
[Federal Register: October 3, 2008 (Volume 73, Number 193)]
[Proposed Rules]               
[Page 57567-57580]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03oc08-17]                         

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

DEPARTMENT OF COMMERCE

National Telecommunications and Information Administration

47 CFR Part 400

[Docket No. NHTSA-2008-0142]
RIN 2127-AK37

 
E-911 Grant Program

AGENCIES: National Highway Traffic Safety Administration (NHTSA), 
Department of Transportation (DOT); National Telecommunications and 
Information Administration (NTIA), Department of Commerce (DOC).

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This joint notice proposes implementing regulations for the E-
911 Grant Program authorized under 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). The Act authorizes grants for the 
implementation and operation of Phase II enhanced 911 services and for 
migration to an IP-enabled emergency network. This NPRM proposes the 
application, award and administrative requirements for the E-911 grant 
program and seeks comments thereon.

DATES: Written comments may be submitted to this agency and must be 
received by December 2, 2008.

ADDRESSES: You may submit comments identified by DOT Docket ID Number 
NHTSA-2008-0142 by any of the following methods:
     Federal eRulemaking Portal: Go to http://
wwww.regulations.gov. Follow the online instructions for submitting 
comments.
     Fax: 202-493-2251.
     Mail: Docket Management Facility, M-30, U.S. Department of 
Transportation, West Building, Ground Floor, Room W12-140, 1200 New 
Jersey Avenue, SE., Washington, DC 20590.
     Hand Delivery or Courier: West Building, Ground Floor, 
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC, between 9 
a.m. and 5 p.m., Eastern Time, Monday through Friday, except Federal 
holidays.
    Instructions: For detailed instructions on submitting comments and 
additional information on the rulemaking process, see the ``Public 
Participation'' heading in the SUPPLEMENTARY INFORMATION section of 
this document. Note that all comments received will be posted without 
change to http://www.regulations.gov, including any personal 
information provided. Please see the ``Privacy Act'' heading below.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received into any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review DOT's 
complete Privacy Act Statement in the Federal Register published on 
April 11, 2000 (65 FR 19476-78).
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov at any time or to 
West Building, Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., 
Washington, DC, between 9 a.m. and 5 p.m., Eastern Time, Monday through 
Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For program issues: Mr. Drew Dawson, 
Director, Office of Emergency Medical Services, National Highway 
Traffic Safety Administration, 1200 New Jersey Avenue, SE., NTI-140, 
Washington, DC 20590. Telephone: (202) 366-9966. E-mail: 
Drew.Dawson@dot.gov.
    For legal issues: Ms. Jin Kim, Attorney-Advisor, Office of the 
Chief Counsel, National Highway Traffic Safety Administration, 1200 New 
Jersey Avenue, SE., NCC-113, Washington, DC 20590. Telephone: (202) 
366-1834. E-mail: Jin.Kim@dot.gov.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background
II. Summary of the ENHANCE 911 Act
III. Proposed Regulations
    A. Definitions
    B. Who May Apply
    C. Application Requirements
    1. State 911 Plan
    2. Project Budget
    3. Supplemental Project Budget
    4. Designated E-911 Coordinator
    5. Certifications
    6. Due Date
    D. Approval and Award
    E. Distribution of Grant Funds
    F. Eligible Uses for Grant Funds
    G. Non-Compliance
    H. Financial and Administrative Requirements
    I. Closeout
IV. Public Participation
V. Statutory Basis for This Action
VI. Regulatory Analyses and Notices
    A. Executive Order 12866 and Regulatory Policies and Procedures
    B. Regulatory Flexibility Act
    C. Executive Order 13132 (Federalism)
    D. Executive Order 12988 (Civil Justice Reform)

[[Page 57568]]

    E. Paperwork Reduction Act
    F. Unfunded Mandates Reform Act
    G. National Environmental Policy Act
    H. Executive Order 13175 (Consultation and Coordination With 
Indian Tribes)
    I. Regulatory Identifier Number (RIN)
    J. Privacy Act

