Comparison of actual with budgeted amounts for each grant.
Procedures for determining the eligibility and allocability of costs in accordance with the provisions of s. NR 128.05
Accounting records which are supported by source documentation.
Audits to be made by the grantee or at his or her direction to determine, at a minimum, the fiscal integrity of financial transactions and reports, and the compliance with the terms of the grant agreement. The grantee shall schedule such audits with the reasonable frequency, usually annually, but not less frequently than once every 2 years, considering the nature, size and complexity of the activity.
A systematic method to assure timely and appropriate resolution of audit findings and recommendations.
The following record and audit policies are applicable to all department grants and to all subagreements.
The grantee shall maintain books, records, documents, and other evidence and accounting procedures and practices, sufficient to reflect properly:
The amount, receipt, and disposition by the grantee of all assistance received for the project, including both state assistance and any matching share or cost sharing; and
The total costs of the project, including all direct and indirect costs of whatever nature incurred for the performance of the project for which the state grant has been awarded. In addition, contractors of grantees, including contractors for professional services, shall also maintain books, documents, papers, and records which are pertinent to a specific state grant award. The foregoing constitute "records" for the purposes of this section.
The grantee's records and the records of his or her contractors, including professional services contracts, shall be subject at all reasonable times to inspection, copying, and audit by the department.
The grantee and contractors of grantees shall preserve and make their records available to the department:
Until expiration of 3 years from the date of final settlement, or
For such longer periods, if required by applicable statute or lawful requirement; or
If a grant is terminated completely or partially, the records relating to the work terminated shall be preserved and made available for a period of 3 years from the date of any resulting final termination settlement.
Records which relate to appeals, disputes, litigation on the settlement of claims arising out of the performance of the project for which a grant was awarded, or costs and expenses of the project to which exception has been taken by the department or any of its duly authorized representatives, shall be retained until any appeals, litigation, claims or exceptions have been finally resolved.
Preaward or interim audits may be performed on grant applications and awards.
A final audit shall be conducted after the submission of the final payment request. The time of the final audit will be determined by the department and may be prior or subsequent to final settlement. Any settlement made prior to the final audit is subject to adjustment based on the audit. Grantees and subcontractors of grantees shall preserve and make their records available pursuant to sub. (2)
NR 128.25 History
Cr. Register, December, 1978, No. 276
, eff. 1-1-79; corrections made under s. 13.93 (2m) (b) 5., Stats., Register, September, 1995, No. 477
The natural resources board may approve variances from requirements of this subchapter upon the recommendation of the department secretary when it is determined that such variances are essential to effect necessary grant actions or department objectives where special circumstances make such variances in the best interest of the state. Before granting variances, the board shall take into account such factors as good cause, circumstances beyond the control of the grantee, and financial hardship.
A grantee may request a variance from any nonstatutory requirement of this subchapter.
(3) Request for variance.
A request for variance shall be submitted in writing to the director, bureau of community financial assistance, as far in advance as the situation will permit. Each request for a variance shall contain the following:
The name of the applicant or the grantee, the grant number, and the dollar value;
The section of this subchapter from which a variance is sought;
An adequate description of the variance and the circumstances in which it will be used, including any pertinent background information which is relevant to making a determination of justification; and
A statement as to whether the same or a similar variance has been requested previously, and if so, circumstances of the previous request.
(4) Approval of variance.
Variances may be approved only by the natural resources board. A copy of each such written approval shall be retained in the department grant file.
NR 128.26 History
Emerg. cr. eff. 4-20-81; cr. Register, August, 1981, No. 308
, eff. 9-1-81; am. (1), (2) and (3) (b), Register, April, 1982, No. 316
, eff. 5-1-82; correction in (3) (intro.) made under s. 13.93 (2m) (b) 6., Stats., Register, May, 2000, No. 533
State grants for individual septic tank replacement or rehabilitation. NR 128.30(1)
The purpose of this section is to establish rules under s. 145.245
, Stats., for the implementation and administration of a financial assistance program to replace or rehabilitate private sewage systems under enforcement orders.
