Chapter 4 Public Works

Chapter 4: Public Works (PW)

2016 Application Forms, Instructions,

and Application Guidelines

State of Nebraska, Department of Economic Development

Housing and Community Development Division

Community Development Block Grant (CDBG)

Community Development Program

Effective for 2016 Program Year (July 1, 2016 through June 30, 2017)

Table of Contents

Section A. OVERVIEW

Overview ...... 3

Section B. APPLICATION FORMS & INSTRUCTIONS

Application Forms & Instructions ...... 7

Table of Contents Checklist ...... 7

Part I.General Information...... 10

Part II.Funding Summary...... 12

Part III.Project Budget...... 14

Part IV.Project Description & Scoring Criteria...... 15

Part V.Exhibits and Attachments...... 22

Section C. APPLICATION GUIDELINES

Section 1.01 Eligible Applicants...... 23

Section 1.02 Types of Applicants...... 23

Section 1.03 Special Policies for Applicants...... 23

Section 2.01 Compliance with the National Objective...... 24

Section 2.02 Compliance with State Community Development Objective...... 26

Section 3.01 Compliance with State Public Works Priorities...... 27

Section 3.02Special Policies for Activities...... 27

Section 3.03Ineligible Activities...... 29

Section 3.04 Eligible Activities...... 30

Section 4.01 Maximum Grant Amount...... 31

Section 4.02 Matching Funds Requirements...... 31

Section 4.03 Program Income...... 32

Section 4.04 Public Works Priority Point System for Selection...... 33

Section 5.01 Submission of Applications and Selection of Grantees...... 37

Section 5.02 Special Policies for Thresholds for Selection...... 39

Section 5.03 Use of Consultants...... 40

Section 5.06 Post Award Requirements...... 43

Section 6.01 Glossary of Terms...... 45

Section A. Overview

These application guidelines are for all Public Works applications. Any eligible applicant must follow the instructions and information within this Chapter in order to apply for any Public Works resources.

The purpose of the Public Works (PW) Category is to provide for investments in effective and affordable infrastructure and facilities to quality communities that are investing in long- term development. This provides a sound basis for fostering local economic development. This recognizes the importance of the availability and condition of public works/facilities. Funded projects shall develop the state's communities and counties by providing residents with basic public works/facilities with the opportunity to maximize energy efficiency.

FOR MORE INFORMATION

For further information please contact the following primary contact for this program. See also Chapter 1 for more information and Chapter 9 for the Exhibits for the application.

Rebecca Schademann

Nebraska Department of Economic Development

Housing and Community Development Division

PO Box 94666, Lincoln NE 68509-4666

Phone: 1 (402) 471-3172(or) 1 (800) 426-6505

Fax: (402) 471-8405

E-mail:

DED website:

A. ELIGIBLE APPLICANTS

Except as provided for in Section 1.03 of the Application Guidelines, eligible applicants include every Nebraska incorporated municipality under 50,000 in population and every county.

B. ELIGIBLE ACTIVITIES

The following activities are eligible within the PW Program. If any activity is not noted within the list below, please consult a CDBG Program Representative in order to determine if any other proposed activities are eligible for the program.

Community centers;
Senior centers exclusively for persons aged 62 and over;
Nonprofit centers for day care, primary health and mental health clinics;
Remodel shelter facilities for the homeless (excludes costs for operation);
Accredited public libraries;
Fire and/or rescue buildings, including fire trucks;
Removal of architectural barriers from city/village halls or county courthouses for accessibility;
Parks (a new facility/improvement or a quantifiable increase of an existing facility/improvement);
Street, curb, gutter, sidewalk, or storm sewer;
Flood control and drainage;
Tornado-safe shelters in manufactured home parks.

For more information see Section 3.04 of the Application Guidelines.

C. INELIGIBLE ACTIVITIES

The following activities are ineligible within the PW Program. If any activity is not noted within the list below, and is not listed as an eligible activity, please consult a CDBG Program Representative in order to determine if any other proposed activities are eligible for the program.

Buildings used predominantly for the general conduct of government such as:
City and village halls;
County administrative buildings
State Capitols,
Office buildings or other facilities in which the legislative or general administrative affairs of the government are conducted.
General government expenses, except those costs that are directly attributable to administration of a local CDBG program;
Facilities or equipment used for political purposes or to engage in other political activities;
Purchase of equipment except as set forth in Section 3.03(4) of the Application Guidelines;
Generally, any expense associated with repairing, operating, or maintaining public facilities, improvements and services. For specific exceptions see Section 3.03(5) of the Application Guidelines;
For income payments for housing including:
Payments for income maintenance;
Housing allowances;
Down payments;
Mortgage subsidies.