I. Background

    Trends in telecommunications mobility and convergence have put the 
nation's 911 system at a crossroads. The growing market penetration of 
both wireless telephones (commonly known as mobile or cell phones) and 
Voice over Internet Protocol (VoIP) telephony have underscored the 
limitations of the current 911 infrastructure. The 911 system, based on 
decades-old technology, cannot handle the text, data, image and video 
that are increasingly common in personal communications and critical to 
emergency response.
    Many of the limitations of the current 911 system stem from its 
foundation on 1970s circuit-switched network technology. Each 
introduction of a new access technology (e.g., wireless) or expansion 
of system functions (e.g., location determination) requires significant 
engineering and system modifications. There appears to be consensus 
within the 911 community on the shortcomings of the present 911 system 
and the need for a new, more capable system, based upon a digital, 
Internet-Protocol (IP) based infrastructure.
    Today, there are approximately 255 million wireless telephones in 
use in the United States. About 80 percent of Americans now subscribe 
to wireless telephone service and 14 percent of American adults live in 
households with only wireless telephones, i.e., no landline telephones. 
Of the estimated 240 million 911 calls made each year, approximately 
one-third originate from wireless telephones. In many communities, at 
least half of the 911 calls come from wireless telephones. Unlike 
landline 911 calls, not all wireless 911 calls are delivered to 
dispatchers with Automatic Number Information (ANI) and Automatic 
Location Information (ALI), two pieces of information that aid in 
identifying the telephone number and geographic location of the caller. 
The increasing use of VoIP communications has compounded this problem 
because the location of the caller cannot automatically be determined 
when a 911 call is made on some interconnected VoIP services. Without 
this information, emergency response times may be delayed. Prompt and 
accurate location information is critical to delivering emergency 
assistance. Ensuring enhanced 911 (E-911) service for each caller, 
i.e., telephone number and location information of the caller, is 
increasingly important to public safety, given the vast number of 911 
calls originating from wireless and VoIP telephones.
    Successful E-911 service implementation requires the cooperation of 
multiple distinct entities: Wireless carriers, wireline telephone 
companies (also known as local exchange carriers), VoIP providers, and 
Public Safety Answering Points (PSAPs). A PSAP is a facility that has 
been designated to receive emergency calls and route them to emergency 
personnel. For example, when a 911 call is made from a wireless 
telephone, the wireless carrier must be able to determine the location 
of the caller, the local exchange carrier must transmit that location 
information from the wireless carrier to the PSAP, and the PSAP must be 
capable of receiving such information.
    Currently, many PSAPs are not technologically capable of receiving 
ANI and ALI from wireless 911 calls. In order to receive this 
information, PSAPs must upgrade their operations centers and make 
appropriate trunking arrangements (i.e., establish a wired connection 
between the PSAP and the networks of the local wireline telephone 
companies) to enable wireless E-911 data to pass from the wireless 
carrier to the PSAP. Once a PSAP is technologically capable of 
receiving this information, the PSAP can submit requests to wireless 
carriers for E-911 service. Under regulations of the Federal 
Communications Commission (FCC), this request triggers a wireless 
carrier's obligation to deploy E-911 service to a PSAP.
    Upgrading the 911 system to an IP-enabled emergency network will 
enable E-911 calls from more networked communication devices, enable 
the transmission of text messages, photographs, data sets and video, 
enable geographically independent call access, transfer, and backup 
among and between PSAPs and other authorized emergency organizations, 
and support an ``interoperable internetwork'' of all emergency 
organizations.
    Many PSAPs do not have the resources to make the upgrades necessary 
to request E-911 service. Some PSAPs are able to fund upgrades from 
their existing budgets, but other PSAPs must rely on funds collected by 
the State to maintain operation and make capital improvements to 911 
services. While most States collect some type of wireless fee or 
surcharge on consumers' wireless telephone bills to help fund PSAP 
operations and upgrades, not all State laws ensure that such surcharges 
are dedicated to their intended use. In fact, some States have used E-
911 surcharges to satisfy other State obligations that may be 
marginally related to public safety, even though PSAPs remain unable to 
receive E-911 service. See, e.g., Government Accountability Office 
(GAO), States' Collection and Use of Funds for Wireless Enhanced 911 
Services, GAO-06-338 (March 2006); see also GAO, Survey on State 
Wireless E911 Funds, GAO-06-400sp (2006).
    Recognizing the need for dedicated funding of E-911 services, the 
ENHANCE 911 Act was enacted ``to improve, enhance, and promote the 
Nation's homeland security, public safety, and citizen activated 
emergency response capabilities through the use of enhanced 911 
services, to further upgrade Public Safety Answering Point capabilities 
and related functions in receiving E-911 calls, and to support the 
construction and operation of a ubiquitous and reliable citizen 
activated system[.]'' The Act directs NHTSA and NTIA to establish a 
joint program to facilitate coordination and communications among 
stakeholders and to provide grants for the implementation and operation 
of E-911 services. The provisions of the Act expire on October 1, 2009. 
47 U.S.C. 942(f)(2).
    Section 3011 of the Deficit Reduction Act of 2005 (Pub. L. 109-171) 
authorized $43.5 million to NTIA for the implementation of the ENHANCE 
911 Act, to be derived from the proceeds of an auction of analog 
television spectrum. Thereafter, the Implementing Recommendations of 
the 9/11 Commission Act of 2007 (Pub. L. 110-53), as amended by the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161), authorized 
NTIA to borrow up to $43.5 million in advance of the spectrum auction 
and directed the agencies to allow a portion of the funds to be used to 
give priority to grants that are requested by PSAPs that are not 
capable of receiving 911 calls for the incremental costs of upgrading 
from Phase I to Phase II compliance. The New and Emergency Technologies 
911 Improvement Act of 2008 (NET 911 Improvement Act) (Pub. L. 110-283) 
recently amended the Act to permit grant funds to be used for migration 
to an IP-enabled emergency network.
    The agencies are now issuing this NPRM to implement the grant 
program.

II. Summary of the ENHANCE 911 Act

    The ENHANCE 911 Act requires NHTSA and NTIA to ``establish a joint

[[Page 57569]]

program to facilitate coordination and communication between Federal, 
State, and local emergency communications systems, emergency personnel, 
public safety organizations, telecommunications carriers, and 
telecommunications equipment manufacturers and vendors involved in the 
implementation of E-911 services'' and ``create an E-911 Implementation 
Coordination Office [ICO] * * *.'' 47 U.S.C. 942(a)(1). The Act charges 
the ICO with three tasks related to E-911 grant program administration. 
Specifically, the Act requires the ICO to: (1) Advise and assist 
eligible entities in the preparation of plans required under the Act 
for the coordination and implementation of E-911 services; (2) receive 
and review grant applications and recommend approval or disapproval; 
and (3) oversee the use of grant funds in fulfilling implementation 
plans. 47 U.S.C. 942(a)(3). The agencies have centralized the grant-
related administrative functions of the ICO within NHTSA.
    The Act directs NHTSA and NTIA, acting through the ICO and after 
consultation with the Department of Homeland Security and the Federal 
Communications Commission, to provide grants to eligible entities for 
the implementation and operation of Phase II E-911 services, as defined 
by FCC regulations. 47 U.S.C. 942(b)(1). (Phase II E-911 service refers 
to providing PSAPs with the location of all 911 calls by latitude and 
longitude within 50 to 300 meters depending on the type of technology 
used. See 47 CFR 20.18.) The Act was amended by the NET 911 Improvement 
Act to permit grant funds to be used for migration to an IP-enabled 
emergency network.
    The Act directs the agencies to issue joint implementing 
regulations prescribing the criteria for selection for grant awards 
after a 60-day public comment period. 47 U.S.C. 942(b)(4). The Act 
requires an applicant to certify that it has coordinated its 
application with the public safety answering points located within the 
jurisdiction; that the State has designated a single officer or 
governmental body to serve as the coordinator of implementation of E-
911 services; that it has established a plan for the coordination and 
implementation of E-911 services; and that it has integrated 
telecommunications services involved in the implementation and delivery 
of Phase II E-911 services. 47 U.S.C. 942(b)(3).
    In addition, the Act requires each applicant to certify that no 
portion of any designated E-911 charges imposed by the State or other 
taxing jurisdiction within the State is being or will be obligated or 
expended for any purpose other than E-911 purposes during the period at 
least 180 days immediately preceding the date of the application and 
continuing throughout the time grant funds are available to the 
applicant. 47 U.S.C. 942(c). The Act imposes a penalty for providing 
false information on a certification. Specifically, an applicant 
providing false information on a certification will not be eligible to 
receive an E-911 grant, must return any grant awarded during the time 
that the certification is not valid, and is ineligible to receive 
subsequent E-911 grants. 47 U.S.C. 942(c)(4).

III. Proposed Regulations

    As directed by the ENHANCE 911 Act, today's notice sets forth 
application, award and administrative procedures to implement the E-911 
grant program.

