2018-NTIA-SAPP-01 NOFO.pdf

SAPP Notice of Funding Opportunity 1

NOTICE OF FUNDING OPPORTUNITY

STATE ALTERNATIVE PLAN PROGRAM

A. SUMMARY INFORMATION

A.1. Federal Awarding Agency

National Telecommunications and Information Administration (NTIA), United States (U.S.)

Department of Commerce (DOC)

A.2. Program Title

State Alternative Plan Program (SAPP)

A.3. Announcement Type

Initial

A.4 Funding Opportunity Number

2018-NTIA-SAPP-01

A.5. Catalog of Federal Domestic Assistance (CFDA) Number(s)

11.019: State Alternative Plan Program

A.6. Key Dates All grant applications must be submitted electronically through www.grants.gov.

Applications are due no later than 90 calendar days after an “opt-out State” receives formal approval of its alternative State plan from the Federal Communications Commission (FCC).

NTIA will accept “opt-out State” grant applications on an ongoing basis after the FCC’s approval date, and continue to monitor submissions in Grants.gov to ensure adherence to this 90-calendar day application window. See Section B.4 in the Full Announcement Text of this Notice of Funding Opportunity (NOFO) for detailed information concerning submission dates and instructions for submitting an application.

A.7. Key Application Requirements

1) All Applicants are required to have a current registration in the System for Award

Management (SAM.gov);

2) The free annual registration process in SAM.gov (see B.4.b.) generally takes between three and five business days, but may take more than two weeks, so applicants should plan accordingly;

3) Applicants are required to have a current registration in Grants.gov; and

4) Applicants will receive a series of e-mail messages from Grants.gov over a period of up to two business days before learning whether a federal agency’s electronic system has received its application. Please note that a federal assistance award cannot be issued if the designated recipient’s registration in SAM.gov is not current at the time of the award.

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A.8. Funding Opportunity Description The Middle Class Tax Relief and Job Creation Act of 2012 (Pub. L. No. 112-96, Title VI, 126 Stat. 256 (codified at 47 U.S.C. 1401 et seq.)) (Act) established the First Responder Network Authority (FirstNet) as an independent authority within NTIA. The Act also describes FirstNet’s duty and responsibility to ensure the deployment and operation of a nationwide public safety broadband network (NPSBN). The NPSBN will, by law, initially consist of a core network, operated by FirstNet, and radio access networks (RAN) in each State that link to the core to ensure that a single, nationwide network architecture is available to deliver broadband services to public safety personnel and entities in each State, Territory, and the District of Columbia.

The Act further assigns to NTIA the obligation to determine whether a State, if it seeks the authority to deploy the RAN within its borders, will be able to seamlessly interoperate with the NPSBN, and be financially and technically sustainable. An applicant must apply for authority to enter into a Spectrum Manager Lease Agreement (SMLA) with FirstNet (Lease Authority), and may apply for optional grant funds to assist in the construction of its RAN (RAN Construction Funds). This NOFO addresses both the mandatory grant of the right to enter into an SMLA with FirstNet and the optional RAN Construction Funds grant under NTIA’s grant program.

A.9. Funding Instrument

Grant

A.10. Eligibility States, Territories, and the District of Columbia, hereafter collectively referred to as States, that wish to construct, operate, maintain, and improve a radio access network in their State (“opt-out States”), and that have received approval from the FCC for their alternative State plan in accordance with the Act.

A.11. Cost Sharing/Matching

SAPP does not require cost sharing or matching.

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Table of Contents

A. SUMMARY INFORMATION

A.1. Federal Awarding Agency A.2. Program Title A.3. Announcement Type A.4 Funding Opportunity Number A.5. Catalog of Federal Domestic Assistance (CFDA) Number(s) A.6. Key Dates A.7. Key Application Requirements A.8. Funding Opportunity Description A.9. Funding Instrument A.10. Eligibility A.11. Cost Sharing/Matching

B. FULL ANNOUNCEMENT TEXT

B.1. Program Description B.2. Federal Award Information B.3. Eligibility Information B.4. Application and Submission Information B.5. Application Review Information B.6. Evaluation and Scoring of Application B.7. Review and Selection Process B.8. Federal Awarding Agency Review of Risk Posed by Applicants B.9. Anticipated Announcement and Award Dates B.10. Federal Award Administration Information B.11. Administrative and National Policy Requirements B.12. Reporting B.13. Federal Awarding Agency Contact(s) B.14. Other Information A. Appendix A – Responses to the July 2016 SAPP Public Notice B. Appendix B – Required Responses Checklist C. Appendix C – Sample Compliance Certification D. Appendix D - Where to Find Information to Develop the Application

