Replacement

This section takes you step-by-step through the process of preparing a PTFP application for broadcast equipment replacement, improvement, or augmentation. 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. Much of the material is in checklist form. 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 complete and accurate evaluation of your application.

____ You must now 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 of the application 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 for TV stations and radio stations unless the project calls for major equipment elements to be used by both the TV and radio operations.

____ Submit a separate application for stand-by power generators and/or uninterruptible power supply (UPS) units to be installed at existing facilities.

____ 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 translator networks as one application, but list and price each translator separately on the equipment lists.

____ Applications to replace or augment facilities to serve the visually or aurally handicapped via broadcast technologies, such as SCA channels on radio stations or closed-captioning and SAP channels on television stations, should follow the guidelines presented here.

____ 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)”.

____ 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.

■ PTFP will support digital non-transmission equipment for radio equipment replacement, improvement, or augmentation projects with the presumption of a 50% Federal share.

■ PTFP anticipates continuing to fund digital-upgradable transmitters as the usual replacement for analog transmitters at the power level required to achieve the station’s licensed analog ERP, if justified as urgent replacement of the transmitter.

▫ Transmitter replacement applications will be placed in Priority 2 or 4A, as appropriate.

▫ Grant recipients will be able to add an IBOC exciter and additional power output modules to PTFP-funded digital-upgradable transmitters at their own expense.

■ PTFP may fund fully compliant IBOC digital transmitters as replacement equipment, when fully justified in the application. Applicants requesting full IBOC digital transmitters as part of equipment replacement projects must include:

____ documentation of the station’s readiness to begin broadcasting digital programing upon completion of a PTFP-funded conversion; and

____ its plans, if any, to utilize Program Associated Data or the Supplemental Audio Channel.

____ Digital conversion applications must directly address the type of analog/digital signal combining proposed.

■ Replacement of an STL should be supported by technical documentation addressing the program channel and interface requirements of the digital transmitter. (A request for a digital transmitter, in itself, is not sufficient justification to replace an otherwise adequate analog or composite STL.)

Note: A full discussion of radio digital conversion appears in the Federal Funding Opportunity announcement, Section I, B, 2.

■ As the Public Radio Satellite System (PRSS) modernizes its delivery services, NTIA recognizes that additional stations that affiliate with the PRSS may require equipment in order to participate in the system. NTIA also recognizes that some PRSS stations may have a justified need for additional equipment to fully utilize PRSS services.

____ All applications for PRSS-related equipment must explain and document in the narrative or an optional exhibit the need for the requested equipment to fully serve their community.

■ As explained in Section I,B,3 of the Federal Funding Opportunity notice, all applications for new, digital facilities or for the replacement of analog equipment with digital equipment will receive equal consideration under the Broadcast Other (Digital Conversion) category, not under Priorities 2 or 4, for equipment replacement. Most television applicants should use the Guidelines for Preparing an Application for Television Digital Conversion Projects.

■ NTIA recognizes that stations may require the urgent replacement of equipment that is not part of a station’s digital conversion plan. Applicants may submit Priority 2 or 4 applications when appropriate for the urgent replacement of items such as towers or microwave equipment necessary to ensure continued service. (Requests for towers or microwave equipment which are part of a station’s digital conversion plan should be requested under Subpriority B in the Broadcast Other category.)

■ Applications solely for the purchase of new or replacement closed captioning equipment will be placed in Priority 2 or 4, as appropriate.

■ NTIA recognizes that some stations are currently serving their primary viewers with failing analog transmitters. Due to the approaching shut-down of analog television broadcasting, NTIA is reluctant to make major investments in analog transmission equipment at this time. NTIA anticipates that PTFP will fund the replacement of analog transmitters transmission equipment during the FY 2008 grant cycle only on an emergency basis pursuant to §2301.10 of the PTFP Rules as modified in the FFO. Emergency funds would be available to provide the minimum support in “clear and compelling” situations where replacement of failed (or clearly failing) transmission equipment is necessary to maintain public television service. See Section I, B, 3,b, 2.

____ All applications— whether submitted for Priority 2, Priority 4 or the Broadcast Other category—should include the station’s comprehensive plan for digital conversion and explain how the requested equipment is consistent with that plan.

____ Applications for the purchase of new or replacement of emergency power generators or uninteruptible power supply (UPS) equipment will be placed in Priority 2 or 4, as appropriate.

____ Do not request any other equipment in an application for an emergency generator or UPS unit. Submit a separate application other equipment.

____ (1) whether the requested system is a UPS and/or generator and the location(s) it is for (e.g., master control, transmitter, intermediate microwave site),

____ (3) the size of any auxiliary fuel tank and the number of days of operation the fuel tank would support.

____ Systems for master control would be to power technical facilities required to keep the station master control on the air, including air conditioning limited to those facilities.