A. Definitions (47 CFR 400.2)

    Generally, terms used in this part are terms defined by the ENHANCE 
911 Act. The NET 911 Improvement Act, which amended the ENHANCE 911 Act 
to allow grant funds to be used for migration to an ``IP-enabled 
emergency network,'' does not define that term. IP, or Internet 
Protocol, is one method or protocol by which data is sent from one 
computer to another. See RFC 791, ``Internet Protocol, DARPA Internet 
Program Protocol Specification'' (Sept. 1981), available at http://
rfc.net/rfc0791.html; see also STD 5 ``Internet Protocol, DARPA 
Internet Program Protocol Specification'' (Sept. 1981), available at 
http://rfc.net/std0005.html. Because the agencies believe that such 
emergency communications should be transmitted securely, the agencies 
propose defining ``IP-enabled emergency network'' as an emergency 
communications network based on an infrastructure allowing secured 
transmission of data among computers that use the Internet Protocol.

B. Who May Apply (47 CFR 400.3)

    The ENHANCE 911 Act directs NHTSA and NTIA to make grants to 
``eligible entities'' for the implementation and operation of Phase II 
E-911 services. 47 U.S.C. 942(b)(1). The Act defines an eligible entity 
as ``a State or local government or a tribal organization'' and 
includes ``public authorities, boards, commissions, and similar bodies 
created by [a State or local government or a tribal organization] to 
provide E-911 services.'' 47 U.S.C. 942(f)(3)(A), (B). Based on this 
broad statutory definition, the agencies estimate that such entities 
number in the thousands. To minimize administrative costs and to 
streamline the grant process, the agencies propose to permit only 
States to apply for grant funds on behalf of all eligible entities 
located within their borders. We believe that this limitation on the 
number and identity of applicants is also necessary to properly address 
the certification requirements under the Act, as States are the only 
eligible entities capable of certifying that their E-911 charges were 
not diverted to other uses and capable of designating a single officer 
or governmental body to serve as the coordinator of implementation of 
E-911 services. For purposes of this program, a State includes any of 
the 50 United States, the District of Columbia, Puerto Rico, American 
Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands.
    The agencies also believe that the amount of available grant funds 
supports limiting the applicant pool to States. While the Act 
authorizes a five-year grant program totaling $1.25 billion ($250 
million per year), the amount appropriated, on a one-time basis, was 
only $43.5 million. The agencies believe that $43.5 million would not 
have a meaningful impact on E-911 services if the funds were divided 
into small grants among a large number of grantees. Therefore, we 
believe that limiting the applicant pool is necessary to ensure that 
benefits are realized, and that States are best positioned to make wise 
resource deployment decisions within their borders.
    The agencies propose to require assurances from States in their 
applications to ensure adequate participation by local governments, 
tribal organizations, and PSAPs, consistent with the Act. Specifically, 
the State would be required to coordinate its application with PSAPs 
and to ensure that 90 percent of the grant funds would be used for the 
direct benefit of PSAPs. In addition, consistent with the statute, the 
proposed regulation would require States to identify the amount 
designated for the benefit of PSAPs without the capability to receive 
911 calls or provide an explanation as to why such designation is not 
practicable.

C. Application Requirements (47 CFR 400.4)

    The proposed rule outlines the requirements for States to apply for 
a grant under this program. In order to qualify to receive an E-911 
grant, the agencies propose that States must submit an application 
containing the following components: a State 911 plan, a project 
budget, a supplementary

[[Page 57570]]

project budget, designation of the State E-911 Coordinator, and a 
certification of compliance with statutory and programmatic 
requirements. These components are consistent with the application 
requirements of the Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments. See 49 CFR 
18.10; Office of Management and Budget (OMB) Circular A-102.
1. State 911 Plan (47 CFR 400.4(a)(1))
    The ENHANCE 911 Act requires applicants to certify that they have 
established a plan for the coordination and implementation of E-911 
services. The agencies propose that States would submit a State 911 
Plan as part of their application for a grant. As further detailed 
below, the minimum components of a State 911 plan would incorporate the 
statutory provisions related to coordination with PSAPs within the 
State's jurisdiction, giving priority to communities without 911 
capability, and the involvement of integrated telecommunications 
service providers in the implementation and delivery of Phase II E-911 
services or in the migration to an IP-enabled emergency network. In 
addition, a State 911 Plan would be required to provide details about 
how the State intends to employ technology to achieve compliance with 
the FCC description of Phase II E-911 services and/or how it intends to 
migrate to an IP-enabled emergency network.
    The Act requires applicants to coordinate their applications with 
PSAPs within their jurisdiction. To address this requirement, the 
agencies propose that States would detail in the State 911 Plan the 
steps they have taken to coordinate their applications with local 
governments, tribal organizations, and PSAPs within their borders. We 
believe that requiring States to coordinate their applications with 
these entities will ensure that the State 911 Plan takes into account 
the needs of these stakeholders. To ensure that grant funds are used 
predominantly where their impact is most significant--in the 
communities--the agencies propose requiring States to demonstrate in 
the State 911 Plan that at least 90 percent of the grant funds will be 
used for the direct benefit of PSAPs.
    The Act directs the agencies to allow a portion of the E-911 grant 
funds to be used to give priority to PSAPs that were not capable of 
receiving 911 as of August 3, 2007. 47 U.S.C. 942(b)(4). To effectuate 
this provision, the agencies propose that States would identify in 
their application the percentage of grant funds that will be designated 
for those communities. The agencies are stopping short of proposing 
this as an absolute requirement, however. Based on the amount of grant 
funds available, we recognize that such a designation may not always be 
practicable for efficient use of the limited funds. Therefore, if the 
State chooses not to so designate a portion of the funds, the State 
would be required to provide an explanation. The agencies believe that 
the States are best situated to make these difficult resource 
decisions.
    The proposed regulation also would require that the State 911 plan 
describe how the State has integrated telecommunications service 
providers involved in the implementation and delivery of Phase II E-911 
services and in the migration to an IP-enabled emergency network. 47 
U.S.C. 942(b)(3)(A)(iv). The term ``integrated telecommunications 
service providers'' refers to local exchange carriers, wireless 
carriers and Internet Protocol (IP)-enabled voice service providers. It 
is necessary to detail how integrated telecommunications service 
providers are involved in the State 911 Plan because they provide 
essential network functions for consumer delivery of E-911 services.
    The agencies also propose that States describe in the State 911 
Plan how they plan to use technology to allow a PSAP to meet the 
functionality required by the FCC's description of Phase II E-911 
services or to migrate to an IP-enabled emergency network. Such an 
approach is consistent with the Act's citation to 47 CFR 20.18 of the 
FCC's regulations for the meaning of Phase II E-911 services. 47 U.S.C. 
942(f)(5). According to 47 CFR 20.18, Phase II E-911 services are 
described as location information of all 911 calls by longitude and 
latitude with a specific degree of accuracy. For States interested in 
using grant funds to migrate to an IP-enabled emergency network, the 
agencies propose that States provide details about how the State 
intends to employ technology toward that end.
    Finally, because the level of Phase II E-911 services and IP-
enabled emergency networks differs significantly from State to State, 
the agencies propose that States establish performance metrics and 
timelines for grant project implementation, subject to the ICO's review 
and the agencies' approval.
2. Project Budget (47 CFR 400.4(a)(2); Appendix A)
    The agencies propose that a State would submit a project budget for 
the projects and activities that it seeks to fund with E-911 grant 
funds and the required State matching funds. See 49 CFR 18.10; OMB 
Circular A-102. Elsewhere in this notice, the agencies propose to 
distribute grant funds based on a formula. See discussion under Section 
III.E., below. Based on that proposed formula, we have identified in an 
appendix to this part the minimum award each State would receive if all 
States qualified for a grant. A State's project budget would need to 
account for all funds (those identified in Appendix A for the State and 
State matching funds) in describing the projects or activities for 
which it seeks funding, and describe the non-Federal sources that will 
fund 50 percent of the cost. The non-Federal sources must be consistent 
with the requirements set out in the matching provision of 49 CFR part 
18, DOT's implementation of the government-wide common grant rule for 
State and local governments. As provided in 48 U.S.C. 1469a, the 
requirement for non-Federal matching funds under $200,000 (including 
in-kind contributions) is waived for the Territorial governments in 
American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin 
Islands.
3. Supplemental Project Budget (47 CFR 400.4(a)(3))
    It is possible that some States may choose not to apply or may not 
qualify for an E-911 grant because they are unable to make the required 
certifications. To address these contingencies, the agencies propose to 
distribute all remaining available funds to the pool of qualifying 
grant recipients, in accordance with the same formula used for the 
initial distribution. See discussion under Section III.E., below. In 
order to expedite the award of these grant funds, the agencies propose 
that States would include a supplemental project budget in anticipation 
of the potential availability of additional grant funds. Specifically, 
the agencies propose that States identify in their supplemental project 
budget the maximum amount that the State would be able to match from 
non-Federal sources and include proposed projects or activities for 
those grant and matching funds, up to the same total amount and to the 
same level of detail as required for the project budget under proposed 
Sec.  400.4(a)(2). The agencies propose that the supplemental project 
budget meet the same requirements identified for the project budget in 
Sec.  400.4(a)(2) and be consistent with the State 911 Plan in Sec.  
400.4(a)(1).