NR 128.30 Note
These eligibilities are separate and apart from those identified in s. NR 128.08
and constitute a separate process.
The following definitions apply to this section.
"Department" means the department of natural resources.
A "failing private sewage system" is a private sewage system which causes or results in any of the following conditions:
The failure to accept sewage discharges which causes back up of sewage into the structure served by the private sewage system.
The discharge of sewage to the surface of the ground or to a drain tile.
The introduction of sewage into zones of saturation which adversely affects the operation of a private sewage system.
"Principal residence" means a residence which is occupied at least 51% of the year by an individual, family or household. Second homes, vacation or recreation residences are not considered "principal residences."
"Private sewage system" means a sewage treatment and disposal system serving a principal residence or small commercial establishment with a septic tank and soil absorption field located on the same parcel of land as the structure. This term also means an alternative sewage system approved by the department of safety and professional services including a substitute for the septic tank or soil absorption field, a holding tank, a system serving more than one structure or a system located on different parcel of land than the structure. A private sewage system may be owned by a property owner or by a special purpose district. In order to constitute a "private sewage system," a system cannot be connected to any conventional municipal treatment works, or have municipal treatment facilities available to the property.
"Small commercial establishments" means a commercial establishment or business place which has average total sewage flows of less than 2,100 gallons per day. However, the private sewage system for a small commercial establishment shall be designed for the maximum daily flow.
(3) Limitations on award.
Before awarding grant assistance for any project for a private sewage system, the department shall determine;
(4) Eligible systems.
Private sewage systems which replace or rehabilitate existing systems are eligible for grant assistance if they meet the eligibility criteria set forth in s. 145.245 (5)
(5) Eligible and ineligible costs.
The following cost eligibility criteria shall apply to applications for private sewage systems grants under s. 145.245
Costs allowable in determining grant funding under this section may not exceed the costs of rehabilitating or replacing a private sewage system which would be necessary to allow the rehabilitated or replaced system to meet the minimum requirements of the state plumbing code under s. 145.13
Costs allowable in determining grant funding under this section may not exceed the costs of rehabilitating or replacing a private sewage system by the least costly methods.
Acquisition of land on which the private sewage system is located is not grant eligible.
Toilets, sinks, tubs, drains and other wastewater generating fixtures, associated plumbing and modifications to a principal residence or small commercial establishment are not grant eligible.
Only reasonable costs of construction site restoration to preconstruction conditions are eligible; however, costs of improvement or decoration occasioned by the installation of a private sewage system are not grant eligible.
Conveyance pipes from wastewater generating fixtures to the treatment unit connection flange or joint are not eligible where the conveyance pipes are located on private property.
Small sewage treatment plants with surface discharges are not grant eligible.
Replacement or rehabilitation work done before the enforcement order which makes the system eligible under s. 145.245 (5)
, Stats., was issued is not eligible.
A county shall apply for grants for the replacement or rehabilitation of private sewage systems aided under this program on forms to be supplied by the department.
NR 128.30 Note
Note: Application forms may be obtained, at no charge, from the Bureau of Community Financial Assistance, Department of Natural Resources, Box 7921, Madison, Wisconsin 53707.
Counties may request preapplication assistance including technical assistance from the department.
An application for a grant to replace or rehabilitate private sewage systems shall include:
Certification by the applicant that grants will be used to replace or rehabilitate private sewage systems which meet the eligibility requirements in s. 145.245 (5)
, Stats., that the funds will be used as provided in s. 145.245 (6)
, Stats., and that allowable costs will not exceed the amount under sub. (5) (a)
Certification by the applicant that grants provided to counties, shall be disbursed to the owners of eligible private sewage systems;
Certification by the applicant that the project will be completed as planned, and that the total share for each principal residence owner or small commercial establishment owner shall not be less than 25% of the total cost of the project.
Certification by the applicant that the grants will be used for private sewage systems that will be properly installed and maintained.