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B. FULL ANNOUNCEMENT TEXT

B.1. Program Description

On February 22, 2012, Congress enacted the Middle Class Tax Relief and Job Creation Act of 2012 (Pub. L. No. 112-96, Title VI, 126 Stat. 256 (codified at 47 U.S.C. 1401 et seq.)) (Act). Congress sought to ensure that public safety entities in every State might access a nationwide public safety broadband network (NPSBN) that will provide interoperable, reliable, mission-critical grade broadband service to public safety entities. To realize this goal, the Act established the First Responder Network Authority (FirstNet), an independent authority within the National Telecommunications and Information Administration (NTIA) at the U.S. Department of Commerce (DOC).1

FirstNet must ensure the creation and long-term viability of the NPSBN, utilizing Long-Term Evolution (LTE) radio access networks (RANs) in the nation’s 56 States and Territories and a core network. The Act gives FirstNet exclusive authority to ensure the establishment of the NPSBN, but a State may seek approval to assume the responsibility to construct, maintain, operate, and improve the RAN in its State (hereafter the RAN Project). The Act makes clear that the RAN in a State, whether operated by a State or FirstNet, must provide the sustainable, high-quality, and reliable broadband service that public safety demands.

For a State to take on this responsibility, it must undertake the following sequential actions as laid out in the Act:

1) Formally reject the FirstNet State Plan for its proposed delivery of NPSBN broadband service to public safety entities in that State;

2) Develop and complete an alternative plan for a RAN Project that will meet the technical and financial requirements set forth in the Act;

3) Submit to the FCC an alternative plan showing that its RAN will comply with statutory interoperability requirements;

4) If the FCC approves the alternative plan, apply to NTIA’s SAPP for the authorization to enter into a spectrum manager lease agreement with FirstNet (Spectrum Manager Lease Agreement or SMLA)2 and for optional grant funds to cover a part of the cost of constructing its RAN (RAN Construction Funds) if the State so chooses; and

5) If its SMLA application is approved by NTIA, execute an SMLA with FirstNet.

B.1.a. Understanding the LTE Network The diagram below describes each element of the network and the expectations the NTIA will have when reviewing a State’s application.

1 The Act also assigned additional duties to NTIA and other agencies with regard to the deployment and operation of the NPSBN.

2 In order to lease spectrum capacity on Band 14 spectrum licensed to FirstNet, an opt-out state must agree to the terms and conditions and enter into an SMLA directly with FirstNet.

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In an LTE network, user equipment (UE) is any device used directly by an end-user to communicate via the RAN. UE includes but is not limited to: smartphones, tablets, hotspots, body/surveillance cameras, and drones.

The RAN consists of the eNodeBs, the wireless link between the UE and the eNodeB named “Uu,” as well as the transport or backhaul that carry the S1 links between the RAN and the Evolved Packet Core (EPC), or core.

Opt-out States and FirstNet have separate technical responsibilities under the Act.

FirstNet is responsible for operating the NPSBN core (EPC in the diagram above). An opt-out State, through its RAN Project, must link its RAN to the NPSBN core via the S1 links to a point of demarcation that will be established by FirstNet. Additionally, as with commercial telecommunications networks, a State RAN Project must evolve with the NPSBN. Each of these elements, including a State-run RAN, must keep pace with LTE standards evolution. This will require routine hardware, software, standards, applications, and security updates.

As detailed below, NTIA will consider relevant the applicant’s ability to provide public safety entities with LTE broadband communications services rather than other forms of mobile communications services such as land mobile radio services.

B.1.b. SAPP July 2016 Notice and Other Program Development Engagements and Inputs NTIA published a public notice seeking input on its planned approach to reviewing State applications for Lease Authority and RAN Construction Grants through the SAPP on July 19, 2016. NTIA received sixteen comments: eleven from States, one from a county, three from associations, and one from a private citizen. These comments addressed:

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1) questions on NTIA’s role in the process by which States may seek to deploy the RAN in a State; 2) questions or recommendations about the demonstrations a State must make when applying for Lease Authority or a RAN Construction Grant; 3) policy recommendations for NTIA to consider as it performs its duties under the Act; and 4) issues outside the scope of NTIA’s statutory obligations and related to FirstNet’s or the FCC’s roles and responsibilities. NTIA responds to these comments in Appendix A and incorporates those responses into this NOFO.

B.1.c. State Applications under SAPP NTIA will review a State’s application for Lease Authority and optional RAN Construction Funds. This is the formal announcement of how a State may apply for both.

By law, to receive NTIA approval for Lease Authority and RAN Construction Funds, a State must demonstrate:

1) It has the technical capabilities to operate and the funding to support its RAN;

2) It has the ability to maintain ongoing interoperability with the NPSBN;

3) It has the ability to complete the project within specified comparable timelines specific to the State;

4) The cost-effectiveness of the State alternative plan submitted to the FCC; and

5) It has a plan for comparable security, coverage, and quality of service to that of the NPSBN.3

Taken together, these five demonstrations will establish whether a State is, either directly or through its procurement and subsequent agreement with one or more third parties, capable of providing public safety with high quality, interoperable, and reliable broadband service over the project period. In addition, NTIA will compare the State’s demonstrations on timelines, security, coverage, and quality of service to those proposed by FirstNet in its State Plan. NTIA’s comparison will evaluate whether a State’s proposal varies from the State Plan yet still reasonably achieves the goals of the Act. This reasonableness review will include recommendations to NTIA from third-party experts on any differences between the State’s proposal and FirstNet’s State plan.