[[Page 57571]]

4. Designated E-911 Coordinator (47 CFR 400.4(a)(4); Appendix B; 
Appendix C)
    The Act requires States to designate a single officer or 
governmental body to serve as the coordinator of implementation of E-
911 services. 47 U.S.C. 942(b)(3)(A)(ii). To implement this provision, 
the agencies propose that this officer or governmental body would be 
designated by the Governor, and that the State would document the 
designation of the E-911 Coordinator by the Governor through the use of 
a certification. See discussion under the next heading. We are 
identifying the E-911 Coordinator as the proposed certifying official 
on the certifications. In the event that a governmental body is 
designated as the State's E-911 Coordinator, the agencies propose that 
States affirmatively identify an official representative of the 
governmental body to serve as the certifying official on the 
certifications. The agencies also propose that the State notify NHTSA 
in writing within 30 days of a change in appointment of the E-911 
Coordinator. The E-911 Coordinator would act as the liaison between the 
agencies and the State.
5. Certifications (47 CFR 400.4(a)(5); Appendix B; Appendix C)
    The Act requires applicants to certify that they meet certain 
conditions to qualify for a grant. An applicant must certify that it 
has: (1) Coordinated its application with the PSAPs located within the 
jurisdiction; (2) designated a single officer or government body to 
serve as the E-911 Coordinator; (3) established a plan for the 
coordination and implementation of E-911 services; and (4) integrated 
telecommunications involved in the implementation and delivery of Phase 
II E-911 services. 47 U.S.C. 942(b)(3). The Act also requires that 
applicants certify at the time of application and annually thereafter 
that no portion of any designated E-911 charges imposed by the State or 
other taxing jurisdiction within the State is being diverted for any 
other purpose during the period at least 180 days before the 
application date and continuing throughout the period of time for which 
grant funds are available. 47 U.S.C. 942(c). To meet these statutory 
requirements, the agencies propose that States submit a certification 
as part of their application. To meet the statutory requirement for 
annual certification concerning the diversion of funds, the agencies 
propose that States submit an annual certification 30 days after the 
end of each fiscal year. (In this annual certification, States would 
also certify that they have appointed a single officer or governmental 
body as the E-911 Coordinator.)
    The agencies also propose that States would certify that they have 
coordinated their application with local governments, tribal 
organizations, and PSAPs, and certify that at least 90 percent of the 
grant funds will be used for the direct benefit of PSAPs. While these 
certifications go beyond those required by the statute, we believe they 
will help to ensure that the intent and purposes of the Act are met. 
Finally, as discussed under the previous heading, the agencies propose 
that States would certify that the Governor has appointed a single 
officer or governmental body to serve as the E-911 Coordinator. The 
agencies have set forth the proposed certifications in appendices to 
the NPRM.
6. Due Date (47 CFR 400.4(b))
    The agencies' proposal establishes an application due date of 60 
days after publication of the final rule in the Federal Register. This 
proposed date balances the need to provide the States appropriate time 
to prepare proposals with the agencies' need for review time prior to 
award, taking into account that awards must be made by September 30, 
2009.

D. Approval and Award (47 CFR 400.5)

    The Act established the ICO to receive, review and recommend the 
approval or disapproval of applications for grants. 47 U.S.C. 
942(a)(3)(D). The agencies' proposal incorporates this statutory 
requirement, and would allow the ICO, upon review of a State's 
application, to request additional information from the State prior to 
making a determination of award in order to clarify compliance with the 
statutory and programmatic requirements. As provided by statute, the 
Administrator of NHTSA and the Assistant Secretary for Communications 
and Information of the Department of Commerce will jointly approve and 
announce grant award recipients. The proposal specifies that this 
approval will be in writing.

