NR 162.04(2)(g)1. 1. The official or employee, the official's or employee's spouse, or the official's or employee's partner has an ownership interest in the firm selected for the contract.
NR 162.04(2)(g)2. 2. Any person identified in subd. 1. receives any contract, gratuity, or favor from the award of the contract.
NR 162.04(2)(h) (h) Engineering. Engineering costs attributable to ineligible construction costs when ineligible construction and equipment costs are 10% or more of total construction and equipment costs.
NR 162.04(2)(i) (i) Grant administration. Any costs for administering or applying for funding from sources other than the CWFP, such as U.S. department of agriculture's rural development programs, a community development block grant program, federal state and tribal assistance grants, U.S. army corps of engineers, focus on energy, or other non-CWFP federal or state government loan or grant programs, or other types of financial assistance programs.
NR 162.04(2)(j) (j) Hookup charges. Hookup charges imposed by one municipality on another for hooking into a treatment works or BMP, or transport system to such a facility, unless the charges are based on identifiable capital improvement costs incurred by the municipality imposing the charge, and are included in an intermunicipal agreement meeting the requirements of s. NR 162.06 (2) (h).
NR 162.04(2)(k) (k) Industrial facilities. Costs associated with privately-owned pretreatment facilities and monitoring equipment used by industry for sampling discharges to a municipal treatment works.
NR 162.04(2)(L) (L) Interim financing. Interest or principal payments on interim financing paid by the municipality out of its internal funds rather than capitalized funds.
NR 162.04 Note Note: The ineligibility of interest or principal payments in par. (L) is based on U.S. treasury reimbursement regulations 26 CFR 1.150–2.
NR 162.04(2)(m) (m) Late fees. Interest or late fees charged a municipality for delayed payments to engineers, construction contractors, financial advisors, and others providing services to the municipality.
NR 162.04(2)(n) (n) Laterals. Connection laterals that transport wastewater from structures to municipally–owned or privately–owned wastewater systems.
NR 162.04(2)(o) (o) Leases. Costs related to leasing land or buildings.
NR 162.04(2)(p) (p) Mismanagement and litigation. Costs of claims against the recipient resulting from mismanagement or caused by the recipient's vicarious liability for the improper action of others, and costs resulting from litigation of contract disputes, liquidated damages, appeals, and other related disputes.
NR 162.04(2)(q) (q) Negligence. Costs incurred due to negligence or error of a party contracted by the municipality.
NR 162.04(2)(r) (r) No construction. All costs of a project if the municipality does not finance some construction costs through the CWFP, unless another governmental agency is providing financing for the construction costs and the department receives acceptable documentation of the other agency's commitment.
NR 162.04(2)(s) (s) O and M. Operation and maintenance expenses as defined in ss. NR 162.003 (60) and (50), respectively.
NR 162.04(2)(t) (t) Ordinary municipal operating expenses. Ordinary operating expenses of a municipality, such as salaries and expenses of elected officials and on-staff attorneys, postage, utility bills, and annual financial audits.
NR 162.04(2)(u) (u) Other funding. Costs for which payment has been or will be received from another funding source, including costs for which funds from the U.S. department of agriculture's rural development program or a community development block grant program are committed, or costs covered by a focus on energy grant. If the municipality does not receive the funds expected from the other source, the department may consider the costs of the work that was to be funded through the other source to be eligible for CWFP financial assistance, unless the costs are considered ineligible under another paragraph in this subsection. This paragraph does not apply to a municipality receiving a loan from the BCPL for a scored project receiving interest subsidy under subch. IV.
NR 162.04(2)(v) (v) Outside of scope. Costs outside the scope of the scored project. The department may approve a de minimis amount of costs outside the scope if the extra work will improve the overall integrity, operation, or functionality of the treatment works or BMP.
NR 162.04(2)(w) (w) Personal injury. Personal injury compensation or damages arising out of the project, whether determined by adjudication, arbitration, negotiation, or otherwise.
NR 162.04(2)(x) (x) Post-closeout. Costs incurred after the project completion date of the scored project.
NR 162.04(2)(y) (y) Private septic payments. Credits or payments to private septic owners made as a result of complying with s. 60.726, Stats.
NR 162.04(2)(z) (z) Sludge removal. Removing sludge from a wastewater facility, unless it is part of the activities necessary for a scored project.
