from
non-Federal sources meeting the requirements of 2 CFR 200.306, and
includes projects or activities for those grant and matching amounts,
up to the total amount in the project budget submitted under paragraph
(a)(2) of this section. This information must be provided to the same
level of detail as required under paragraph (a)(2) of this section and
be consistent with the State 911 Plan required under paragraph (a)(1)
of this section.
(4) Designated 911 Coordinator. The identification of a single
officer or government body to serve as the 911 Coordinator of
implementation of 911 services and to sign the certifications required
under this part. Such designation need not vest such coordinator with
legal authority to
[[Page 44140]]
implement 911 services, E-911 services, or Next Generation 911 services
or to manage emergency communications operations. If a State applicant
has established by law or regulation an office or coordinator with the
authority to manage 911 services, that office or coordinator must be
identified as the designated 911 Coordinator and apply for the grant on
behalf of the State. If a State applicant does not have such an office
or coordinator established, the Governor of the State must appoint a
single officer or governmental body to serve as the 911 Coordinator in
order to qualify for a 911 grant. If the designated 911 Coordinator is
a governmental body, an official representative of the governmental
body shall be identified to sign the certifications for the 911
Coordinator. The State must notify NHTSA in writing within 30 days of
any change in appointment of the 911 Coordinator.
(5) Certifications. The certification in Appendix A of this part,
signed by the 911 Coordinator, certifying that the applicant has
complied with the required statutory and programmatic conditions in
submitting its application. The applicant must certify that during the
time period 180 days immediately preceding the date of the initial
application, the State has not diverted any portion of designated 911
charges imposed by the State for any purpose other than the purposes
for which such charges are designated or presented, that no taxing
jurisdiction in the State that will be a recipient of 911 grant funds
has diverted any portion of designated 911 charges imposed by the
taxing jurisdiction for any purpose other than the purposes for which
such charges are designated or presented, and that, continuing through
the time period during which grant funds are available, neither the
State nor any taxing jurisdiction in the State that is a recipient of
911 grant funds will divert designated 911 charges for any purpose
other than the purposes for which such charges are designated or
presented.
(b) Contents for a Tribal Organization application. An application
for funds for the 911 Grant Program from a Tribal Organization must
consist of the following components:
(1) Tribal Organization 911 Plan. A plan that--
(i) Details the projects and activities proposed to be funded for:
(A) The implementation and operation of 911 services, E-911
services, migration to an IP-enabled emergency network, and adoption
and operation of Next Generation 911 services and applications;
(B) The implementation of IP-enabled emergency services and
applications enabled by Next Generation 911 services, including the
establishment of IP backbone networks and the application layer
software infrastructure needed to interconnect the multitude of
emergency response organizations; and
(C) Training public safety personnel, including call-takers, first
responders, and other individuals and organizations who are part of the
emergency response chain in 911 services.
(ii) Establishes metrics and a time table for grant implementation;
and
(iii) Describes the steps the applicant has taken to--
(A) Coordinate its application with PSAPs within the Tribal
Organization's jurisdiction;
(B) Ensure that at least 90 percent of the grant funds will be used
for the direct benefit of PSAPs and not more than 10 percent of the
grant funds will be used for the applicant's administrative expenses
related to the 911 Grant Program; and
(C) Involve integrated telecommunications services in the
implementation and delivery of 911 services, E-911 services, and Next
Generation 911 services.
(2) Project budget. A project budget for all proposed projects and
activities to be funded by the grant funds. Specifically, for each
project or activity, the applicant must:
(i) Demonstrate that the project or activity meets the eligible use
requirement in Sec. 400.7; and
(ii) Identify the allowable sources, which meet the requirements of
2 CFR 200.306, that will fund at least 40 percent of the cost.
(3) Supplemental project budget. Tribal Organizations that qualify
for a grant under the program may also qualify for additional grant
funds that may become available. To be eligible for any such additional
grant funds that may become available in accordance with Sec. 400.6, a
Tribal Organization must submit, with its application, a supplemental
project budget that identifies the maximum dollar amount the Tribal
Organization is able to match from allowable sources meeting the
requirements of 2 CFR 200.306, and includes projects or activities for
those grant and matching amounts, up to the total amount in the project
budget submitted under paragraph (b)(2) of this section. This
information must be provided to the same level of detail as required
under paragraph (b)(2) of this section and be consistent with the
Tribal Organization 911 Plan required under paragraph (b)(1) of this
section.