In addition, for applicants who are applying for optional RAN Construction Funds, applicants will be required to submit a detailed budget and work plan to account for the funds requested.

B.1.d. State Showings Relevant to All Demonstrations

(1) RAN Project Term AT&T and FirstNet have an agreement to ensure the NPSBN is constructed, operated, maintained, and improved for a 25-year project term. NTIA expects an applicant to plan for the 25-year project term of the NPSBN to ensure that its State RAN serves as a seamless part of the NPSBN, including seamless operation with adjacent RANs as

3 47 U.S.C. § 1442(e)(3)(D).

SAPP Notice of Funding Opportunity 7 necessary, for the duration of FirstNet’s partnership with AT&T. If an applicant does so and makes the required demonstrations, it will receive authority from NTIA to enter into an SMLA with FirstNet, which is coterminous with FirstNet’s 25-year agreement with AT&T. However, an applicant may submit an application and receive a grant reflecting a project term of less than 25 years, but no less than 10 years, provided that the term of the SMLA between the State and FirstNet aligns to such a project term.

(2) Intent to Comply with State Network Policies The Act directs FirstNet to develop network policies creating: 1) technical and operational requirements, practices, procedures, and standards for NPSBN management and operation; 2) terms of service for the use of the NPSBN; and 3) requirements for ongoing compliance reviews and monitoring of the NPSBN.4 FirstNet has developed these required network policies, including network policies applicable to opt-out States (numbered S-01 through S-32) in each State Plan.

As noted above, a successful applicant State must enter into an SMLA with FirstNet in order to operate its RAN. FirstNet has stated in its State Plans that an opt-out State must agree to comply with those network policies applicable to opt-out States.

B.1.e. Purpose and Scope of the Statutory Demonstrations An applicant must provide information on each of the Act’s demonstrations reflecting capabilities, commitments, and/or financial information for the entire project term.

The following descriptions of each statutory demonstration, the corresponding demonstration standard, and all related showings described in the Evaluation Criteria section address the complexity of deploying a RAN that seamlessly interoperates with the NPSBN. The demonstrations should reflect the State’s approach to building the RAN and adequately describe the assumptions that the State has made to support its application.

(1) Demonstration 1: Technical Capabilities to Operate and the Funding to Support the RAN

i. Demonstration 1(a): Technical Capabilities to Operate A State must have sufficient personnel, facilities, and equipment to achieve 24/7/365 LTE RAN network operations that integrate seamlessly with the NPSBN. NTIA will evaluate how a State proposes to acquire the personnel, processes, and physical resources needed to run its project. This will include State staffing and operations for inherently governmental functions, as well as qualified LTE network engineering and operations personnel, whether provided by the State or acquired through contracts and partnerships.

Additionally, a State will need to demonstrate it can support the RAN Project, directly and through any partner, with essential operational and reserve equipment

4 See 47 U.S.C. § 1426(c)(1)(B)–(E)

SAPP Notice of Funding Opportunity 8 and systems, spare parts inventories, and facilities needed to ensure continuous and seamless RAN operations.

ii. Demonstration 1(b): Funding to Support the RAN A State must demonstrate that it has a self-sustaining business model that leverages available resources and generates sufficient revenues to cover all the expenses for the construction, maintenance, operation, and improvement of the State RAN, including payments included as part of the SMLA, over the term of that agreement. The applicant’s business model and project budget must demonstrate a reliable network that provides the coverage and capacity requested by each state and reflected in each State Plan.

(2) Demonstration 2: The Ability to Maintain Ongoing Interoperability The Act states that FirstNet shall require that equipment for use on the network be built to open, non-proprietary, commercially available standards.5 FirstNet must also ensure, through its request for proposal process, that the NPSBN is built, operated, and maintained using, without material change, the minimum technical requirements developed pursuant to the Act to ensure a nationwide level of interoperability for the NPSBN.6 Therefore, a State RAN Project must maintain ongoing interoperability and technical network operation with the NPSBN. The FCC’s interoperability review assesses compliance with two separate interoperability standards when a State submits its alternative plan to the FCC. In contrast, NTIA’s review will assess whether a State RAN Project is capable of keeping step with FirstNet as it adopts the latest technical operability and interoperability standards, network policies, and network upgrades throughout the period during which the State will operate the RAN.

To ensure public safety personnel nationwide receive uniform network quality and delivery of broadband services at all times, a State must demonstrate that its RAN Project can maintain interoperability for the duration of its operation of the RAN Project itself. Further, a State must demonstrate that its RAN will continue to connect seamlessly to the NPSBN. To that end, the applicant State must verify that all applicable RAN Project devices are included in the list of certified devices developed by the National Institute of Standards and Technology (NIST) pursuant to the Act.7

5 See 47 USC 1426(b)(2)(B)(i).

6See 47 USC 1426(b)(1)(B). See also Recommended Minimum Technical Requirements to Ensure Nationwide Interoperability for the Nationwide Public Safety Broadband Network, Final Report (May 22, 2012) available at https://apps.fcc.gov/edocs_public/attachmatch/FCC-12-68A3.pdf.