____ Generators and UPS units to provide emergency power to entire facilities are not contemplated for PTFP support.

____ You should support your need for such equipment by documenting at least one of the following conditions in order for an application for it to be competitive:

____ the station is part of a state/regional system to which the public is referred by local authorities for information during an emergency, such as an evacuation from a storm or other event; or

____ the station is a relay point for the distribution of emergency information to get it to transmitters beyond its local coverage area; or

____ the station is the sole source of emergency information in its service area in contrast to a station that is one of many in area broadcasting the Emergency Alert System; or

____ the station has experienced a pattern of frequent transmitter power outages accompanied by delayed restoration of power.

____ Emergency power generation and UPS equipment has been added to the online equipment lists for radio and television.

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

____ 17. Proposed Project 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 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 a color ink 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 Broadcast Equipment Replacement, Improvement or Augmentation
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 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:

____ 22. Applicant Name. Enter legal name from page 1, item 5, 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 the application.

____ 25. Prior PTFP grants. If the applicant has 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. Enter “C”; “R”, “T”, or “RT”, as appropriate; and “B” or “BN”, as appropriate.

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 the Priority or Category listed in §2301.4 of the PTFP Rules or the Federal Funding Opportunity Notice under which you request the application be reviewed.

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. Please explain and document the following in an Exhibit:

FIRST service: Enter the number of people who will receive a first public radio or TV signal as a result of this project, if any.

ADDED service: Enter the number of people who will receive a second (or third, etc.) public radio or TV signal as a result of this project, if any.

____ 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 replace the transmitter, antenna, and transmission line of public radio station WANY.”

☞ 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” for FM, “9” for TV, etc.)

____ 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 in the program narrative.

____ 33. CPB Qualification. Check “Y” or “N” to indicate whether 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 acceptable signals of other public telecommunications facilities of the same type as the subject of this application.

(You are not required to provide exact contours of other stations, only to list those stations that can be viewed or heard within the service area of the proposed project.)

____ TV If this application is for a television project, list all public TV stations providing a Grade B signal within the project’s service area.

____ Radio If this application is for a radio project, 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 the 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, cable/ITFS distribution systems, and equipment required for transmission of a broadcast signal or delivery of non-broadcast programing to the audience.

B. Origination Equipment. Includes equipment for production of television or radio programs, including such items as cameras, microphones, turntables, recorders, switching equipment, consoles, mixers, editing systems, signal processors, production lighting equipment, 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, caption decoders, and similar equipment).

____ 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; examples would be “studio cameras”, “video production switcher”, or “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 with an attached explanation.

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, you 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, your 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 Broadcast Equipment Replacement, Improvement or Augmentation
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 and indicates whether you think your application belongs in Priority 2 or 4A and why. 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.

____ Your Narrative should demonstrate that your organization has the experience and resources — both financial and in staffing — necessary to complete the proposed project and to maintain and operate your facility in the future.

____ If you are applying for a Priority 5 project, you must discuss the additional staffing levels and capabilities that may be required to produce programing from your requested new facilities.

Evaluation Criterion 2
Project Objectives

____ Your discussion of this criterion should indicate the Priority you believe is appropriate for the project and why and then go on to describe the project briefly.

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

____ Your narrative should discuss the benefit(s) of this project to your broadcast service, to the people who tune to your station.

____ You should discuss any community needs assessment you conducted or have available and explain how the equipment requested will help meet those needs.

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

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

____ A discussion of how you plan to raise funds for the local match and to cover ineligible costs and long-term operational costs.

____ If you are seeking a Federal share of more than 50%, this is the place to provide full justification. We will consider requests for grants up to 75% of a project’s total cost.

____ Justification should document “a showing of extraordinary need (e.g., small community-licensee stations or a station that is licensed to a large institution [i.e., a college or university] documenting that it does not receive direct or in-kind support from the larger institution), or an emergency situation.” (PTFP Rules §2301.6(b)(1)(ii).)

____ In addition to the general requirements mentioned in this section, you should provide the specific information requested for each of the following types of projects:

____ Priority 2: If you request this classification, you must discuss whether you are an “essential station” as the term is used in the PTFP Rules at §2301.4(b)(2). In many cases, the simple statement that you are the only public radio or public TV station in the area will suffice. You should document your Priority 2 status with coverage maps (in Exhibit D) if there are public stations providing similar services (i.e., radio or television) that overlap your coverage area.

