Guidelines - Radio Digital Conversion Projects

This section takes you step-by-step through the process of preparing a PTFP application for converting a radio broadcast station to digital operation. It includes instructions for the Application Form, plus guidelines for completing and submitting your entire application.

We suggest you print out a copy of these Guidelines as you begin preparing your application. The material is in checklist form and if you keep it next to you as you work, it will help you to avoid overlooking anything that is required. Later, you can use it as a final check to be sure your application is truly complete. (Do not send this checklist to PTFP.)

We recommend that you use the online fillable version of the Application Form, which you will find at www.ntia.doc.gov/ptfp/application/appform.htm It provides the instructions, with some items pre-filled and selection boxes to help you complete others. You can enter all equipment you are requesting with the costs, and the online system will automatically calculate totals and carry the dollar amounts to the appropriate sections of the forms. Once completed, you can finalize the form and print it out for signing, duplication, and submission.

Whether you are a PTFP first-timer or an experienced veteran, you need to read this material carefully in order to avoid mistakes in completing the forms and to avoid omitting information that may be crucial for a complete and accurate evaluation of your application.

____ You must use Federal government Standard Forms to submit basic information. Details of your request are submitted on special PTFP pages and in written narratives. What follows explains what information goes where and takes you through completing an application.

____ Be sure the special PTFP pages are the ones that expire 12/31/2009 (the date is printed on the bottom of each page). Applications submitted on forms with an earlier date must be returned unprocessed.

____ Submit one copy of the application in the six-panel folder supplied by NTIA/PTFP (or an equivalent folder). PTFP will send you a free six-panel folder on request. Call (202) 482-5802, fax (202) 482-2156, or email ptfp@ntia.doc.gov. To allow time for your folder to be delivered, we need to have your request at least two weeks before the Closing Date. (If you want to supply your own six-panel folder, please use an ACCO #ACC-15036, Oxford ESS-920025RCP2, or equivalent.)

____ Submit the remaining five copies in plain manila file folders labeled with your organization’s name and secured with binder clips. Label one of these copies “Original.”

____ All applications must be signed. Signatures are required on page 1b of the SF-424, Application for Federal Assistance; on the SF-424B, Assurances; and on the CD-511, Certification Regarding Lobbying.

____ Signatures in the copy labeled “Original” must be original, preferably in a color ink other than black, and dated.

____ Arrange the material in all copies as described in the “Assembling the Application” instructions near the end of these guidelines.

____ Send your application so that it will be received at the PTFP office by 5:00 PM, Eastern Time, on the Closing Date.

☞ Be aware that anything sent via the United States Postal Service (including “overnight” and “Express Mail”) is subject to delivery delays due to mail security procedures at the Department of Commerce. We urge you to consider submitting your application by other means, such as alternate commercial delivery carriers. You should also consider possible delays in delivery caused by the weather and allow for such delays in sending your application.

____ Submit separate requests if you propose facilities that will be placed in different locations, where each facility could be constructed and operated independently.

____ If the facilities you are requesting are integrated into a network so that the removal of one facility would cause the network to be inoperable, or if the network would constitute a natural and cohesive unit, then one application should be submitted.

____ Submit a separate application in Priority 2 or 4A, as appropriate, for stand-by power generators and/or uninterruptible power supply (UPS) units to be installed at existing facilities.

____ Site Names and FCC Applications. A site is often known by more than one name; all references in an application to a given site should be clear and consistent. Reviewers must be able to identify each site in multi-site applications and relate any FCC applications to the project as described in the Narrative or to sites shown on a map. Be sure that the reviewers can easily verify that all necessary FCC applications or permits are contained in the application. We suggest that you use the same name for all references to a given site, that you add a label or note to each document, or that you cross reference the sites in the Narrative or in an Exhibit, e.g., “Old Town translator (McDonald Farm site)”.

■ PTFP will place applications for radio digital conversion projects into Subpriority C in the Broadcast Other category.

■ Applicants for digital radio conversion must include documentation of the station's digital conversion plan demonstrating its programing readiness to begin digital broadcasting upon receipt of PTFP funding.

■ Applicants should include their plans, if any, to utilize Program Associated Data or the Supplemental Audio Channel.

■ Radio digital conversion applications must directly address in their technical exhibits the type of analog/digital signal combining proposed. The PTFP equipment list provides representative pricing for both low-level and high-level combining.

■ Radio digital conversion applications may include requests to convert production equipment to digital technologies for a station already broadcasting in digital or a station proposing to broadcast in digital. In order to be highly competitive, an application must document its plans for utilizing Program Associated Data or the Supplemental Audio Channel.