(4)(a) Designated 911 Coordinator. Written identification of the
single State officer or government body serving as the 911 Coordinator
of implementation of 911 services in the State (or States) in which the
Tribal Organization is located. If a State has not designated an
officer or government body to coordinate such services, the Governor of
the State must appoint a single officer or governmental body to serve
as the 911 Coordinator in order for the Tribal Organization to qualify
for a 911 grant. The Tribal Organization must notify NHTSA in writing
within 30 days of any change in appointment of the 911 Coordinator.
(b) Responsible Tribal Organization Official. Written
identification of the official responsible for executing the grant
agreement and signing the required certifications on behalf of the
Tribal Organization.
(5) Certifications. The certification in Appendix B of this part,
signed by the responsible official of the Tribal Organization,
certifying that the applicant has complied with the required statutory
and programmatic conditions in submitting its application. The
applicant must certify that during the time period 180 days immediately
preceding the date of the initial application, the taxing jurisdiction
(or jurisdictions) within which the applicant is located has not
diverted any portion of designated 911 charges imposed by the taxing
jurisdiction (or jurisdictions) within which the applicant is located
for any purpose other than the purposes for which such charges are
designated or presented and that, continuing through the time period
during which grant funds are available, the taxing jurisdiction (or
jurisdictions) within which the applicant is located will not divert
designated 911 charges for any purpose other than the purposes for
which such charges are designated or presented.
(c) Due dates--(1) Initial application deadline. The applicant must
submit the certification set forth in Appendix A of this part if a
State, or Appendix B of this part if a Tribal Organization, no later
than the initial application deadline published in the Notice of
Funding Opportunity. Failure to meet this deadline will preclude the
applicant from receiving consideration for a 911 grant award.
(2) Final application deadline. After publication of the funding
allocation for the 911 Grant Program in a revised Notice of Funding
Opportunity, applicants that have complied with paragraph (c)(1) of
this section will be given additional time in which to submit remaining
application
[[Page 44141]]
documents in compliance with this section, including a supplemental
project budget. The revised Notice of Funding Opportunity will provide
such deadline information. Failure to meet this deadline will preclude
the applicant from receiving consideration for a 911 grant award.
Sec. 400.5 Approval and award.
(a) The ICO will review each application for compliance with the
requirements of this part.
(b) The ICO may request additional information from the applicant,
with respect to any of the application submission requirements of Sec.
400.4, prior to making a recommendation for an award. Failure to submit
such additional information may preclude the applicant from further
consideration for award.
(c) The Administrator and Assistant Secretary will jointly approve
and announce, in writing, grant awards to qualifying applicants.
Sec. 400.6 Distribution of grant funds.
(a) Funding allocation. Except as provided in paragraph (b) of this
section--
(1) Grant funds for each State that meets the certification
requirements set forth in Sec. 400.4 will be allocated--
(i) 50 percent in the ratio which the population of the State bears
to the total population of all the States, as shown by the latest
available Federal census; and
(ii) 50 percent in the ratio which the public road mileage in each
State bears to the total public road mileage in all States, as shown by
the latest available Federal Highway Administration data.
(2) Grant funds for each Tribal Organization that meets the
certification requirements set forth in Sec. 400.4 will be allocated--
(i) 50 percent in the ratio to which the population of the Tribal
Organization bears to the total population of all Tribal Organizations,
as determined by the most recent population data on American Indian/
Alaska Native Reservation of Statistical Area; and
(ii) 50 percent in the ratio which the public road mileage in each
Tribal Organization bears to the total public road mileage in tribal
areas, using the most recent national tribal transportation facility
inventory data.