7 See 47 U.S.C. § 1426(c)(6) (“The Director of NIST, in consultation with the First Responder Network Authority and the Commission, shall ensure the development of a list of certified devices and components meeting appropriate protocols and standards for public safety entities and commercial vendors to adhere to, if such entities or vendors seek to have access to, use of, or compatibility with the nationwide public safety broadband network.”).

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(3) Demonstration 3: The Ability to Complete the Project within Specified Comparable Timelines Specific to the State The Act requires that mission critical broadband service is rapidly available to public safety entities via the NPSBN. Thus, NTIA will seek to ensure that a State can and will execute all RAN Project milestones within timeframes comparable to those proposed by FirstNet in its State Plan. NTIA’s comparability review will be limited to the first five years of the RAN Project and will take into consideration the time lag a State may experience due to the required FCC and NTIA review processes.

When a State commences service through its RAN, perhaps as long as two years after FirstNet begins offering service to public safety, the RAN features, capabilities, and services must be comparable to those available to all other States through FirstNet.

Thus, a State must be able to demonstrate that the technical capabilities of its RAN, at the time that it begins operating, will be comparable to those actually available to all States in the NPSBN at the time the State RAN becomes operational. Maintaining feature parity with the NPSBN at all times is necessary to ensure full interoperability and service quality on par with the NPSBN.

(4) Demonstration 4: Cost Effectiveness of the State Plan The Act envisions that public safety personnel will get the benefits of public safety-grade broadband services on a nationwide basis, regardless of who operates a RAN, and that FirstNet must generate sufficient revenue to maintain a nationwide interoperable network. NTIA will assess the applicant’s commitment and ability to make payments included as part of the SMLA with FirstNet. In addition, the Act requires that revenue gained from covered leasing agreements must be reinvested back into the network. For the purposes of this document, reinvestment is defined as the action of investing the profit made from the operation of the State RAN into the State RAN. NTIA will also consider a State’s plan for reinvestment as part of the cost-effectiveness demonstration.

(5) Demonstration 5: Comparable Security, Coverage, and Quality of Service to that of the NPSBN An applicant will be required to deliver security, coverage, and service quality comparable to what FirstNet provides to all public safety entities in the NPSBN.

i. Demonstration 5(a): Security A State must address both cyber and physical security elements in its application.

Due to the nature of a nationwide system, it is imperative that an applicant demonstrate its capability to provide security comparable to that of the NPSBN to mitigate network and component vulnerabilities. The applicant must also self-certify that the State will comply with and maintain its security, at a comparable level to the NPSBN and as required in the SMLA.

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ii. Demonstration 5(b): Coverage The RAN Project must deliver the broadband service at comparable coverage, including capacity, to that proposed in the FirstNet State Plan and provided to all public safety subscribers on the NPSBN.

iii. Demonstration 5(c): Quality of Service A State must demonstrate that public safety users in that State will have a comparable user experience to that provided by FirstNet to all public safety subscribers across the rest of the NPSBN, such that:

1) Network performance metrics will be comparable to FirstNet;

2) Response and resolution times related to network outages will be comparable to FirstNet;

3) Customer service and help desk services will be comparable to FirstNet;

and

4) Service Plans will offer comparable basic network services to those offered by the FirstNet State Plan.

B.2. Federal Award Information B.2.a. Funding Availability NTIA will make up to $5.5 billion available in federal assistance under SAPP.

B.2.b. Award Period Recipients of an SMLA authority grant must enter into an SMLA with FirstNet within 6 months of the award date, unless an extension is granted. The period of performance for RAN Construction Funds is not to exceed 3 years; NTIA may consider a no-cost extension based on demonstrated need for up to an additional 2 years for the RAN Construction Funds.

B.2.c. Award Amount SAPP will award the right to execute an SMLA (non-monetary grant award) and optional RAN Construction Funds. Pursuant to 47 U.S.C. 1442(e), FirstNet provided each State its funding level, as determined by NTIA, along with the State’s final State Plan to the Governor on September 29, 2017.

In order to establish the funding level determination (FLD) for each State and territory, NTIA used an estimate of the number of terrestrial sites (towers) in each State necessary to achieve baseline coverage objectives. These estimates are based on the NIST technical modeling. After considering various methodologies, NTIA chose the technical modeling approach because it represents a fair and equitable means of establishing State funding levels. NTIA divided the State tower total by the national tower total to establish the percentage for each State of the total amount available for the SAPP.