■ Radio applicants may request funds to add a digital exciter to a digital-upgradable transmitter.

■ Licensing fees required by a manufacturer for the initial purchase and installation of equipment are eligible for PTFP funding support.

■ Ongoing licensing fees for software or broadcast-specific technology, such as fees related to the use of HD Radio technology are considered operational costs and are ineligible for PTFP support.

■ Radio applicants may request funds for digital conversion of non-transmission equipment in equipment replacement projects and to acquire equipment to provide programing utilizing the Supplemental Audio Channel.

■ The presumption of funding for radio projects in the Broadcast Other category is a 50% Federal share.

■ Deferred Applications: If you are reactivating an application that did not receive a grant award in the last grant cycle, you must submit a complete application. You should examine very critically what was submitted before to see if it can be strengthened.

The completed SF-424 will be pages 1, 1a, 1b (plus 1c, the explanation

page, if needed) of your application.

☞ We recommend that you use the on-line fillable version of the SF-424, which you will find at www.ntia.doc.gov/ptfp/application/appform.htm It provides the instructions, with some items pre-filled and selection boxes to help you complete others. If you elect to print out the Application Form and manually type in the information, follow these instructions:

____ 1. Type of Submission: Check “Application.”

____ 2. Type of Application: Check “New” if first submission of this project in this grant cycle. Check “Revision” if PTFP has requested changes in your application.

____ 3. Date Received: Leave blank for PTFP use.

____ 4. Applicant Identifier: Complete the box if your organization has assigned a number or other identifier to the project.

____ 5a. Federal Entity Identifier: Leave blank for PTFP use.

____ 5b. Federal Award Identifier: Leave blank for PTFP use.

____ 6. Date Received by State: Use if your state participates in the Single Point of Contact process (see No. 19, below).

____ 7. State Application Identifier: Insert number assigned under the Single Point of Contact process if applicable.

____ 8. applicant information:

a. Legal Name: Enter name of organization responsible for any award.

b. Enter Employer’s Identification Number (EIN) assigned by the Internal Revenue Service. (It will be redacted prior to any disclosure to the public.)

c. Enter the DUNS number assigned to your organization by Dun and Bradstreet, Inc. You may obtain a DUNS number at no cost by calling the toll-free DUNS request telephone, 1-866-705-5711, or via the Internet at www.dunandbradstreet.com. A DUNS number is required on all applications.

d. Address: Please enter a street address because a P.O. Box number cannot be used for over-night delivery, which PTFP uses to send out grant awards and other documents.

e. Organizational Unit: If your organization uses Department and/or Division designations, enter them as appropriate.

f. Name and contact information of person to be contacted on matters involving this application: Enter name, title, telephone number, fax number and e-mail address of the person PTFP should contact on all non-engineering matters related to this application and who will be responsible for your project if it is funded.

____ 9. Type of Applicant: In the first space, enter the letter from the list below that best describes the applicant organization. If you wish, you may further describe your organization by entering an additional letter in each of the other spaces.

A. State Government	N. Nonprofit
B. County Government	O. Private Institution of Higher Education
C. City or Township Government	P. Individual
D. Special District Government	Q. For-Profit Organization (other than Small Business)
F. U.S. Territory or Possession	R. Small Business
G. Independent School District	S. Hispanic-Serving Institution
H. Public/State controlled Institution of Higher Education	T. Historically Black Colleges and Universities (HBCUs)
I. Indian/Native American Tribal Government (Federally recognized)	U. Tribally Controlled Colleges and Universities (TCCUs)
J. Indian/Native American Tribal Government (other than Federally recognized)	V. Alaska Native and Native Hawaiian ServingIinstitutions
K. Indian/Native American Tribally Designated Organization	W. Non-domestic (non-US) Entity
L. Public/Indian Housing Authority	X. Other (specify)
M. Nonprofit

____ 10. Name of Federal Agency: Enter NTIA.

____ 11. Catalog of Federal Domestic Assistance Number: Enter “11.550”. Under CFDA Title, enter “PTFP”.

____ 12. Funding Opportunity Number/Title: Enter “Public Telecommunications Facilities Program”.

____ 13. Competition Identification Number/Title: Leave blank.

____ 14. Areas Affected by Project (Cities, Counties, States, etc.): List the largest political units affected by the project.