(2) Supplemental project budgets. As set forth in Sec. 400.4(a)(3)
and (b)(3), the Agencies reserve the right to allocate additional funds
based on supplemental project budgets.
(b)(1) Minimum distribution. The distribution to each qualifying
State under paragraph (b) of this section shall not be less than
$500,000, except that the distribution to American Samoa, Guam, the
Northern Mariana Islands, and the U.S. Virgin Islands shall not be less
than $250,000.
(2) Tribal Organization set-aside. Up to 2 percent of grant funds
available under this part will be set aside for distribution to
qualifying Tribal Organizations for a 911 grant. The distribution to
each qualifying Tribal Organization shall not be more than $250,000.
Any remaining funds after distribution to qualifying Tribal
Organizations under this subparagraph will be released for distribution
to the States consistent with paragraph (a) of this section.
(c) Additional notices of funding opportunity. Grant funds that are
not distributed under paragraph (a) of this section may be made
available to States and Tribal Organizations through subsequent Notices
of Funding Opportunity.
Sec. 400.7 Eligible uses for grant funds.
Grant funds awarded under this part may be used only for:
(a) The implementation and operation of 911 services, E-911
services, migration to an IP-enabled emergency network, and adoption
and operation of Next Generation 911 services and applications;
(b) The implementation of IP-enabled emergency services and
applications enabled by Next Generation 911 services, including the
establishment of IP backbone networks and the application layer
software infrastructure needed to interconnect the multitude of
emergency response organizations; and
(c) 911-related training of public safety personnel, including
call-takers, first responders, and other individuals and organizations
who are part of the emergency response chain in 911 services.
Sec. 400.8 Continuing compliance.
(a) A grant recipient must submit on an annual basis 30 days after
the end of each fiscal year during which grant funds are available, the
certification set forth in Appendix C of this part if a State, or
Appendix D of this part if a Tribal Organization, making the same
certification concerning the diversion of designated 911 charges.
(b) In accordance with 47 U.S.C. 942(c), where a recipient
knowingly provides false or inaccurate information in its certification
related to the diversion of designated 911 charges, the recipient
shall--
(1) Not be eligible to receive the grant under this part;
(2) Return any grant awarded under this part during the time that
the certification was not valid; and
(3) Not be eligible to receive any subsequent grants under this
part.
Sec. 400.9 Financial and administrative requirements.
(a) General. The requirements of 2 CFR part 200, the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards, including applicable cost principles referenced at
subpart E, govern the implementation and management of grants awarded
under this part.
(b) Reporting requirements--(1) Performance reports. Each grant
recipient shall submit an annual performance report to NHTSA, following
the procedures of 2 CFR 200.328, within 90 days after each fiscal year
that grant funds are available, except when a final report is required
under Sec. 400.10(b)(2).
(2) Financial reports. Each recipient shall submit quarterly
financial reports to NHTSA, following the procedures of 2 CFR 200.327,
within 30 days after each fiscal quarter that grant funds are
available, except when a final voucher is required under Sec.
400.10(b)(1).
Sec. 400.10 Closeout.
(a) Expiration of the right to incur costs. The right to incur
costs under this part will expire as of the end of the period of
performance. The grant recipient and its subrecipients and contractors
may not incur costs for Federal reimbursement past the expiration date.
(b) Final submissions. Within 90 days after the completion of
projects and activities funded under this part, but in no event later
than the expiration date identified in paragraph (a) of this section,
each grant recipient must submit--
(1) A final voucher for the costs incurred. The final voucher
constitutes the final financial reconciliation for the grant award.
(2) A final report to NHTSA, following the procedures of 2 CFR
200.343(a).
(c) Disposition of unexpended balances. Any funds that remain
unexpended after closeout shall cease to be available to the recipient
and shall be returned to the government.
Sec. 400.11 Waiver authority.
It is the general intent of the ICO not to waive any of the
provisions set forth in this part. However, under extraordinary
circumstances and when it is in the best interest of the federal
[[Page 44142]]
government, the ICO, upon its own initiative or when requested, may
waive the provisions in this part. Waivers may only be granted for
requirements that are discretionary and not mandated by statute or
other applicable law. Any request for a waiver must set forth the
extraordinary circumstances for the request.