E. Distribution of Grant Funds (47 CFR 400.6; Appendix A)

    The ENHANCE 911 Act does not specify how the grants are to be 
awarded. In order to distribute grant funds on an equitable and 
administratively expedient basis for this one-time grant program, the 
agencies propose to distribute grants to States in accordance with a 
formula. Specifically, the agencies propose to distribute grant funds 
as follows: (1) 50 percent in the ratio which the population of each 
State bears to the total population of all the States, as shown by the 
latest available Federal census, and (2) 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.
    However, we believe that a strict application of the formula would 
result in many jurisdictions receiving too few funds to make any 
meaningful progress in deploying Phase II technologies or migrating to 
an IP-based emergency network. Accordingly, the agencies propose to 
modify the formula to distribute a minimum of $500,000 to each State, 
except that the four territories--American Samoa, Guam, the Northern 
Mariana Islands, and the Virgin Islands--would each receive a minimum 
of $250,000. The agencies believe that a lower minimum amount for these 
four territories is equitable and appropriate due to their vastly lower 
populations and road miles. The agencies have applied the formula to 
the total grant funds available ($41,325,000, after deduction of the 
five percent for administering the grant program) and calculated the 
minimum amounts that each State would receive if all States applied for 
and qualified for a grant award. See Appendix A to this part.
    As discussed under Section III.C.3, it is possible that some States 
may not apply for grant funds or may not qualify for grant funds 
because they cannot make the required certifications. To address this 
possibility, the agencies propose to redistribute any remaining grant 
funds to those States that have qualified for grant funds and have 
submitted supplemental project budgets as described in proposed Sec.  
400.4(a)(3). The agencies propose to distribute these funds in 
accordance with the same formula discussed above.

F. Eligible Uses for Grant Funds (47 CFR 400.7)

    The ENHANCE 911 Act provides that the grants are intended for the 
implementation and operation of Phase II E-911 services or for 
migration to an IP-enabled emergency network. To implement this 
requirement, the agencies propose that grant funds and matching funds 
be used either for the acquisition and deployment of hardware and 
software that enables compliance with Phase II E-911 services or that 
enables migration to an IP-enabled emergency network, or for training 
in the use of such hardware and software. The agencies believe that 
limiting grant funds to these identified uses will maximize progress 
toward

[[Page 57572]]

implementing Phase II E-911 services and IP-enabled 911 services, and 
would best effectuate the purposes of the Act.

G. Non-Compliance (47 CFR 400.8)

    The Act requires that grant funds be returned to the government if 
a State makes a false certification concerning the diversion of E-911 
charges. 47 U.S.C. 942(c)(4). The proposal incorporates this statutory 
requirement.

H. Financial and Administrative Requirements (47 CFR 400.9)

    The agencies' proposal specifies that the requirements of 49 CFR 
part 18, DOT's implementation of the government-wide common grant rule 
for State and local governments, including applicable cost principles 
in circulars of the Office of Management and Budget, will apply to E-
911 grants. In addition, the agencies propose that grant recipients 
submit annual performance reports and quarterly financial reports, 
following the procedures of 49 CFR 18.40 and 18.41, respectively.

I. Closeout (47 CFR 400.10)

    The Act provides that enhanced 911 is a national priority. To 
effectuate the Act's intent, the agencies believe that the States 
should use grant funds in an expeditious manner to implement E-911 
services in their communities. According to industry estimates, 
upgrading the average PSAP takes approximately three years. 
Accordingly, the agencies propose that the total duration of the grant 
program be three years. The agencies also propose that grant recipients 
submit a final voucher for costs incurred within 90 days after the 
completion of projects and activities funded under this part, but in no 
event later than three years after grant award. Finally, the proposal 
specifies that the final reporting requirements of 49 CFR 18.50 would 
apply to E-911 grants, and that any funds remaining unexpended at the 
end of fiscal year 2012 will no longer be available to the State and 
must be returned to the government.

IV. Public Participation

A. How do I prepare and submit comments?

    Your comments must be written and in English. To ensure that your 
comments are correctly filed in the Docket, please include the docket 
number of this document in your comments.
    Your primary comments must not be more than 15 pages long. 49 CFR 
553.21. However, you may attach additional documents to your primary 
comments. There is no limit on the length of the attachments.
    Please submit two copies of your comments, including the 
attachments, to Docket Management at the address given above under 
ADDRESSES.
    Comments may also be submitted to the docket electronically on the 
Federal eRulemaking Portal at http://www.regulations.gov. Follow the 
online instructions for submitting comments.

B. How can I be sure my comments were received?

    If you wish Docket Management to notify you upon its receipt of 
your comments, enclose a self-addressed, stamped postcard in the 
envelope containing your comments. Upon receiving your comments, Docket 
Management will return the postcard by mail.

C. Will the agencies consider late comments?

    We will consider all comments that Docket Management receives 
before the close of business on the comment closing date indicated 
above under DATES. To the extent possible, we will also consider 
comments that Docket Management receives after that date.

D. How can I read the comments submitted by other people?

    You may read the comments received by the Docket Management at the 
address given under ADDRESSES. The hours of the Docket are indicated 
above in the same location. To read the comments on the Internet, go to 
http://www.regulations.gov. Follow the online instructions for 
accessing the docket.
    Please note that even after the comment closing date, we will 
continue to file relevant information on the docket as it becomes 
available. Further, some people may submit late comments. Accordingly, 
we recommend that you periodically check the docket for new material.

V. Statutory Basis for This Action

    The agencies' proposal would implement the grant program created by 
section 104 of the ENHANCE 911 Act of 2004, as amended (Pub. L. 108-
494, codified at 47 U.S.C. 942), which requires the Administrator and 
the Assistant Secretary to issue joint implementing regulations 
prescribing the criteria for grant awards.

VI. Regulatory Analyses and Notices

A. Executive Order 12866 and Regulatory Policies and Procedures

    Executive Order 12866, ``Regulatory Planning and Review,'' provides 
for making determinations whether a regulatory action is 
``significant'' and therefore subject to OMB review and to the 
requirements of the Executive Order. 58 FR 51735, Oct. 4, 1993. The 
Order defines a ``significant regulatory action'' as one that is likely 
to result in a rule that may:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or State, local, or Tribal governments or 
communities;
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs or the rights and obligations of recipients 
thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
the Executive Order.

This rulemaking document was not reviewed by the Office of Management 
and Budget under Executive Order 12866. The rulemaking action is not 
considered to be significant within the meaning of Executive Order 
12866 or the agencies' regulatory policies and procedures.
    The agencies' proposal would not affect amounts over the 
significance threshold of $100 million each year. The proposal sets 
forth application procedures and showings to be made to be eligible for 
a grant. The funds to be distributed under the procedures developed in 
the proposal total $43.5 million, well below the annual threshold of 
$100 million. The agencies' proposal would not adversely affect in a 
material way the economy, a sector of the economy, productivity, 
competition, jobs, the environment, public health or safety, or State, 
local, or Tribal governments or communities. The agencies' proposal 
would not create an inconsistency or interfere with any actions taken 
or planned by other agencies. The agencies' proposal would not 
materially alter the budgetary impact of entitlements, grants, user 
fees, or loan programs or the rights and obligations of recipients 
thereof. Finally, the agencies' proposal would not raise novel legal or 
policy issues arising out of legal mandates, the President's 
priorities, or the principles set forth in the Executive Order.
    In consideration of the foregoing, the agencies have determined 
that if it is made final, this rulemaking action would not be 
economically significant. The impacts of the rule would be so minimal 
that a full regulatory evaluation is not required.