____ 15. Descriptive Title of Applicant’s Project: Enter “Construction Project”.

____ 16. Congressional Districts of:

____ a. Applicant. Enter the number of the Congressional District that includes the applicant’s headquarters; this can be only one number.

____ b. Program/Project. Enter the numbers of all Congressional Districts in all states that would be reached by the proposed project. If a state has only one Congressional District, enter “1”. If a project would reach all Congressional Districts in a state, enter “all”.

____ 17. Proposed Project Start and End Dates: For the start date, enter “10/01/08”. For the end date, use six-month increments to estimate the completion date of your project (e.g., 9/30/09, 3/31/10, or 9/30/10).

____ 18. Estimated Funding ($): Boxes “a,” “b,” and “g” summarize your request for funding from Standard Form 424A, the Budget Form, which is discussed below.

____ Box “a,” Federal. PTFP (Federal) share. For construction project applications, box “a” cannot exceed 75% of the total in box g (not even by 1¢).

____ Box “b,” Applicant. Applicant’s share.

Note: Leave boxes “c,” “d,” “e,” and “f” blank.

____ Box “g,” total may include only eligible costs.

____ 19. Is Application Subject to Review by State Under Executive Order 12372 Process?

____ If your state participates in the review process under Executive Order 12372, check box “a” and enter the date you send a copy of the application to the state office. (This refers to the State Single Point of Contact process, which is discussed at the end of these Guidelines.)

____ If your state does not participate, check “b” or “c” as appropriate.

____ 20. Is the Applicant Delinquent on Any Federal Debt? (If “Yes”, provide explanation.) This question applies to the entire applicant organization, not to the authorized representative or to an individual department. Categories of debt include, but are not limited to, delinquent audit-related debts, loans, and Federal taxes. Check the appropriate box. Attach an explanation if required.

____ 21. The authorized representative of your organization must be able to check the “I AGREE” box.

Authorized Representative: Fill in the boxes as indicated. The application must be signed by an authorized representative of the applicant organization. A copy of its governing body’s authorization for the individual to sign this application must be on file in the applicant’s office and available for inspection.

PTFP REQUIRES ORIGINAL SIGNATURES ON ALL APPLICATIONS, preferably in an ink color other than black.

Standard Form 424A — Budget Information — Non-Construction Programs

This form is required from all applicants. It is discussed after the PTFP-2.

Standard Form 424B — Assurances — Non-Construction Programs

This form is required from all applicants. It is discussed below

in the section on Exhibits.

Project Information

for Radio Digital Conversion Projects

PTFP-2 Form

The completed PTFP-2 will be page 2 of your application.

☞ As with the SF-424, we recommend that you use the on-line fillable version of the PTFP-2 Form, which is at http://www.ntia.doc.gov/otiahome/ptfp/application/appform.htm It provides the instructions, with some items pre-filled and selection boxes to help you complete others. If you elect to print out the Application Form and manually type in the information, follow these instructions:

____ 22. Applicant Name. Enter legal name from page 1, item 8, SF-424.

____ 23. Reactivation. If this is a reactivation of an application deferred from last year’s PTFP grant cycle; enter “Y” in item 23a and last year’s application number in 23b.

(Note: The PTFP Final Rules permit only two reactivations of a deferred application, for a total of three years consideration; see §2301.9.)

____ 24. Enter the call letters and frequency (or channel number, as appropriate) of the public radio or television station that is the subject of this application. Use the main station call letters if the application is for a translator or multiple facilities. If the facility has no call letters, please enter “N/A”. The call letters will be included in all correspondence regarding this application.

____ 25. Prior PTFP grants. If your organization received a prior PTFP grant, check “Yes” and enter the grant number for identification. If not, check “No”.

____ 26. Enter letters to classify the project. Digital conversion applications are construction. Enter “C”. Enter “R” or “RT”, if appropriate. Enter “B” or “BN”, as appropriate.

(PTFP uses the term “construction” to mean the purchase of telecommunications equipment for a telecommunications project.)

Applications may combine elements of radio and television but rarely combine broadcast and nonbroadcast. See “Scope of Project,” above, for suggestions for structuring multi-project applications.

____ 27. Priority/Category. Enter “BOC” for Broadcast Other, Subpriority C

Note that PTFP reserves the right to change the priority/category during its review of the application.

____ 28. Number of people served by the project. If additional people are to be served by this project, please explain and document an Exhibit.

____ 29. Engineering contact information. Enter the information for the person PTFP should contact on engineering matters related to this application.

____ 30. Summary of Application. State the objective of your application in one brief sentence; e.g., “Anytown University seeks funding assistance to convert station WANY-FM to digital technologies.”