The FLD is a range of the grant amount a State may receive through the SAPP for RAN Construction. The table below lists the current grant amount available and the maximum

SAPP Notice of Funding Opportunity 11 grant amount for each State. Each State will be notified by NTIA of any increased grant amount that is available on a monthly basis and no later than five days prior to the decision deadline of December 28, 2017. Regardless of when a State makes its decision, NTIA will set the final grant amounts at the highest amount possible based on the total amount available for the SAPP. Final grant amounts available will be published as a NOFO Amendment on or before January 31, 2018, once all States have made their opt-in or opt-out decision. Applicants may apply for up to their final grant amount available, as published in the NOFO Amendment.

States are eligible to apply for up to the final grant amount available for their RAN construction costs. In order to receive up to the final grant amount available, the State must submit a detailed grant-funded project budget. Grant award amounts may be lower than the amount available if an applicant proposes unallowable costs or if it does not request the full amount available.

Each applicant must provide a proposed itemized budget and budget narrative that accounts for the amount for which the State is applying. All proposed expenditures must be reasonable, allowable, and allocable to the State’s RAN Construction project. Please carefully review the eligible and ineligible costs as described in Section B.4.e. and RAN Construction Funds application requirements in Section B.6.e. for more information and to ensure that proposed costs are allowable and allocable.

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B.2.d. Renewal or Supplementation NTIA does not anticipate soliciting or accepting applications for renewal or supplementation of existing projects for this grant program.

B.2.e. Type of Funding Instrument The funding instrument for monetary awards made pursuant to this NOFO will be a grant.

B.3. Eligibility Information B.3.a. Eligible Applicants Any State, Territory, or the District of Columbia (each a “State” for purposes of this NOFO) in which a Governor or Mayor, as applicable, has notified FirstNet, NTIA, and the FCC of the plan to construct its own RAN, and whose State alternative plan has been approved by the FCC, is eligible to apply for this grant. Each State may only submit one application during the application window in Grants.gov. NTIA is not authorized to provide grants to individuals or for-profit entities, and such requests will not be considered for funding.

B.3.b. Cost Sharing or Matching SAPP does not require cost sharing or matching.

B.3.c. Other Eligibility Criteria Applicant shall provide a copy of the FCC’s formal notification to the State of its approval of the State’s alternative plan. Applicant shall also provide a copy of the State alternative plan as approved by the FCC.

B.4. Application and Submission Information In order to make the application process more efficient and effective, NTIA is employing a two-phase review process for grant applications. In order to obtain the authority to use the 758-769 MHz and the 788-799 MHz bands (Band 14) of spectrum which the FCC licensed to FirstNet, a State must apply to NTIA for Lease Authority. Further, a State may apply for RAN Construction Funds. Applicants must submit a single grant application along with required supporting documents listed in Section B.4.b.(3). In the application, the applicant will indicate if they are applying for both the Lease Authority and RAN Construction Funds or only the Lease Authority.

NTIA will evaluate all grant applications with respect to each of the SAPP five statutory demonstrations as listed in Section B.5.a.(4). NTIA will not approve applications that do not successfully pass the evaluation criteria for any one of these demonstrations. If NTIA denies lease authority, NTIA also will deny corresponding applications for RAN Construction Funds.

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If an applicant indicates they are applying for the optional RAN Construction Funds, NTIA will review the documents required to apply for the RAN Construction Funds once that applicant has successfully passed the evaluation criteria for the five statutory demonstrations.

B.4.a. Address to Request Application Package Application forms and instructions are available on the Grants.gov website (www.grants.gov). To access these materials, enter the funding opportunity number “2018-NTIA-SAPP-01” in the Search Grant Opportunities feature. Click on the Package tab, then select Apply, chose Option 1, and follow the prompts to download the Application Package. To download the instructions, go to the Related Documents tab on the View Grant Opportunity screen and select the Application Instructions document.

Applicants should visit Grants.gov prior to filing their applications so that they fully understand the process and requirements. Failure to properly register and apply for the SAPP by the deadline established in this NOFO may result in forfeiture of the grant opportunity. NTIA will accept applications until the deadline; NTIA will process each application in the order received. Applications submitted by e-mail or facsimile will not be accepted. Applicants may also request an application package by contacting the Federal Awarding Agency contact listed in Section B.13.

B.4.b. Content and Form of Applications

(1) Pre-Applications, White Papers and Letters of Intent Pre-Applications, white papers, and letters of intent are not required and will not be accepted for this program.

(2) Application Format

i. E-mailed and Facsimile (fax) Submissions Applications must be submitted through Grants.gov. NTIA will not accept emailed or faxed applications.

ii. Figures, Graphs, Images, and Pictures Items should be of a size that is easily readable or viewable and may be in landscape orientation.

iii. Font Font should be easy to read (10-point minimum). Smaller type may be used in figures and tables but must be clearly legible.

iv. Line spacing Applicants may use single spacing or double spacing.

v. Margins One (1) inch top, bottom, left, and right.

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vi. Page Layout Portrait orientation except for figures, graphs, images, and pictures. Paragraphs are to be clearly separated from each other by double spacing, paragraph formatting or equivalent.

vii. Page Limit Page limits for each requested narrative are listed in the evaluation criteria Section B.5. Applicants may request a page limit waiver on narratives if additional explanation is required to provide a sufficient response.