For a full description of ineligible PW program activities, please see Section 3.03 of the Application Guidelines.

D. GRANT AMOUNTS & MATCHING FUNDS

Grant Amount

The maximum grant amount is $250,000 for a community or county. The CDBG cost per beneficiary cannot exceed $3,000, except for day care where it cannot exceed $5,000.

Matching Funds

Matching Funds are required non-CDBG cash contributions committed and accountable to the project. Projects providing matching funds in excess of the required percentage may be awarded additional points. Allowable cash and in-kind contributions are governed by the Code of Federal Regulations (CFR) in the following sections, 2 CFR Part 200 and 24 CFR 85.24.

All PW program activities require a minimum of 25% match. No more than 12.5% of the total project match may be comprised of in-kind services or source contributions.
General administrationactivitiesmaynotexceed10%oftheamountofCDBGfundsawarded,butnottoexceed$25,000.GeneralAdministrationactivities donot requireany matching funds and also cannot be matched, using local resources, for purposes of meeting the 25% match requirement.

E. APPLICATION DUE DATES

Applications are prepared at the applicants’ expense and costs are not reimbursable. The applicant must receive Approval of the National Objective from DED for each project in order for applicants to be eligible to submit a full PWapplication. Applicants must complete the “2016 Public Works National Objective Pre-Approval Application” by Monday, May 9, 2016. This form can be located on the DED website, The submission of the “2016 Public Works National Objective Pre-Approval Application” will be accepted beginning March 4, 2016 through May 9, 2016 based on U.S. Postal Service post mark date or date of delivery by other means. Any pre-approval applications received after May 9, 2016 will not be accepted. Applicants will be notified regarding the status of their “2016 Public Works National Objective Pre-Approval Application” by June 10, 2016 or earlier.

Once the applicant receives approval of the National Objective the applicant may submit the full 2016 PW application. The full 2016 PW application are due on Monday, August 8, 2016.

Applications will be accepted during this period based on U.S. Postal Service postmark date or date of delivery by other means. Applications are reviewed by DED according to the selection criteria established in Section 5.03 and 5.04 of the Application Guidelines. It is anticipated that the Governor of Nebraska will announce PW grant awards in the fall of 2016. Projects are to be completed by the grantees within 24 months following award and the special conditions within the first 90 days following award.

NOTE: All land for the project MUST be in the possession of the community at the time of application.

Belowisa summary ofthemilestones:

Milestone / Deadlines
CDBGNationalObjectiveSubmissionfor aSpecificProject Due / May 9, 2016
NationalObjectiveApprovalNotification / June 10, 2016
PublicWorksApplicationsDue / August 8, 2016
PublicWorksProjectsAwarded / Fall2016

F. THRESHOLD REVIEW CRITERIA

Thefollowingthresholdrequirementsmustbemetbythelocalgovernmentapplicantinordertobeeligibleforprogramresources.Theserequirementsinclude:

a.Activities proposedareeligibleandcomplywithCDBG NationalObjectivesandState CDBGpriorities. See the Section 2.01 for more information.

b.Applicanthasnosignificant,unresolvedauditfinding;

c.Applicanthasnolegalactionsunder waythat may significantly impactitscapacity;

d.ApplicantisfollowingadetailedCitizen ParticipationPlan(CPP) andAnti-DisplacementPlan;

e.Applicanthasadopted anauthorizing participation resolution;

f.Applicantmusthaveaddressedandclearedallcomplianceproblems (i.e.DavisBacon, acquisition,fair housing, etc.)Foundduring monitoring,ifany,frompastawardedprojects,andhavehadaresponseacceptedbyDED;

g.Applicantiscurrentwithallreportingrequirements(semiannual statusreports,closeoutreports,auditreports,notificationofannualaudits,etc.);and

h.Applicant has shown progress (including expenditures) on prior CDBG grants. In general, DED will review projects that have been funded at least 2 years prior to the current Program Year.

CDBG National Objective

AllPW projects funded,and CDBG-funded project activities,mustmeetaNationalObjectiveoftheCDBGProgram.This includes:

Benefitinglow-to-moderate incomepersons(LMI), (includingonanareabasisorservingalimitedclientele);

AprojectorprojectactivitythatfailstomeetoneofthesespecifiednationalobjectivesisineligibleforCDBGresources. For more information see Section 2.01 of the Application Guidelines.

G. POST AWARD REQUIREMENTS

Each eligible application must also comply with any necessary post award requirements. These requirements include: Environmental Review; Davis-Bacon compliance; Procurement, etc.