☞ Supporting arguments and justifications for your project go in the Narrative and Exhibits, not here.

____ 31. FCC Authorizations. If a new FCC authorization is required to complete your project, provide the following information for each approval required:

____ FCC Community of license.

____ Channel # (e.g., “89.9”).

____ FCC File number (e.g., “BPED040898AB”).

____ Common name used when referencing the transmission site in other parts of the application (e.g., “Northwest National Forest”, “Old McDonald Farm”, “Central Broadcasting”).

____ Indicate by placing a “Y” or “N” in the appropriate space whether your organization owns or leases the transmission site. If site rights are pending, place a “P” in the appropriate space.

____ 32. Other Sources of Funding. Indicate whether funding to support this project has been or will be sought from any other Federal program or the Corporation for Public Broadcasting (CPB).

This support could include funding to support programing or staff needed to operate the equipment as well as funding for the same equipment requested from PTFP, or funding for other equipment integral for the operation of the PTFP requested equipment.

____ Please provide information about funding from other Federal programs or CPB as an attachment to this form and in the program narrative.

____ 33. CPB Qualification. Check “Y” or “N” to indicate if your organization currently receives, or anticipates receiving, financial assistance from the Corporation for Public Broadcasting (CPB).

Please note: In order to receive a PTFP grant, your organization does NOT have to receive financial assistance from CPB.

____ 34. Similar Public Telecommunications Facilities within Project Service Area. List all other public radio stations that provide a 1 mv/m signal within the project’s service area.

___ 35. Station Operations. Indicate the number of full-time paid employees, part-time paid employees, and volunteers currently on the staff of the organizational unit for which the project is intended.

____ Show also the total hours worked by an average staff member in each category in an average week. Then show comparable numbers projected for when the new facilities are in operation.

____ Indicate the current operating budget, if any, and projected budget for the first year of operation following construction of the proposed facilities.

Application for Federal Assistance

Standard Form 424A

Budget Information — Non-Construction Programs

The first page of the 424A will be page 3 of your completed application. It is

the standard budget form now used by all Federal grant programs.

☞ If you use the on-line fillable version of the Application Form, the system automatically fills out the SF-424A. If you elect to print out the Application Form and manually type in the information, follow these instructions:

____ You should submit only page 1 of the SF-424A. Complete only Section B, columns 1 and 5 under item 6, “Object Class Categories.”

____ Place the total for all equipment, including contractor installation costs, in columns 1 and 5 on line 6d, Equipment. This amount should equal the total of all PTFP-4 pages submitted.

____ Place all other eligible costs in columns 1 and 5 on line 6h, Other.

____ Attach a page to the SF 424A detailing the other eligible costs, and that provides sufficient explanation in order to establish the need for the funds, the basis for figures used and how they were calculated, per the following example:

Engineer

Conduct site evaluations, perform engineering studies, meet with station Board and prepare FCC applications

125 hours

$100 per hour

$12,500

____ Show totals in columns 1 and 5 on line 6k, totals.

____ Obligation of funds.

PTFP considers money to be obligated when an Applicant enters into any sort of binding commitment to spend the money. This means the formal acceptance of a bid offering or the issuance of a purchase order.

Applicants are not permitted to obligate any monies from the eventual Federal share of a grant’s Total Project Cost before the project Award Period begins. PTFP Award Periods usually begin October 1.

If you obligate the local match before a grant is formally awarded, you face two primary risks:

1. You may not be offered a grant award, or

2. Negotiations may reduce the amount of the total project cost, and if you have obligated funds in excess of the negotiated local match, the Federal share will be correspondingly reduced, or an eventual award may be reduced or terminated.

Eligible Equipment

PTFP-4 Form

☞ The PTFP-4 form will be page 4 of your completed application.

Complete the left side of this Form.

____ Make photocopies of the form and use as many pages as necessary to list all of the equipment categories requested. Retain a blank original in case PTFP requests revisions.

____ Please number multiple pages PTFP-4-1, PTFP-4-2, PTFP-4-3, etc.

____ Before you complete the Equipment Request portion (left side) of this form, you should review PTFP’s list of eligible and ineligible equipment and project costs here.

____ Multiple sites. If the requested equipment will be placed at several sites, enter the equipment for each location on a separate page. Identify the location for each page on the top line.

____ Enter only one equipment category on a page. Arrange the equipment requested into the categories described below.

____ Check one of the four boxes in the top block to indicate the category of equipment requested on each page.

A. Dissemination Equipment. Includes antennas, towers, transmitters, STLs, translators, and equipment required for transmission of a broadcast signal.