[[Page 57573]]

B. Regulatory Flexibility Act

    Pursuant to the Regulatory Flexibility Act, whenever an agency 
publishes a notice of rulemaking for any proposed or final rule, it 
must prepare and make available for public comment a regulatory 
flexibility analysis that describes the effect of the rule on small 
entities (i.e., small businesses, small organizations, and small 
governmental jurisdictions). 5 U.S.C. 601 et seq. The Small Business 
Administration's regulations at 13 CFR part 121 define a small 
business, in part, as a business entity ``which operates primarily 
within the United States.'' 13 CFR 121.105(a). No regulatory 
flexibility analysis is required if the head of an agency certifies the 
rulemaking action would not have a significant economic impact on a 
substantial number of small entities. SBREFA amended the Regulatory 
Flexibility Act to require Federal agencies to provide a statement of 
the factual basis for certifying that an action would not have a 
significant economic impact on a substantial number of small entities.
    NHTSA and NTIA have considered the effects of this proposal under 
the Regulatory Flexibility Act. States are the recipients of funds 
awarded under the section 2010 program and they are not considered to 
be small entities under the Regulatory Flexibility Act. Therefore, we 
certify that this notice of proposed rulemaking would not have a 
significant economic impact on a substantial number of small entities.

C. Executive Order 13132 (Federalism)

    Executive Order 13132, ``Federalism,'' requires NHTSA and NTIA to 
develop an accountable process to ensure ``meaningful and timely input 
by State and local officials in the development of regulatory policies 
that have federalism implications.'' 64 FR 43255, Aug. 10, 1999. 
``Policies that have federalism implications'' are defined in the 
Executive Order to include regulations that have ``substantial direct 
effects on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government.'' Under 
Executive Order 13132, an agency may not issue a regulation with 
Federalism implications that imposes substantial direct compliance 
costs and that is not required by statute unless the Federal government 
provides the funds necessary to pay the direct compliance costs 
incurred by State and local governments or the agency consults with 
State and local governments in the process of developing the proposed 
regulation. An agency also may not issue a regulation with Federalism 
implications that preempts a State law without consulting with State 
and local officials.
    The agencies have analyzed this rulemaking action in accordance 
with the principles and criteria set forth in Executive Order 13132, 
and have determined that this proposed rule would not have Federalism 
implications as defined in the order.

D. Executive Order 12988 (Civil Justice Reform)

    Pursuant to Executive Order 12988, ``Civil Justice Reform,'' the 
agencies have considered whether this rulemaking would have any 
retroactive effect. 61 FR 4729, Feb. 7, 1996. This rulemaking action 
would not have any retroactive effect. This action meets applicable 
standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil 
Justice Reform, to minimize litigation, eliminate ambiguity, and reduce 
burden.

E. Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995, a person is not required 
to respond to a collection of information by a Federal agency unless 
the collection displays a valid Office of Management and Budget (OMB) 
control number. This NPRM, if made final, would result in a new 
collection of information that would require OMB clearance pursuant to 
5 CFR part 1320. Before an agency submits a proposed collection of 
information to OMB for approval, it must first publish a document in 
the Federal Register providing a 60-day comment period and otherwise 
consult with members of the public and affected agencies concerning 
each proposed collection of information. OMB has promulgated 
regulations describing what must be included in such a document. Under 
OMB's regulation (at 5 CFR 1320.8(d)), an agency must ask for public 
comment on the following:
    (i) Whether the proposed collection of information is necessary for 
the proper performance of the functions of the agency, including 
whether the information will have practical utility;
    (ii) The accuracy of the agency's estimate of the burden of the 
proposed collections of information, including the validity of the 
methodology and assumptions used;
    (iii) How to enhance the quality, utility, and clarity of the 
information to be collected;
    (iv) How to minimize the burden of the collections of information 
on those who are to respond, including the use of appropriate 
automated, electronic, mechanical, or other technological collection 
techniques or other forms of information technology, e.g., permitting 
electronic submission of responses.

In compliance with these requirements, the agencies ask for public 
comments on the following proposed collections of information:
    Title: E-911 Grant Program.
    OMB Control Number: N/A
    Requested Expiration Date of Approval: Three years from the 
approval date.
    Type of Request: New collection.
    Affected Public: State Governments
    Form Number: N/A
    Abstract: 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) authorizes a joint grant program between the National Highway 
Traffic Safety Administration (NHTSA) of the U.S. Department of 
Transportation and the National Telecommunications and Information 
Administration (NTIA) of the Department of Commerce to facilitate 
coordination among all parties involved in the organization of E-911 
services.
    The Act requires an applicant to certify to several conditions in 
its application in order to qualify for a grant. Specifically, an 
applicant must certify that (1) it has coordinated its application with 
the public safety answering points (PSAP's); (2) it has designated a 
single officer or governmental body to serve as the coordinator of 
implementation of E-911 services; (3) it has established a plan for the 
coordination of and implementation of E-911 services; (4) it has 
integrated telecommunications services involved in the implementation 
of E-911 services; and (5) no portion of any designated E-911 charges 
imposed by the State or other taxing jurisdiction within the State is 
being diverted for any other purpose during the period at least 180 
days before the application date and continuing throughout the period 
of time for which grant funds are available. In addition, the Act 
requires grantees to match at least 50 percent from non-Federal 
sources.
    The information collected for this grant program is to include an 
application consisting of a State 911 Plan, project budget information 
and certifications. This information is necessary to determine whether 
a State satisfies the criteria for a grant award.
    In a Federal Register document published on March 11, 2008, NHTSA 
sought public comment on a proposed collection of information for the 
E-911

[[Page 57574]]

grant program. See 73 FR 13068. In that notice, NHTSA inadvertently 
identified HS-217 (Highway Safety Program Cost Summary) for submission 
in the application instead of SF-424 (Application for Federal 
Assistance), including SF-424a and SF-424b, which have been approved by 
OMB. The agencies intend to use the SF-424 forms as part of the 
application for the E-911 grant program. Accordingly, the agencies are 
not required to obtain OMB approval for the use of these forms.
    A State must also submit a State 911 Plan as part of its 
application. This plan must detail the projects and activities proposed 
to be funded for the implementation of Phase II E-911 services or 
migration to an IP-enabled emergency network, establish metrics and a 
time table for grant implementation, and describe the steps that the 
State has take to meet the grant criteria. It is important for the 
agencies to review each applicant's plan to confirm that the applicant 
has met certain statutory requirements--a plan for the coordination of 
and implementation of E-911 services, coordination of its application 
with PSAPs, involvement of integrated telecommunications services in 
the implementation of E-911 services, and priority funding to 
communities without 911 capability.
    Estimated Annual Burden: 2240 hours (for State 911 plans).
    Estimated Number of Respondents: 56 (50 States, District of 
Columbia, Puerto Rico, American Samoa, Guam, the Northern Mariana 
Islands, and the U.S. Virgin Islands).
    Comments are invited on: Whether the proposed collection of 
information is necessary for the proper performance of the functions of 
the agencies, including whether the information will have practical 
utility; the accuracy of the agencies' estimate of the burden of the 
proposed information collection; ways to enhance the quality, utility 
and clarity of the information to be collected; and ways to minimize 
the burden of the collection of information on respondents, including 
the use of automated collection techniques or other forms of 
information technology. Comments must refer to the docket and notice 
numbers cited at the beginning of this NPRM and be submitted to one of 
the addresses identified at the beginning of this NPRM.