For more information, and for a complete list of Post Award Requirements, see Section 5.06 of the Application Guidelines.

H. APPLICATION POINT SYSTEM AND SCORING

Each Chapter of the CDBG Application Guidelines contains specific information regarding the scoring criteria for each Program. A summary of the scoring criteria is noted within each Program’s Selection Criteria Matrix. Within Section B. Application Forms and Instructions, the “Part IV – Project Description” provides details on scoring and the points assigned to all scoring criteria.

Below is the Scoring Criteria Matrix for the PW Program. TheMatrixdescribes eachselectioncriteriaasanumericalscore.Themaximumnumber ofpointsavailable withinanyapplicationis1,000points.Aminimumscoreof300pointsisrequiredandsomecriteriarequireaminimumscoreasnotedbelow.

(1) / (2) / (3) / (4) / (5) / (6) / (7) / (8)
ProjectNeed / ProjectImpact / ProjectReadiness / CitizenParticipation / Matching Funds / LMI
Benefit / MEF / Bonus Points / TOTAL
200 / 150 / 250 / 150 / 50 / 50 / 100 / 50 / 1,000 points
75 min / 75 min / 100 min / 50 min / 0 / 0 / 0 / NA / 300 minimum

For more information see Section B. Application Forms and Instructions and Section C. Application Guidelines.

Section B. Application Forms & Instructions

This section contains all forms and exhibits to be submitted so that your application can be scored and ranked effectively. Application narratives should be thorough and concise. The Department reserves the right to verify all information, and to consult with other agencies on the proposed project.

There are more applicants requesting funds than there are funds available. Applicants must carefully read and review the application guidelinesand the selection criteria described to develop a competitive application.

In submitting your application, these instructions must be followed:

Submit ORIGINAL, TWO (2) complete copies, and a PDF copy of the application.
Do not fold, staple, or bind in any way.
No less than 2" top margin and 1" side and bottom margins.
Table of Contents must be included
All pages must be numbered in sequence at the bottom of the page.
All Exhibits must be labeled at the bottom of the page, right-hand corner.
All Attachments must be labeled at the bottom of the page, right-hand corner.

Failure to follow these instructions will result in your application being returned for you to correct and resubmit. All applicants will be given one week to correct and resubmit their application.

PAGES MUST BE TWO-HOLE PUNCHED AT TOP. DO NOT BIND, FOLD OR STAPLE.

Below is an outline of what a PW Application should look like:

Cover Sheet
Table of Contents (use Table of Contents Checklist)
Part I. General Information (use required form)
One Page Project Summary (follow instructions)
Part II. Funding Summary (use required form)
Part III. Project Budget
Part IV. Project Description & Scoring Criteria
Part V. Required Exhibits and Attachments (See Chapter 9 for all Exhibits)
Part VI. Additional Attachments (supplemental info provided by applicant)

Table of Contents & Checklist

Each applicant must attach a Table of Contents to their application and must include a Table of Contents Checklist for the Program they are applying for with their application.

The following page provides the format for the Table of Contents Checklist for PW applications.

Public works Table of contents checklist

Applicants must complete and submit this checklist with the application. Type in additional appendix items as deemed necessary to your project. List appropriate page numbers under PAGE NUMBER column.

Please use the language verbatim in each exhibit. Incorrect language may cause a delay in application review and award, if successful. Also, provide the bracketed information as requested in each exhibit. The omission or incomplete description as requested in bracketed text may cause a delay in application review and awards.

PROJECT INFORMATIONPAGE NUMBER

Part I – General Information......

Part II – Funding Summary......

Part III – Project Budget......

Part IV – Project Description & Scoring Criteria

Item 1 – Project Need......
Item 2 – Project Impact......
Item 3 – Project Readiness......
Item 4 – Citizen Participation......
Item 5 – Matching Funds......
Item 6 – LMI Benefit......
Item 7 – MEF......
Item 8 – Bonus Points......

Part V – Required Exhibits

A.Notice of Public Hearing......

B.Authorizing Resolution Endorsing Project......

C-1.Statement of Assurances and Certifications......

C-2.Citizen Participation Plan......

D.Residential Anti-Displacement & Relocation Assistance Plan......

E-1.LMI Documentation/Low- and Moderate-Income Worksheet (Only for LMI Area Benefit)..

E-2.LMI Random Sample Worksheet (Only for LMI Area Benefit)......

E-3.LMC Worksheet (Only for Limited Clientele)......

F-1.Slum and Blight Area Basis Documentation (Only for SBA Area Basis)......