B. Origination Equipment. Includes equipment for production of radio programs, including such items as microphones, turntables, recorders, switching equipment, consoles, mixers, editing systems, signal processors, and other items necessary for production of broadcast-quality programing.

C. Interconnection Equipment. Includes microwave, fiber, and satellite equipment.

D. Test Equipment Includes test items necessary for good engineering practice or

Other eligible equipment. Specify any other eligible equipment not included under the other categories, such as specialized receivers used by handicapped groups (i.e., sub-carrier [SCA] receivers).

____ Identify all major items required for the project. Proposed acquisition of multiple items grouped together for one price must be categorized sufficiently to provide assurance that no ineligible items are included.

____ In the column headed Item, place a general description of the equipment item in question; an example would be “audio console.”

____ In the column headed Description, place the manufacturer and model number of the item. (This information indicates only the level of quality of the item. After competitive bidding, different manufacturers and models are commonly purchased.)

____ The column headed Cost should include the total cost for that item..

____ Do not enter eligible Non-equipment Costs on this page. They should be included on the Budget Form, SF-424A, line 6h Other.

General Information

____ Ownership of equipment.

Generally, equipment listed as part of the proposed project cannot be owned by the applicant, nor can any funds be obligated towards its purchase, before the PTFP closing date for the year the application is (or was) first submitted to PTFP. Inclusion of equipment purchased prior to the closing date will be considered on a case-by-case basis only when clear and compelling justification is provided to NTIA.

____ Installation Costs.

NTIA support for installation costs depends on what is to be installed and by whom:

____ Transmission Equipment. NTIA strongly favors the use of either manufacturer or professional contractor personnel for the installation of transmission equipment and commonly funds these costs.

____ Master Control, On-Air and Production Control, and Production Equipment. NTIA will support appropriate costs if you use an integrator to design and install your system and to be responsible for documentation and proper communication between items of equipment, such as servers, routing switchers, automation, and audio and/or video storage devices. NTIA will also support appropriate costs if professional contractors to supplement staff installers are used for the installation of such equipment.

____ NTIA will rarely support staff installation costs. NTIA will take into account a demonstration of exceptional need for support of such installation, in which case cost estimates should be based on existing wage scales.

____ List installation costs separately on the lines “Contractor installation” and “Staff installation.”

____ Include installation costs on the PTFP-4 form and in line 6d of the SF-424A form.

____ Donated Equipment.

Items of donated equipment that are part of the proposed project should be listed within the proper categories along with items to be acquired with grant funds. Place the fair market value of donated items in the "request" section. As noted above, applicants may take title to donated equipment prior to the closing date only upon presentation and acceptance by NTIA of clear and compelling justification.

If donated equipment is to be used for the local match, the application should include a certified appraisal from a qualified, independent engineer as to the age, fair market value, and remaining useful life of the donated items. In addition, you must include a letter from the donor confirming the donation. Attach the appraisal document and the donation letter to Exhibit B.

Program Narrative

for Radio Digital Conversion Projects

Six Evaluation Criteria

☞ You must prepare a Narrative to address the six evaluation criteria contained in Section 2301.17 of the PTFP Rules and that are discussed in this section. The criteria are:

1. Applicant Qualifications

2. Project Objectives

3. Urgency

4. Technical Qualifications

5. Financial Qualifications

6. Involvement of Women and Minorities

____ Your Narrative should begin with an introduction that serves as an Executive Summary of your project. It should be a brief, straightforward statement of what you propose to accomplish. No supporting arguments and justifications should be included here; they go in the sections that follow.

____ You should then address the six evaluation criteria in separate sections of the Narrative. We recommend that you address them in the order that follows and that you label each section with the name of the criterion being discussed to help the reviewers who evaluate your application.

____ Several of the evaluation criteria should also be addressed in Exhibits, as explained below.

____ The Narrative is limited to a total of five pages for the Executive Summary and the first five criteria, but you may make as much use as you wish of Optional Exhibits to provide a detailed explanation of any subject. You should give cross-references to the Optional Exhibits in which you provide additional information.

☞ There is no page limit on your response to the sixth criterion, “Involvement of Women and Minorities.”

Evaluation Criterion 1

Applicant Qualifications

____ Indicate at the beginning of the Narrative if your organization is a government entity, an Indian Tribe, or a non-profit organization that has received a prior grant from PTFP.