Page limit excludes: SF-424, Application for Federal Assistance; SF-424A, Budget Information – Non-Construction Programs; SF-424B, Assurances – Non- Construction Programs; SF-424C, Budget Information – Construction Programs;

SF-424D, Assurances – Construction Programs; CD-511, Certification Regarding Lobbying; SF-LLL, Disclosure of Lobbying Activities; Detailed Budget Spreadsheet and Budget Narrative.

viii. Page Numbering Number pages sequentially.

ix. Page Size

21.6 centimeters by 27.9 centimeters (8 ½ inches by 11 inches)

x. Application Language English

xi. Typed Document All applications, including forms, must be typed.

xii. Application Replacement Pages Once applications are submitted, they are deemed final and complete. All applications must be submitted by the submission deadline. If revisions or replacement pages are necessary, applicant may submit with NTIA’s approval.

(3) Required Forms and Documentation Applications must be complete and follow the format described herein. The application consists of the following forms and required submissions, which are discussed in more detail below.

i. Required Forms and Documentation for All Applications All applications must have the following elements for a complete application package:

1) Standard Form 424 (SF-424), Application for Federal Assistance: This must be signed by the applicant’s authorized organization representative

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(AOR). Electronic signatures submitted through www.grants.gov satisfy this requirement. Item 8.d. Zip/Postal Code field should reflect the Zip code + 4 (#####-####) format. The list of assurances and certifications mentioned in Item 21 can be found in the SF-424B for Lease Authority applicants and in the SF-424 D for RAN Construction Funds applicants.

2) CD-511 Certification Regarding Lobbying: Enter “2018-NTIA-SAPP-01” in the Award Number field. Enter the title of the application used in field 15 of the SF-424, or an abbreviation of that title, in the Project Name field.

3) Standard Form LLL, Disclosure of Lobbying Activities, if applicable.

4) Notice of FCC Approval, as described in Section B.3.c.

5) Technical Proposal: This proposal will consist of demonstration elements including charts, narratives, and other supporting artifacts in response to the program description (see Section B.5.a.(4)i.) and the evaluation criteria (see Section B.6.). A checklist of the required responses and documents to be included in this technical proposal is in Appendix B – Required Responses Checklist.

ii. Required Forms and Documentation for Lease Authority only (no RAN Construction Funds) For those applying for Lease Authority only (no RAN Construction Funds) the following forms and documents, in addition to those specified above at Section B.4.b(3)(i) are required:

1) Standard Form 424A (SF-424A), Budget Information – Non-Construction Programs

• Applicants must complete this form.

• Please carefully follow the directions found at:

http://www.grants.gov/web/grants/form-instructions/sf-424a-instructions.html when filling out this form.

2) Standard Form 424B (SF-424B), Assurances – Non-Construction Programs

iii. Required Forms and Documentation for those applying for RAN Construction Funds, in addition to those specified above in Section B.4.b(3)(i):

1) Standard Form 424C (SF-424C), Budget Information – Construction Programs:

• Please carefully follow the instructions found at https://www.grants.gov/web/grants/form-instructions/sf-424c-instructions.html when filling out this form.

2) Standard Form 424D (SF-424D), Assurances – Construction Programs

3) Detailed Budget Spreadsheet and Budget Narrative

• The RAN Construction Grant Funds Budget should document how RAN construction grant funds will be spent, not the total cost for the

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RAN Project. The budget justification will consist of a budget narrative and budget detail spreadsheet. The budget justification must provide sufficient explanation of each budget category, as reflected in the SF-424C, in order to establish the need for the funds in each cost category and the basis for the figures used in the applicant’s budget.

The narrative must be organized to clearly correspond to the information provided in the budget spreadsheet. Detail provided in the spreadsheet and/or narrative must also be sufficient so that the reviewers can interpret how costs were estimated or calculated.

Proposed funding levels must be consistent with the project scope, and only allowable costs should be included in the budget (see Funding Restrictions, Section B.4.e., for the eligible and ineligible costs for this program). General information on cost allowability is available in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR Part 200 (http://go.usa.gov/SBYh).

4) Indirect Cost Rate Agreement, if applicable

• If indirect costs are included in the proposed budget, provide a copy of the approved indirect cost rate agreement that was negotiated with a cognizant federal agency. If the successful applicant includes indirect costs in the budget and has not established an indirect cost rate with a cognizant federal audit agency, the applicant will be required to obtain such a rate in accordance with the DOC Financial Assistance Standard Terms and Conditions (http://go.usa.gov/hKbj).