Appendix A To Part 400--Initial Certification For 911 Grant
Applicants--States
(To be submitted as part of the initial application)
I. On behalf of [State/Territory], I, [print name], hereby
certify that:
(check only one box below)
[square] [State or Territory] has established by law or regulation
[name of 911 office/coordinator] with the authority to manage 911
services in the State, and I am its representative. See [citation to
State law or rule]. [Name of 911 office/coordinator] will serve as
the designated 911 Coordinator.
[square] [State or Territory] does not have an office or coordinator
with the authority to manage 911 services, and the Governor of
[State or Territory] has designated
(check only one circle below)
[cir] me as the State's single officer to serve as the 911
Coordinator of 911 services implementation; or
[cir] [governmental body] as the State's single governmental
body, to serve as the 911 Coordinator of 911 services
implementation, and I am its representative.
(check all boxes below)
[square] The State has coordinated the application with local
governments, Tribal Organizations and PSAPs within the State.
[square] The State has established a State 911 Plan, consistent with
the implementing regulations, for the coordination and
implementation of 911 services, E-911 services, and Next Generation
911 services.
[square] The State will ensure that at least 90 percent of the grant
funds are used for the direct benefit of PSAPs.
[square] The State has integrated telecommunications services
involved in the implementation and delivery of 911 services, E-911
services, and Next Generation 911 services.
II. I further certify that the State has not diverted and will
not divert any portion of designated 911 charges imposed by the
State for any purpose other than the purposes for which such charges
are designated or presented from the time period 180 days preceding
the date of the application and continuing through the time period
during which grant funds are available.
I further certify that no taxing jurisdiction in the State that
will receive 911 grant funds has diverted any portion of the
designated 911 charges for any purpose other than the purposes for
which such charges are designated or presented from the time period
180 days preceding the date of the application.
I further certify that the State will ensure that each taxing
jurisdiction in the State that receives 911 grant funds does not
divert any portion of designated 911 charges imposed by the taxing
jurisdiction for any purpose other than the purposes for which such
charges are designated during the time period which grant funds are
available.
I agree that, as a condition of receipt of the grant, the State
will return all grant funds if the State obligates or expends, at
any time for the full duration of this grant, designated 911 charges
for any purpose other than the purposes for which such charges are
designated or presented, eliminates such charges, or redesignates
such charges for purposes other than the implementation or operation
of 911 services, E-911 services, or Next Generation 911 services,
and that if a taxing jurisdiction in the State that receives 911
grant funds diverts any portion of designated 911 charges imposed by
the taxing jurisdiction for any purpose other than the purposes for
which such charges are designated during the time period which grant
funds are available, the State will ensure that 911 grant funds
distributed to that taxing jurisdiction are returned.
III. I further certify that the State will comply with all
applicable laws and regulations and financial and programmatic
requirements for Federal grants.
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(or representative of single governmental body)
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Title
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Date
Appendix B To Part 400--Initial Certification For 911 Grant
Applicants--Tribal Organizations
(To be submitted as part of the initial application)
I. On behalf of [Tribal Organization], I, [print name], hereby
certify that:
(check all boxes below)
[square] The Tribal Organization has coordinated the application
with PSAPs within its jurisdiction.
[square] The Tribal Organization has established a 911 Plan,
consistent with the implementing regulations, for the coordination
and implementation of 911 services, E-911 services, and Next
Generation 911 services.
[square] The Tribal Organization will ensure that at least 90
percent of the grant funds are used for the direct benefit of PSAPs.
[square] The Tribal Organization has integrated
telecommunications services involved in the implementation and
delivery of 911 services, E-911 services, and Next Generation 911
services.
II. I further certify that the taxing jurisdiction (or
jurisdictions) within which the Tribal Organization is located has
not diverted and will not divert any portion of designated 911
charges imposed by the taxing jurisdiction (or jurisdictions) within
which the Tribal Organization is located for any purpose other than
the purposes for which such charges are designated or presented from
the time period 180 days preceding the date of the application and
continuing through the time period during which grant funds are
available.