____ If your organization is a government entity, an Indian Tribe, or a non-profit organization that has received a prior PTFP grant, no further documentation of eligibility is required at this time.

____ If yours is a non-profit organization that has never received a PTFP grant, you must supply certified copies of your (1) articles of incorporation, (2) by-laws, and (3) IRS 501(c)(3) letter in Exhibit G.

Evaluation Criterion 2
Project Objectives

____ Your discussion of this criterion should begin with a general description of your project.

____ A thorough technical description of the project should be placed in Exhibit B.

____ You should discuss objectives from a programatic perspective — the effect that the project will have on your station’s operations and/or on its ability to provide services to the public. How will your station’s program service be maintained or strengthened by this project? Will new or expanded services be available as a result of the project? Will new audiences be served?

____ You should describe any ancillary contributions to your program service that may result from the project—availability of delivery mechanisms that might be accessed with multi-channel capability.

____ Your application should discuss how the project has been planned or coordinated with any telecommunications services in the service area or with local, regional, or state telecommunications agencies.

____ You should describe as fully as possible your plans, if any, to utilize Program Associated Data or the Supplemental Audio Channel.

____ Partnerships. If there are opportunities to partner with other entities in completing your digital conversion, this is the place to discuss the partnership — its nature, its scope, and all other pertinent details. Documentation of the partnership should be placed in Exhibit E.

____ Many conversion projects may be quite complex. Be sure your application describes your project clearly. (You might have someone not associated with the project read the application to be sure you have explained everything as you intended.)

____ You should discuss how your project will be implemented if funded by PTFP. For example, you might provide:

____ Your staffing plans regarding construction of the project and operation of the facility including whether your current technical or operational staff will be available to install and operate the equipment.

____ A description of fund-raising activities to generate the match and to cover ineligible costs and long term operational costs.

____ If you are seeking more than a 50% Federal share of the project, this is the place to provide full justification.

Evaluation Criterion 3
Urgency

____ You should concentrate on providing a compelling case that justifies funding the project during the current grant cycle rather than in a future grant round.

____ If your conversion project includes replacement of equipment in order to maintain your station’s existing service, you should make a compelling argument that replacement now is essential to providing continued service to the community. You should discuss whether yours is an “essential station” as the term is used in the PTFP Rules. In many cases, the simple statement that you are the only public radio station in the area will suffice. You should document your status with coverage maps (in Exhibit D) if there are stations that overlap your coverage area.

____ Further, there are several ways to document the urgency of the replacement, including:

____ copies of maintenance logs showing excessive downtime and/or high incidence of repair,

____ records showing excessive maintenance costs,

____ letters from manufacturers regarding the unavailability of spare parts,

____ reports from independent engineers evaluating the condition, serviceability, and expected life of the equipment, and

____ demonstration that the equipment uses a clearly obsolete technical standard.

Please note that age alone is not sufficient justification for urgency of replacement.

____ Place the supporting documentation in Exhibit B or in an Optional Exhibit.

____ If the documentation does not photocopy legibly, you should attach typescripts to the copies.

____ In addition, photographs are sometimes useful in documenting the condition of equipment.

____ If applicable, you should document in Exhibit E, that you have . . .

____ a time-sensitive opportunity for partnering with other broadcasters, either commercial or noncommercial; and/or

____ a time-sensitive opportunity for local funding.

____ While general letters of support from the community are discouraged for conversion projects, it is very important for applicants to submit (in Exhibit E) letters or other pertinent documents confirming either or both of these opportunities when they exist.

____ Do not include documentation of regular, routine maintenance (e.g., aligning tape recorders, cleaning heads, etc.).

Evaluation Criterion 4
Technical Qualifications

____ This part of the Narrative should give an overview of the technical aspects of your project with a full discussion of the details in Exhibit B, “Equipment Justification.”

____ You must list your requested equipment on page PTFP-4 of the Application Form.

____ In Exhibit A, page PTFP-5 of the Application Form, you must provide an inventory of the equipment you presently own that is similar to that requested. The exhibit should give an inventory only of equipment that corresponds to the equipment requested or is closely associated with it.

____ If you are requesting a radio grant for a full IBOC digital transmitter, you must address the type of analog/digital signal combining proposed.

____ Information on any new sites required for the project should be included in item 31, page PTFP-2 of the Application Form.

____ In exceptional circumstances you may be permitted to include as eligible costs equipment that was purchased prior to the PTFP closing date. (See §2301.6(b)(2)). We will consider inclusion of equipment purchased prior to the closing date on a case-by-case basis.