• Alternatively, in accordance with 2 CFR § 200.414(f), applicants that have never received a negotiated indirect cost rate may elect to charge indirect costs to an award pursuant to a de minimis rate of 10 percent of modified total direct costs (MTDC), in which case a negotiated indirect cost rate agreement is not required. In order to request indirect costs under a de minimis rate, the applicant agency must not receive more than $35 million in direct federal funding. As described in 2 CFR § 200.403, costs must be consistently charged as either indirect or direct costs, but may not be double charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all federal awards until such time as a non-federal entity chooses to negotiate for a rate, which the non-federal entity may apply to do at any time. Applicants proposing a 10 percent de minimis rate pursuant to 2 CFR § 200.414(f) should note this election as part of the budget portion of the application.

When submitting the application electronically via Grants.gov for Lease Authority only, the forms listed above in Sections B.4.b(3)(i) and B.4.b(3)(ii) are part of the standard application package in Grants.gov and can be completed through the download application process. Documents listed above in Section http://go.usa.gov/SBYh http://go.usa.gov/hKbj

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B.4.b(3)(i), the Notice of FCC Approval and the Technical Proposal, must be completed and attached by clicking on “Add Attachments” found in item 15 of the SF-424, Application for Federal Assistance. This will create a zip file that allows for transmittal of the documents electronically via Grants.gov.

When submitting the application electronically via Grants.gov for RAN Construction Funds and for Lease Authority, the forms listed above in Sections B.4.b(3)(i) and B.4.b(3)(iii) are part of the standard application package in Grants.gov and can be completed through the download application process.

Documents listed above in Section B.4.b(3)(i), the Notice of FCC Approval and the Technical Proposal, as well as the documents listed above in Section B.4.b(3)(iii), the Detailed Budget Spreadsheet and Budget Narrative, and the Indirect Cost Rate Agreement, must be completed and attached by clicking on “Add Attachments” found in item 15 of the SF-424, Application for Federal Assistance. This will create a zip file that allows for transmittal of the documents electronically via Grants.gov.

Applicants should carefully follow specific Grants.gov instructions at www.grants.gov to ensure the attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicating an application is received does not provide information about whether attachments have been received.

(4) Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns In accordance with federal appropriations law, an authorized representative of the selected applicant(s) may be required to provide certain pre-award certifications regarding federal felony and federal criminal tax convictions, unpaid federal tax assessments, and delinquent federal tax returns.

(5) Unique Entity Identifier (UEI) and System for Award Management (SAM) Pursuant to 2 CFR Part 25, applicants and recipients (as the case may be) are required to: (i) be registered in SAM before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency, unless otherwise excepted from these requirements pursuant to 2 CFR §

25.110. NTIA will not make a federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time that NTIA is ready to make a federal award, NTIA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

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i. Unique Entity Identifier (UEI) All applicants must supply a UEI (formerly known as a DUNS number).

Applicants can receive a DUNS number at no cost by calling the dedicated toll-free DUNS number request line at 1-866-705-5711 or via the Internet at http://fedgov.dnb.com/webform.

ii. System for Award Management (SAM) All applicants must register in the SAM before submitting an application.

Additionally, the applicant must maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. Applicants can register for the SAM at https://www.SAM.gov/.

B.4.c. Submission Dates and Times Complete applications for SAPP must be electronically submitted through www.grants.gov, under announcement “2018-NTIA-SAPP-01” Applications or portions thereof submitted by mail, courier, email, or by facsimile will not be accepted.

Applications submitted electronically through the online www.grants.gov system must be received no later than 90 calendar days from the FCC’s notification of alternative State plan approval. All application forms and documents must be included with an applicant’s submission via www.grants.gov.

Applicants should be aware, and factor in their application submission planning, that the Grants.gov system routinely closes for maintenance. Applications cannot be submitted when Grants.gov is closed.

Submitters of electronic applications should carefully follow specific Grants.gov instructions to ensure the attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicating an application is received does not provide information about whether attachments have been received. For further information or questions regarding applying electronically for the 2018-NTIA-SAPP-01 announcement, contact the Federal Awarding Agency contact listed in Section B.13.

Applicants are encouraged to start early and not wait until the due date before logging on and reviewing the instructions for applying through Grants.gov. The Grants.gov registration process must be completed before a new registrant can apply electronically.

The registration process takes three (3) to five (5) business days. If problems are encountered, the registration process can take up to two (2) weeks or more. All applicants must have a valid UEI and must maintain a current registration in the federal government’s primary registrant database, SAM (https://www.SAM.gov), as explained on the Grants.gov website. See also Section B.4.b.(5). After registering, it may take several days or longer from the initial log-on before a new Grants.gov system user can submit an application. Only authorized individual(s) will be able to submit the

SAPP Notice of Funding Opportunity 20 application, and the system may need time to process a submitted application. All applicants should save and print the proof of submission they receive from Grants.gov. If problems occur while using Grants.gov, the applicant is advised to (a) print any error message received and (b) call Grants.gov directly for immediate assistance. If calling from within the U.S. or from a U.S. Territory, please call 800-518-4726. If calling from a place other than the U.S. or a U.S. Territory, please call 606-545-5035. Assistance from the Grants.gov Help Desk will be available around the clock every day, with the exception of federal holidays. Help Desk service will resume at 7:00 a.m. Eastern Time the day after federal holidays. For assistance using Grants.gov, you may also contact support@grants.gov.