F-2.Slum and Blight Spot Basis Documentation (Only for SBA Spot Basis)......

K-1.Waiver of Procurement Process*......

K-2.Procurement Process Completed Prior to Application**......

L.Federal Funding Accountability and Transparency Act (FFATA) Form......

M.Map of Proposed Project Area......

N.System for Award Management (SAM) Record and Clearance Documentation......

O-1. Four Factor Analysis Assessing Limited English Proficiency......

O-2. Language Assistance Plan (optional at the time of application)***......

*Only required when Applicant will act in its official capacity or has retained the services of a professional and can provide documentation to the appointed person(s) or firm(s) for three consecutive years, including the program year for which they are seeking funds.

**Only required when the procurement process has been completed prior to the application, all procurement procedures must follow state and federal requirements when CDBG funds are used.

***Language Access Plan is only required if found to be necessary through completion of the Four Factor Analysis Assessing Limited English Proficiency.

Part V – Required Attachments (where applicable)

Attachment 1 – Facility Floor Plan (for all building projects)......

Attachment 2 – Commitment letters for all sources listed in Part II and Part IV – Item 3..

Part VI–Additional Attachments (where available)

Attachment (number and title)......

PART I – GENERAL INFORMATION

Type or print all information except where signatures are required.

Applicant Identification:Enter the name, mailing address, telephone and fax number of the local government that is the applicant in an individual application or the lead applicant in a joint application. Enter the name of the local government contact person. Such person is the applicant’s employee who is most familiar with the application, and not a circuit rider, regional council or community action agency staff person, consultant or other applicant non-employee. Include the Federal Tax Identification number and DUNS number of the Applicant. The DUNS number can be obtained via D&B online at or requested by phone at 866-705-5711 or for persons with a hearing impairment, the TTY number is 866-814-7818. Enter the e-mail address for the local unit of government or local contact.

Person Preparing Application:Enter the name, mailing address and telephone number of the person who prepared the application. If prepared by a firm, identify the staff contact person. Include the Federal Tax Identification number of the firm, development district, or nonprofit. Provide preparer’s e-mail address. Check the appropriate application preparer status box.

Activity Type: Select the project activity. If activity is not listed, please identify under the “Other” category.

Funding Sources: Enter the dollar amounts of CDBG funds requested for this project. Enter the amount of all other funds identified in the application that you are committing to this project. Round amounts to the nearest dollar. (Other funds include matching funds. Matching funds are those CDBG eligible project funds required in Section 4.02. For example, a $250,000 public works activity requires a minimum commitment of $62,500 non-CDBG matching funds. Be certain that the figures are correctly added, and are the same as provided on the “Total” line for each funding source in Part II.

Application Type: Check the appropriate application type box under which funds are being requested.

Project Summary: Give a short detailed description of the project activities in measurable terms for which funds are requested. Include a list of other applicants if a joint application is being submitted. For a joint application, or “on behalf of” application, attach a copy of the written agreement as stipulated in Section 1.03(3).In addition, attach a one page project summary following Part I– Application.

Certifying Official: Only the signature of the applicant's chief elected official will be accepted. Blue ink for signature is advisable. Alternate signatures (e.g. city council president, city manager) are not allowed, except where there exist extenuating circumstances (e.g. chief elected official is out for an extended period), and the applicant receives prior written approval from DED. Type the name and title of both signers and the date of their signatures.

DED USE ONLY
Application Number
16-PW-
Date Received

PUBLIC WORKS (PW) APPLICATION

Community Development Block Grant (CDBG)

Nebraska Department of Economic Development (DED)

PART I. GENERAL INFORMATION

TYPE OR PRINT ALL INFORMATION

1.APPLICANT IDENTIFICATION / 2.PERSON PREPARING APPLICATION
Applicant Name / Name
Mailing Address / Address
City, State, Zip / City, State, Zip
Local Government Contact / Telephone #
Telephone / Federal ID
Fax Number / Email Address
Federal ID # / Application Preparer (Check one)
Local Staff Out-of-State Consultant
In-State Consultant Non-Profit
Economic Development District
DUNS#
Email Address
3. ACTIVITY TYPE
ADA Accessibility Community Center
Day Care Fire Hall/Truck
Health Clinic Streets/Sidewalks
Library Tornado Shelter
Senior Center Other______
Storm Sewer ______
5. APPLICATION TYPE
Individual Joint / 4.FUNDING SOURCES
CDBG Funds Requested / $
Other Funds / $
Total Project Funds / $
(Round amounts to the nearest dollar.)

6.PROJECT SUMMARY: Brief quantitative description of the project for which CDBG funds are requested.