____ You must show when the equipment was acquired and what compelled you to purchase the equipment prior to the PTFP Closing Date.

____ Describe the engineering resources that will be available for (a) the installation of the proposed equipment and (b) the long-term maintenance of the equipment for its operation and continued useful life.

Evaluation Criterion 5

Financial Qualifications

____ You should describe your organization’s history and demonstrated ability to raise operating and capital funds.

____ Since the Federal government retains a 10-year interest in all equipment funded by PTFP, we are interested in the long term financial viability of your project.

____ You should, therefore, present a business plan as to how you will raise funds necessary to complete your project, including any ineligible costs, and pay for the station’s continued operation.

____ You should put in an Optional Exhibit, cross-referenced from this Narrative, or in Exhibit E, any available documentation of local financial support that has been committed, even if the commitment is conditional.

____ If you request more than the presumed Federal share specified in the FFO, it is very important that you include full justification supporting your request in the narrative. Also, be sure to include appropriate documentation in an Optional Exhibit.

Evaluation Criterion 6

Involvement of Women and Minorities

____ Response to this Evaluation Criterion should be included as part of the Program Narrative, but it is not subject to the five-page limitation.

____ In accordance with 392(f) of the Act, the Agency will give special consideration to applications that foster ownership of, operation of, and participation in public telecommunications entities by minorities and women. NTIA has not established any minimum minority or women participation requirements for special consideration in PTFP evaluations in order to carry out the objectives of the statute. Rather, NTIA believes that the Congressional intent can be achieved in a fair and flexible manner by taking into account all factual circumstances that might lead to special consideration.

____ The PTFP Rules, in §2301.5, provide the following clarifications about special consideration.

“Ownership and operation of” includes the holding of management and other positions in the entity, especially those concerned with programing decisions and day-to-day operation and management.

“Participation” may be shown by the entity's involvement of women and minorities in public telecommunications through its programing strategies as meeting the needs and interests of those groups

“Minorities” include American Indians or Alaska natives; Asian or Pacific Islanders; Hispanics; and Blacks, not of Hispanic Origin.

Employment of minorities or women is not the only way in which NTIA may assess whether an application promotes significant diversity in the ownership of, operation of, and participation in, public telecommunications entities by minorities and women. NTIA is also interested in outreach efforts, audience development, and programing strategies. One stated purpose of this program is to respond to the educational, cultural and related programing needs of diverse groups.

____ Applicants should provide a narrative (with supporting documentation when necessary) that documents the participation of women and minorities in the station’s ownership and management, especially those concerned with programing decisions and day-to-day operation and management. In preparing their material, applicants should take care to clarify whether they are discussing women, minorities (minorities can be considered as a single group, but the predominant group should be identified as such), or a combination of women and minorities (where the predominant group/gender should be identified, and applicants should express whether they are discussing women or minorities in the case of an individual who is a female minority).

EXHIBITS

for Radio Digital Conversion Projects

☞ The Importance of Legibility. All materials need to be legible. If maintenance logs, trouble reports, etc., do not reproduce clearly, you should attach typed transcripts to the photocopies.

Exhibit A: Inventory

____ Use the form on page PTFP-5 to tell PTFP about other related equipment for this facility that is (1) owned, (2) on order as of the date of the application, or (3) authorized by a prior PTFP award but not yet ordered.

Related equipment refers to equipment similar to that requested in this application (i.e., provide inventory of all existing audio consoles, if audio consoles are requested), or is closely associated with the requested equipment (e.g., an inventory of all microwave equipment that would feed a signal to a repeater station). DO NOT PROVIDE A FULL STATION INVENTORY.

This facility. Provide inventory information only for the station that is the subject of this application, not the inventory of all the stations you operate. If the station that is the subject of this application is co-located with another station you operate, however, you should provide the requested inventory information for both stations. The application should explain the relationship between the two stations regarding the sharing of equipment, studios, staffs, etc.

____ If you are requesting digital equipment to replace an existing analog capability, such as audio consoles or routing switchers, you should include the existing analog equipment on this form.

____ If you do not have applicable equipment, include the form with the “NA” box checked.

____ Please number multiple pages this way: PTFP-5-1, PTFP-5-2, etc.

Exhibit B: Justification of Equipment Requested

____ You must provide a technical narrative responding to the Evaluation Criteria Project Objectives, Urgency, and Technical Qualifications that supplements the information in the Program Narrative.