III. I agree that, as a condition of receipt of the grant, the
Tribal Organization will return all grant funds if the taxing
jurisdiction (or jurisdictions) within which the Tribal Organization
is located obligates or expends, at any time for the full duration
of this grant, designated 911 charges for any purpose other than the
purposes for which such charges are designated or presented,
eliminates such charges, or redesignates such charges for purposes
other than the implementation or operation of 911 services, E-911
services, or Next Generation 911 services.
IV. I further certify that the Tribal Organization will comply
with all applicable laws and regulations and financial and
programmatic requirements for Federal grants.
V. The single State officer or government body serving as the
911 Coordinator of implementation of 911 services in each State in
which the Tribal Organization is located is ___.
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Date
Appendix C To Part 400--Annual Certification For 911 Grant Recipients--
States
(To be submitted annually after grant award while grant funds are
available)
On behalf of [State/Territory], I, [print name], hereby certify
that the State has not diverted any portion of designated 911
charges imposed by the State for any purpose other than the purposes
for which such charges are designated or presented from the time
period 180 days preceding the date of the application and continuing
throughout the time period during which grant funds are available.
I further certify that no taxing jurisdiction in the State that
will receive 911 grant funds has diverted any portion of the
designated 911 charges for any purpose other than the purposes for
which such charges are designated or presented from the time period
180 days preceding the date of the application.
I further certify that the State will ensure that each taxing
jurisdiction in the State that receives 911 grant funds does not
divert any portion of designated 911 charges imposed by the taxing
jurisdiction for any purpose other than the purposes for which such
charges are designated during the time period which grant funds are
available.
I agree that, as a condition of receipt of the grant, the State
will return all grant funds if the State obligates or expends, at
any time for the full duration of this grant, designated 911 charges
for any purpose other than the purposes for which such charges are
designated or presented, eliminates such charges, or redesignates
such charges for purposes other than the implementation or
[[Page 44143]]
operation of 911 services, E-911 services, or Next Generation 911
services, and that if a taxing jurisdiction in the State that
receives 911 grant funds diverts any portion of designated 911
charges imposed by the taxing jurisdiction for any purpose other
than the purposes for which such charges are designated during the
time period which grant funds are available, the State will ensure
that 911 grant funds distributed to that taxing jurisdiction are
returned.
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Signature of State 911 Coordinator
(or representative of single governmental body)
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Title
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Date
Appendix D To Part 400--Annual Certification For 911 Grant Recipients--
Tribal Organizations
(To be submitted annually after grant award while grant funds are
available)
On behalf of [Tribal Organization], I, [print name], hereby
certify that the taxing jurisdiction (or jurisdictions) within which
the Tribal Organization is located has not diverted and will not
divert any portion of designated 911 charges imposed by the taxing
jurisdiction (or jurisdictions) within which the Tribal Organization
is located for any purpose other than the purposes for which such
charges are designated or presented from the time period 180 days
preceding the date of the application and continuing through the
time period during which grant funds are available.
I further certify that the Tribal Organization will ensure that
the taxing jurisdiction (or jurisdictions) within which the Tribal
Organization is located that receives 911 grant funds does not
divert any portion of designated 911 charges imposed by the taxing
jurisdiction (or jurisdictions) for any purpose other than the
purposes for which such charges are designated during the time
period which grant funds are available.
I agree that, as a condition of receipt of the grant, the Tribal
Organization will return all grant funds if the taxing jurisdiction
(or jurisdictions) within which the Tribal Organization is located
obligates or expends, at any time for the full duration of this
grant, designated 911 charges for any purpose other than the
purposes for which such charges are designated or presented,
eliminates such charges, or redesignates such charges for purposes
other than the implementation or operation of 911 services, E-911
services, or Next Generation 911 services.
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Title
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Date
[FR Doc. 2017-19944 Filed 9-20-17; 8:45 am]
BILLING CODE 3510-60-P