☞ Replacement of a station’s transmission equipment sometimes results in an increase in coverage area to a new, but relatively small, unserved audience. We usually treat projects with incidental coverage increases as Priority 2 applications if the equipment meets the Priority 2 criteria. If you request a Priority 1B consideration for such an application, you should provide documentation of a significant increase in the population coverage served. We evaluate such requests on a case-by-case basis.

____ Priority 4: If your equipment improvement or replacement project does not meet the criteria of Priority 2, your application will be classified as Priority 4, which is divided into two subgroups: Priority 4A and Priority 4B.

Priority 4A includes the following types of equipment replacement or improvement projects:

____ Urgent replacement for stations that do not meet the criteria of “essential stations.” You should provide the same information as that requested of Priority 2 applicants and indicate that other stations also provide programing to your coverage area. (Enter the call letters of those stations in item 34, page PTFP-2 of the Application Form).

____ Improvement or replacement of urgently needed production-related equipment by stations that produce, on a continuing basis, significant amounts of programing distributed nationally to public radio or television stations. If you are not an “essential station” (as the term is used by PTFP), but produce significant amounts of programing distributed nationally to public stations on a continuing basis, you may obtain funds to improve as well as replace urgently needed production-related equipment. You should document the productions that are distributed nationally on a continuing basis and demonstrate the need for the requested equipment to continue this national programing service.

____ Acquisition of satellite downlinks for public radio stations in areas already served by one or more full-service public radio stations. You must demonstrate that you will broadcast a program schedule that does not merely duplicate what is already available in your service area. You must also demonstrate the need for the satellite downlink equipment to meet the needs of your local community.

____ Acquisition of necessary items to bring the inventory of an already operating station to the basic level of equipment requirement established by PTFP. You should indicate the year you went on the air, provide a full inventory in Exhibit A (page PTFP-5) of your major equipment systems, and explain why you were unable to obtain a full complement of equipment when you first went on the air. You must then demonstrate the need for the requested equipment to meet the needs of the local community.

____ Priority 4B is used for the improvement and non-urgent replacement of equipment at any public broadcasting station.

____ Priority 5 has two subgroups to augment existing broadcasting stations beyond a basic capacity:

____ Priority 5A is for projects to equip auxiliary studios at remote locations (e.g., neighborhood studios) or to provide mobile production facilities. You must make a case as to how the requested equipment is required for you to improve programing service to the community. You must also demonstrate that significantly increased public participation in programing will result.

____ Priority 5B is for projects to equip production capacity beyond the basic level for more than local distribution, including satellite uplinks. You must make a case for how the requested equipment is required for production of programing for regional or national use. The amount of regional or national programing being produced needs to be documented, and you should discuss alternate ways of producing or distributing the programing.

Evaluation Criterion 3
Urgency

____ We consider the urgency to replace each major item of equipment. Some items with documented urgency may be considered as Priority 2, therefore, while others without such documentation may be considered as Priority 4. The main Priority of the application as a whole will be based on the Priority with the highest dollar value.

____ You should provide a compelling case that justifies funding the proposed project during the current grant cycle.

____ You might discuss any negative consequences that may result if your project is not carried out at this time.

____ You should discuss the urgency of the equipment needs from a programatic perspective—the effect that the equipment replacement, improvement, or augmentation will have on your station’s ability to provide programing services to the public.

____ You can describe the urgency generally in the Narrative and in detail in Exhibit B.

____ Urgency of equipment replacement can be documented in Exhibit B in several ways:

▫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, or

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

▫ In some instances, photographs are useful in documenting the condition of equipment.

Please note that age alone is not sufficient justification to document urgency.

☞ Please do not include documentation of regular, routine maintenance (e.g., aligning and cleaning tape heads, replacing light bulbs in the meters, etc.).

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

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.”

____ The equipment you wish to purchase with a grant must be listed on the equipment page(s) 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 have no equipment to list, you should include the form and check the “NA” box.

____ 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. Attach any available supporting documentation.

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

____ 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.”

____ See the instructions for Exhibit C for more information on this requirement.

Evaluation Criterion 5
Financial Qualifications

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

____ You should discuss the funds you currently have available and identify funds committed or pledged by others to the operation of the station.

____ In an optional exhibit, you should provide any available documentation of local support that has been committed, even if conditionally. You may also include any other documentation you have to show that your financial expectations are realistic.

☞ Use of CPB funds for the non-Federal share of PTFP projects is limited to circumstances of “clear and compelling need.” Any such request must be accompanied by a statement of any limitations that CPB has placed on the expenditure of its funds.

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 Broadcast Equipment Replacement, Improvement or Augmentation

☞ 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 requested repeater station). DO NOT PROVIDE A FULL STATION INVENTORY.

This facility. Provide inventory information only for the facility (usually a 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 applying for a digital radio or television project and 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 o