To find instructions on submitting an application on Grants.gov, applicants should refer to the “Applicants” tab in the banner just below the top of the www.grants.gov home page. Clicking on the “Applicants” tab produces two useful sources of information, Grant Applications and Applicant Resources, which applicants are advised to review.

An applicant will receive a series of e-mail messages over a period of up to two business days before learning whether a federal agency’s electronic system has received its application. It is recommended that applicants closely follow the detailed information in these subcategories in order to increase the likelihood of acceptance of the application by the federal agency’s electronic system.

Applicants should pay close attention to the guidance under “Applicant FAQs,” as it contains information important to successful submission on Grants.gov, including essential details on the naming conventions for attachments to Grants.gov applications.

All applicants should be aware that adequate time must be factored into applicants’ schedules for delivery of their applications. Applicants are advised that traffic volume on Grants.gov may be extremely heavy as the deadline date approaches.

The application must be both received and validated by Grants.gov. The application is “received” when Grants.gov provides the applicant a confirmation of receipt and an application tracking number. If an applicant does not see this confirmation and tracking number, the application has not been received. After the application has been received, it must still be validated. During this process, it may be “validated” or “rejected with errors.” To know whether the application was rejected with errors and the reasons why, the applicant must log in to Grants.gov, select “Applicants” from the top navigation, and select “Track My Application” from the drop-down list. If the status is “rejected with errors,” the applicant may still seek to correct the errors and resubmit your application before the deadline. If the applicant does not correct the errors, the application will not be forwarded to NTIA by Grants.gov.

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B.4.d. Intergovernmental Review 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. The list of State SPOCs can be found at: https://www.whitehouse.gov/omb/grants_spoc.

B.4.e. Funding Restrictions Eligible costs under the SAPP are limited to the construction of the RAN within the State, and do not include any costs associated with the application to NTIA for Lease Authority from FirstNet. Eligible costs are consistent with the cost principles identified in 2 CFR Part 200, including Subpart E of such regulations and in support of the construction of the RAN for the purpose of connecting to the NPSBN as authorized under the Act. In addition, costs must be reasonable, necessary, and allowable for the proposed project.

Grant funds may be used to cover only eligible costs incurred by the grantee during the period of performance, and for allowable costs incurred by the grantee during the grant closeout process. Federal funds awarded under SAPP may only be used to pay for eligible costs as described below.

(1) Eligible Costs Eligible costs under SAPP for the RAN Construction Funds will include the following categories of expenses:

i. Administrative and Legal Expenses

1) Total administrative and legal expenses may not exceed 5% of the total federal award amount;

2) Personnel costs, including salaries and fringe benefits, associated with individuals responsible for programmatic and reporting activities for the SAPP grant including single officer, program managers, grants managers, supervisors, construction inspectors, or other staff members contributing to the management of the grant project;

3) Travel costs including airfare, ground transportation, lodging, meals, and incidental expenditures associated with site preparation, construction, or other allowable program activities;

4) Supply costs necessary for management of the grant award including, but not limited to, information technology (IT) expenses, software, phone service, printing, office supplies, or other items;

5) Training activities that are directly related to the construction of the RAN;

and

6) Other administrative expenses as necessary and approved by the Federal Program Officer in advance.

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ii. Architectural and Engineering Fees

1) Any architectural and engineering fee directly related to RAN design and construction;

2) Any fees associated with studies conducted to identify the requirements to ensure existing towers meet all standards and specifications with the additional load estimated for the project.

iii. Initial System Testing and Compliance Any fees associated with testing installed components of the network.

iv. Project Inspection Fees Fees associated with construction inspection or other State, county, and/or local jurisdiction inspection fees deemed necessary to complete the project.

v. Site Work Clearing and grading area around the direct RAN Construction site.

vi. Demolition and Removal Demolition and removal of existing site components directly impacting the construction of the RAN.

vii. Construction Construction activities directly related to building and deploying the State RAN.

viii. Equipment Materials and equipment directly related to the construction of the State RAN.

States must use, manage, and dispose of equipment acquired under a SAPP award in accordance with 2 CFR § 200.313(c)-(e).

ix. Miscellaneous

1) Environmental compliance and assessment costs in order to comply with National Environmental Policy Act (NEPA) and National Historic Preservation Act (NHPA) requirements;

2) Establishing connectivity with the FirstNet core.

x. Indirect Costs Indirect costs may only be used when associated with the construction or installation of facilities and equipment directly related to the SAPP.

(2) Ineligible Costs Funds awarded under SAPP may not be used for the following activities:

i. Operating expenses of the applicant, including payments included as part of the SMLA, leasing fees for towers, backhaul, easements, or other recurring vendor fees;

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ii. Ongoing maintenance, operation, and improvement costs;

iii. Costs incurred prior to the date on which submitted grant is awarded (pre-award or application costs);

iv. The purchase of land, existing structures, or…