F. Unfunded Mandates Reform Act

    Section 202 of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires Federal agencies to prepare a written assessment of the costs, 
benefits, and other effects of proposed or final rules that include a 
Federal mandate likely to result in the expenditure by State, local, or 
tribal governments, in the aggregate, or by the private sector, of more 
than $100 million annually. This proposed rule would not meet the 
definition of a Federal mandate because the resulting annual State 
expenditures would not exceed the $100 million threshold. The program 
is voluntary and States that choose to apply and qualify would receive 
grant funds.

G. National Environmental Policy Act

    NHTSA and NTIA 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.

H. 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. Therefore, a tribal 
summary impact statement is not required.

I. Regulatory Identifier Number (RIN)

    The Department of Transportation assigns a regulation identifier 
number (RIN) to each regulatory action listed in the Unified Agenda of 
Federal Regulations. The Regulatory Information Service Center 
publishes the Unified Agenda in April and October of each year. You may 
use the RIN contained in the heading at the beginning of this document 
to find this action in the Unified Agenda.

J. Privacy Act

    Please note that anyone is able to search the electronic form of 
all comments received into any of our dockets by the name of the 
individual submitting the comment (or signing the comment, if submitted 
on behalf of an association, business, labor union, etc.). You may 
review DOT's complete Privacy Act Statement in the Federal Register. 65 
FR 19477, Apr. 11, 2000.

List of Subjects in 47 CFR Part 400

    Grant programs, Telecommunications, Emergency response capabilities 
(911).

    In consideration of the foregoing, the National Highway Traffic 
Safety Administration, Department of Transportation, and the National 
Telecommunications and Information Administration, Department of 
Commerce propose to establish a new Chapter IV consisting of Part 400 
in Title 47 of the Code of Federal Regulations to read as follows:

CHAPTER IV--NATIONAL TELECOMMUNICATIONS AND INFORMATION ADMINISTRATION, 
DEPARTMENT OF COMMERCE, AND NATIONAL HIGHWAY TRAFFIC SAFETY 
ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

PART 400--E-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 Non-compliance.
400.9 Financial and administrative requirements.
400.10 Closeout.
Appendix A to Part 400: Minimum Grant Awards Available to Qualifying 
States
Appendix B to Part 400: Certification for E-911 Grant Applicants
Appendix C to Part 400: Annual Certification for E-911 Grant 
Recipients

    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.


Sec.  400.2  Definitions.

    As used in this part--
    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 E-911 charges mean any taxes, fees, or other charges 
imposed by a State or other taxing jurisdiction that are designated or 
presented as dedicated to deliver or improve E-911 services.
    E-911 Coordinator means a single officer or governmental body of 
the State that is responsible for implementing E-911 services in the 
State.
    E-911 services mean both phase I and phase II enhanced 911 
services, as described in 47 CFR 20.18.
    Eligible entity means a State or local government or tribal 
organization,

[[Page 57575]]

including public authorities, boards, commissions, and similar bodies 
created by such governmental entities to provided E-911 services.
    ICO means the National E-911 Implementation Coordination Office 
established under 47 U.S.C. 942 for the administration of the E-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.
    IP-enabled emergency network means an emergency communications 
network based on an infrastructure allowing secured transmission of 
data among computers that use the Internet Protocol.
    Phase II E-911 services mean phase II enhanced 911 services, as 
described in47 CFR 20.18.
    PSAP means a public safety answering point, a facility that has 
been designated to receive emergency calls and route them to emergency 
personnel.
    State includes any State of the United States, the District of 
Columbia, Puerto Rico, American Samoa, Guam, the Northern Mariana 
Islands, and the U.S. Virgin Islands.


Sec.  400.3  Who may apply.

    In order to apply for a grant under this part, an applicant must be 
a State applying on behalf of all eligible entities within its 
jurisdiction.


Sec.  400.4  Application requirements.

    (a) Contents. A State's application for funds for the E-911 grant 
program must consist of the following components:
    (1) State 911 Plan. A plan that details the projects and activities 
proposed to be funded for the implementation and operation of Phase II 
E-911 services or migration to an IP-enabled emergency network, 
establishes metrics and a time table for grant implementation, and 
describes the steps the State has taken to--
    (i) Coordinate its application with local governments, tribal 
organizations, and PSAPs within the State;
    (ii) Ensure that at least 90 percent of the grant funds will be 
used for the direct benefit of PSAPs;
    (iii) Give priority to communities without 911 capability as of 
August 3, 2007 to establish Phase II coverage by identifying the 
percentage of grant funds designated for those communities or providing 
an explanation why such designation would not be practicable in 
successfully accomplishing the purposes of the grant;
    (iv) Involve integrated telecommunications services in the 
implementation and delivery of Phase II E-911 services or in the 
migration to an IP-enabled emergency network; and
    (v) Employ the use of technologies to achieve compliance with Phase 
II E-911 services or for migration to an IP-enabled emergency network.
    (2) Project budget. A project budget for all proposed projects and 
activities to be funded by the grant funds identified for the State in 
Appendix A to this part and matching funds. Specifically, for each 
project or activity, the State 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 
of49 CFR 18.24, that will fund at least 50 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. To be eligible for 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 49 CFR 18.24, 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 E-911 Coordinator. The identification of a single 
officer or government body appointed by the Governor of the State to 
serve as the E-911 Coordinator of implementation of E-911 services and 
to sign the certifications required under this part. If the Governor 
appoints a governmental body to serve as the E-911 Coordinator, an 
official representative of the governmental body shall be identified to 
sign the certifications for the E-911 Coordinator. The State must 
notify NHTSA in writing within 30 days of any change in appointment of 
the E-911 Coordinator.
    (5) Certifications.
    (i) The certification in Appendix B to this part, signed by the E-
911 Coordinator, certifying that the State has complied with the 
required statutory and programmatic conditions in submitting its 
application, including that the State and all other taxing 
jurisdictions within the State have not, during the time period 180 
days preceding the application date, diverted any portion of designated 
E-911 charges imposed by the State or any other taxing jurisdiction 
within the State to any purpose other than the purposes for which such 
charges are designated, and will not do so throughout the time period 
during which grant funds are available.
    (ii) Submitted on an annual basis 30 days after the end of each 
fiscal year during which grant funds are available, the certification 
in Appendix C to this part, signed by the E-911 Coordinator, making the 
same certification as required under paragraph (a)(5)(i) of this 
section concerning the diversion of designated E-911 charges.
    (b) Due date. The State must submit the application documents 
identified in this section so that they are received by the ICO no 
later than 60 days after publication of the Final Rule in the Federal 
Register. Failure to meet this deadline will preclude the State from 
receiving consideration for an E-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 State, with 
respect to any of the application submission requirements of Sec.  
400.4, prior to making a determination of award.
    (c) The Administrator and Assistant Secretary will jointly approve 
and announce, in writing, grant awards to qualifying States no later 
than September 30, 2009.