____ You should explain how the equipment requested is necessary to achieve the objectives of the project. You should describe the technical configuration of the project and explain how the requested equipment will fit with the proposed station operation (e.g., discuss staff size, amount of locally produced programing, number of engineers and equipment maintenance).

____ You should demonstrate that the proposed costs reflect the most efficient use of Federal funds in achieving the objectives of your project. You should also demonstrate that the equipment requested meets current industry performance standards (and FCC standards, if appropriate).

____ If alternative technologies are possible, you should provide an evaluation of them and give a rationale for selecting the particular items requested in the application.

____ If donated equipment is to be included in the project, the donation must be made after the PTFP Closing Date, and you must supply certification by a qualified, independent engineer of the fair market value and the remaining useful life of the donated item(s). You must also include a letter from the donor confirming the donation. Attach the appraisal document and the donation letter to this exhibit.

____ If you have documentation to support the justification of your equipment request, it should be attached to Exhibit B.

Exhibit C: Five-Year Equipment Plan

____ The statute authorizing PTFP requires construction applicants to submit “a 5-year plan outlining the applicant’s projected facilities requirements and the projected costs of such facilities requirements.”

____ You must provide a five-year equipment plan that places your current application in the context of your station’s long-term objectives.

____ We do not specify a format for the plan.

____ You should make it as long as needed to provide an adequate response to the requirement. One or two pages are usually enough.

____ Note that — because it is a statutory requirement — application reviewers usually reduce the scores they give to individual applications if a 5-year plan is not included.

Exhibit D: Maps

____ If your project proposes to serve new coverage areas, include maps showing the area and document the population within the first service area.

____ If the proposed coverage area overlaps with the coverage area of another public radio station, you should provide a calculation of the non-duplicated coverage population.

____ We consider an area served if it receives public radio service from a 60 dBu FM radio signal.

____ You should enter the number of non-duplicated persons benefitting on page PTFP-2 of the Application Form, item #28, “Population currently without a signal that will receive its first signal from the proposed facility,” with the duplicated population entered in the space “Population currently receiving a signal from another public station that will also receive a signal from the proposed facility.”

____ If your application is for a multi-location project, include maps for ease of identification.

____ If your application includes maps, make sure that location names are clear and the same on the maps, in the Narrative, in FCC documents, etc.

____ If you include maps, make sure that they are legible in all copies of your application.

Exhibit E: Letters of Support

____ PTFP discourages the submission of community support letters for digital conversion projects.

____ Conversion applicants, however, should submit letters that will confirm participation by third parties in certain types of digital projects. One example would be a project that involves the participation in the project by more than one public station or by a partnership with a commercial entity.

____ You may forward support letters at any time, even after the Closing Date, but please understand that letters received by PTFP more than three or four days after the Closing Date may not be seen by application reviewers because the applications probably will be in their hands by then.

☞ If you obtain letters of support from members of Congress addressed to the Department of Commerce, NTIA, or PTFP, you should be sure the originals of those letters are mailed separately to the addressees. The originals should not be included in the application folders. You should place copies of the letters in this exhibit for consideration by the reviewers.

Exhibit F: Distribution Agreements

Public broadcasting entities do not need to submit agreements with PBS, NPR, APM, PRI, etc.

Exhibit G: Proof of Eligibility

____ Indicate in the Narrative whether your organization is a government, Indian Tribe, or non-profit organization that has received a prior PTFP grant.

____ If yours is a non-profit organization that has never received a PTFP grant, supply in this exhibit certified copies of the following:

____ its Articles of Incorporation papers as filed with the state,

____ its By-Laws, and

____ IRS 501(c)(3) non-profit letter or other evidence of non-profit status.

Exhibits H - Z

____ These are optional exhibits that you may use to submit materials not specifically required by PTFP or to supplement parts of your application. (Please note that such materials should be limited to items related directly to the proposed project. A year’s worth of program guides or press clippings, for example, usually add nothing but weight and bulk to an application.)

____ Please do NOT send recordings of any kind. Any received will be destroyed without being considered.

____ If you include several optional exhibits, please provide a Table of Contents for them.

____ Be sure to cross-reference optional exhibits from the appropriate places in the Program or Technical Narratives.

Exhibit AA: Required Certifications

Application for Federal Assistance — Standard Form 424B

Assurances — Non-Construction Projects

____ In spite of the &

General Information	Notes for Radio Digital Conversion Projects
The Applicant Qualifications Criterion	The Project Objectives Criterion
The Urgency Criterion	The Technical Qualifications Criterion
The Financial Qualifications Criterion	The Involvement of Women and Minorities Criterion