[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: [email protected]; 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: [email protected].
    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: 
[email protected]; 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: [email protected].
    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: 
[email protected]; 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: [email protected].

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.
---------------------------------------------------------------------------

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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Signature of State 911 Coordinator
(or representative of single governmental body)

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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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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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[FR Doc. 2017-19944 Filed 9-20-17; 8:45 am]
 BILLING CODE 3510-60-P