Sec.  400.6  Distribution of grant funds.

    (a) Initial distribution. Subject to paragraph (b) of this section, 
grant funds for each State that meets the requirements in Sec.  400.4 
will be distributed--
    (1) 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
    (2) 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.
    (b) Minimum distribution. The distribution to each qualifying State 
under paragraph (a) of this section shall not be less than $500,000, 
except that the distribution to American Samoa, Guam, the Northern 
Mariana Islands,

[[Page 57576]]

and the U.S. Virgin Islands shall not be less than $250,000.
    (c) Supplemental distribution. Grant funds that are not distributed 
under paragraph (a) of this section will be redistributed among 
qualifying States that have met the requirements of Sec.  400.4, 
including the submission of a supplemental project budget as provided 
Sec.  400.4(a)(3), in accordance with the formula in paragraph (a) of 
this section.


Sec.  400.7  Eligible uses for grant funds.

    Grant funds awarded under this part may be used only for the 
acquisition and deployment of hardware and software that enables the 
implementation and operation of Phase II E-911 services, for the 
acquisition and deployment of hardware and software to enable the 
migration to an IP-enabled emergency network, or for the training in 
the use of such hardware and software, provided such uses have been 
identified in the State 911 Plan.


Sec.  400.8  Non-compliance.

    In accordance with 49 U.S.C. 942(c), where a State provides false 
or inaccurate information in its certification related to the diversion 
of E-911 charges, the State shall be required to return all grant funds 
awarded under this part.


Sec.  400.9  Financial and administrative requirements.

    (a) General. The requirements of 49 CFR part 18, the Uniform 
Administrative Requirements for Grants and Cooperative Agreements to 
State and Local Governments, including applicable cost principles 
referenced at 49 CFR 18.22, 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 49 CFR 
18.40, within 90 days after each fiscal year that grant funds are 
available, except when a final report is required under Sec.  
400.10(b)(ii).
    (2) Financial reports. Each grant recipient shall submit quarterly 
financial reports to NHTSA, following the procedures of 49 CFR 18.41, 
within 30 days after each fiscal quarter that grant funds are 
available, except when a final voucher is required under Sec.  
400.10(b)(i).


Sec.  400.10  Closeout

    (a) Expiration of the right to incur costs. The right to incur 
costs under this part expires on September 30, 2012. The State and its 
subgrantees 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--
    (i) A final voucher for the costs incurred. The final voucher 
constitutes the final financial reconciliation for the grant award.
    (ii) A final report to NHTSA, following the procedures of 49 CFR 
18.50(b).
    (c) Disposition of unexpended balances. Any funds that remain 
unexpended by the end of fiscal year 2012 shall cease to be available 
to the State and shall be returned to the government.

Appendix A to Part 400

           Minimum Grant Awards Available to Qualifying States
------------------------------------------------------------------------
                                                          Minimum E-911
                      State name                           grant award
------------------------------------------------------------------------
Alabama...............................................       $686,230.25
Alaska................................................        500,000.00
American Samoa........................................        250,000.00
Arizona...............................................        627,067.26
Arkansas..............................................        594,060.05
California............................................      2,841,352.77
Colorado..............................................        662,637.98
Connecticut...........................................        500,000.00
Delaware..............................................        500,000.00
District of Columbia..................................        500,000.00
Florida...............................................      1,579,728.30
Georgia...............................................      1,063,089.13
Guam..................................................        250,000.00
Hawaii................................................        500,000.00
Idaho.................................................        500,000.00
Illinois..............................................      1,343,670.10
Indiana...............................................        783,700.36
Iowa..................................................        668,545.47
Kansas................................................        770,896.23
Kentucky..............................................        584,385.38
Louisiana.............................................        511,974.11
Maine.................................................        500,000.00
Maryland..............................................        500,000.00
Massachusetts.........................................        527,000.57
Michigan..............................................      1,108,704.89
Minnesota.............................................        874,841.32
Mississippi...........................................        500,000.00
Missouri..............................................        891,711.03
Montana...............................................        500,000.00
Northern Mariana Islands..............................        250,000.00
Nebraska..............................................        508,655.45
Nevada................................................        500,000.00
New Hampshire.........................................        500,000.00
New Jersey............................................        666,876.13
New Mexico............................................        500,000.00
New York..............................................      1,603,343.25
North Carolina........................................        971,280.91
North Dakota..........................................        500,000.00
Ohio..................................................      1,203,583.60
Oklahoma..............................................        700,339.78
Oregon................................................        500,000.00
Pennsylvania..........................................      1,242,455.97
Puerto Rico...........................................        500,000.00
Rhode Island..........................................        500,000.00
South Carolina........................................        541,705.79
South Dakota..........................................        500,000.00
Tennessee.............................................        751,822.46
Texas.................................................      2,702,727.44
Utah..................................................        500,000.00
Vermont...............................................        500,000.00
Virgin Islands........................................        250,000.00
Virginia..............................................        758,028.12
Washington............................................        734,176.40
West Virginia.........................................        500,000.00
Wisconsin.............................................        820,409.48
Wyoming...............................................        500,000.00
                                                       -----------------
    Total Available E-911 Grant Funds.................     41,325,000.00
------------------------------------------------------------------------

BILLING CODE 4910-59-P

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    Issued on: September 29, 2008.
David Kelly,
Acting Administrator, National Highway Traffic Safety Administration.
Meredith Attwell Baker,
Acting Assistant Secretary for Communications and Information.
 [FR Doc. E8-23266 Filed 10-2-08; 8:45 am]

BILLING CODE 4910-59-C