Documentation of an approvable regulatory program to insure proper installation and maintenance of all new or replacement private sewage systems constructed in that county. An approvable regulatory program must include the following:
County adoption of an ordinance which specifically requires compliance with the maintenance program set forth in subd. 5. d.
and which specifically grants enforcement authority.
A system for providing written notice of the maintenance program requirements to each applicant for a sanitary permit at the time of application.
An inspection program, which includes at least one inspection during installation of a system.
A maintenance program, which requires inspection of all new or replacement private sewage systems at least once every 3 years. The owner of a system subject to the maintenance program must be required to submit to the county a certification form (to be provided by the county) every 3 years, signed by the owner and signed by a master plumber, journeyman plumber or restricted plumber licensed under ch. 145, Stats.
, a person licensed under s. 281.48
, Stats., or by a county or state employee designated by the department, who has inspected the system. The form shall require certification that the system is in proper operating condition, and that after inspection, and pumping if necessary, the septic or holding tank is less than 1/3 full of sludge and scum.
Where considered appropriate, by the county, a system of user charges and cost recovery which assures that each recipient of service under this program will pay a proportionate share of the costs. User charges and cost recovery may include the cost of the grant application fee and the cost of supervising installation and maintenance.
For a system serving more than one principal residence or small commercial establishment, an assurance (such as by deed restriction or other covenant running with the property) that the system is and will continue to be owned and controlled jointly by the owners of the properties served.
A statement assuring availability of the proposed site, if relevant.
A description of the nature and scope of the project and an itemized description of the estimated or actual costs for the project.
Subagreements or proposed subagreements, or an explanation of the intended method of awarding subagreements, for performance of any substantial portion of the project work.
A map showing the boundaries of all contiguous project areas established for the purposes of priority ranking under sub. (7)
, and showing the location of all property lines and all private sewage systems included in each contiguous project area.
Grant payments shall be made to the county applying for a grant. The county shall be responsible for disbursing all funds received from the department for the purposes for which the grant award was made.
The grantee may submit requests for payments for eligible costs in accordance with a negotiated payment schedule included in the grant agreement. Upon receipt of a request for payment, the department shall cause to be disbursed from available funds such amounts as are necessary. The total amount of necessary state payments to the grantee for the project should be equal to the state share of the actual eligible project costs incurred to date, as the grantee certified in its most recent request for payment.
At any time before final payment under the grant, the department may cause any request(s) for payment to be reviewed or audited. Based on such review or audit any payment may be reduced for prior overpayment or increased for prior underpayment.
The state share of any refunds, rebates, credits, or other amounts (including any interest) that accrue to or are received by the grantee for the project, and that are properly allocable to costs for which the grantee has been paid under a grant, must be paid to the state of Wisconsin.
After approval of the request for payment, which the grantee designates as the "final payment request", and the grantee's compliance with all applicable requirements of this subchapter and the grant agreement, the department shall pay to the grantee any unpaid balance of the state share of the eligible project cost. The final payment request must be submitted by the grantee promptly after project completion. Before final payment under the grant, the grantee must execute and deliver an assignment to the state of Wisconsin, of the state share of refunds, rebates, credits or other amounts (including any interest thereon) properly allocable to costs for which the grantee has been paid by the state under the grant.
It is department policy that full and prompt payment be made to the grantee for eligible project costs. The department may only authorize the withholding of a grant payment where it determines in writing that a grantee has failed to comply with project objectives, grant award conditions, or reporting requirements. Such withholding shall be limited to only that amount necessary to assure compliance.
The department shall withhold payment to the extent of any indebtedness to the state of Wisconsin, unless it determines that collection of the indebtedness will impair accomplishment of the project objectives and that continuation of the project is in the best interest of the state of Wisconsin.
If the department has reason to believe that a violation of the provisions of this section or of any grant or grant amendment made under this section has occurred, the department may take action as follows:
Under s. 145.245 (14)
, Stats., the department may cause written notice to be served upon the alleged violator, and in conjunction with that notice:
Issue an order that corrective action be taken by the alleged violator within a reasonable time, or
Require that the alleged violator appear before the department for a hearing, to answer the charges that a violation has occurred.