NR 162.04(2)(zc) (zc) Special devices. Waste-generating fixtures and associated plumbing from a residence or commercial establishment to a treatment unit, and modifications to homes or other buildings for installation of special devices.
NR 162.04(2)(zg) (zg) Special districts. Costs of establishing special purpose districts or commissions, such as sanitary districts, utility districts, and joint commissions.
NR 162.04(2)(zL) (zL) Violation penalties. Fines and penalties due to violations of, or failure to comply with, federal, state, or local laws.
NR 162.04(2)(zp) (zp) Watermains. Watermain construction, replacement, or repair, unless the watermain is needed to carry water to a part of the treatment works, or the watermain work is necessary as a direct result of work performed for a scored project, such as moving a watermain to allow appropriate distance between it and a sanitary sewer pipe being constructed in the scored project or repairing or replacing a watermain damaged during construction of the scored project.
NR 162.04(2)(zt) (zt) Wisconsin fund facilities. The acquisition of a treatment works built with Wisconsin fund grant program monies.
NR 162.04 Note Note: The Wisconsin fund grant program was created to fund municipal wastewater treatment facility projects required to achieve the federal goal of “fishable and swimmable" for the state's waters. Final grant closeouts of Wisconsin fund projects occurred during the 1990s. This grant program preceded the CWFP which was created in 1987 Wisconsin Act 399.
NR 162.04(2)(zx) (zx) WPDES permit fees. The cost of a WPDES permit unless it is a special permit specific to the project construction.
NR 162.04(3) (3)Limitation on eligibility of interim financing costs.
NR 162.04(3)(a)(a) Net interest expense. Interim financing interest expenses shall be offset with any interest earnings from the investment of the proceeds from the interim financing to determine the amount eligible for CWFP financial assistance.
NR 162.04(3)(b) (b) Interim financing issuance costs. The amount of interim financing issuance costs eligible for financial assistance is limited to $15,000 plus 0.5% of the total eligible face amount of the interim financing. If interim financing is rolled over or renewed, the face amount may not be counted multiple times in calculating the eligible face amount of interim financing for purposes of this limit.
NR 162.04(3)(c) (c) Interim interest costs. The period of time for which interest on interim financing is eligible for financial assistance shall run from no earlier than 12 months prior to the start of construction through the earliest of the following:
NR 162.04(3)(c)1. 1. The date of the first disbursement of the financial assistance.
NR 162.04(3)(c)2. 2. One year following substantial completion of the project.
NR 162.04(3)(d) (d) Cost proration. If the term of the interim financing exceeds the limit in par. (c), the interim financing costs shall be prorated using the length of the eligible term divided by the total time that the interim financing is outstanding. If the debt used for interim financing is not exclusively for the CWFP scored project, costs shall be prorated according to the proportion of the total debt that is for the scored project.
NR 162.04(3)(e) (e) Maximum principal. The amount of interim financing principal that may be refinanced with CWFP financial assistance may not exceed the total amount of the interim financing that was spent on eligible project costs.
NR 162.04 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (1) (a) 11. c. made under s. 35.17, Stats., Register June 2015 No. 714.
NR 162.05 NR 162.05Notice of intent to apply.
NR 162.05(1) (1) A municipality shall submit notice of its intent to apply for financial assistance in the form required by the department by October 31 prior to the state fiscal year from which the municipality is requesting to receive financial assistance. In order for the notice of intent to apply to be valid, it shall include the signature of an elected official of the municipality, an employee of the municipality, or the municipality's authorized representative designated by resolution, and at least one of the following shall apply:
NR 162.05(1)(a) (a) The online intent to apply form is completed and submitted by October 31.
NR 162.05(1)(b) (b) An alternate method of delivery is used due to inability to access or electronically submit the online electronic form if appropriate justification accompanies the alternate submittal. Alternate methods include any of the following:
NR 162.05(1)(b)1. 1. A paper copy of the intent to apply form is postmarked by October 31 or has a documented shipping or mailing date of October 31 or earlier.
NR 162.05(1)(b)2. 2. The department receives the intent to apply form by October 31 via fax, e-mail, or other delivery methods. These methods are acceptable as long as it is clear that the notice arrived at the department by the October 31 deadline.
NR 162.05(1)(b)3. 3. Hand-delivery and shipping without documentation of the shipping date are acceptable as long as they are received by the department prior to the close of business on October 31.
NR 162.05 Note Note: An Intent to Apply form is available on the Environmental Improvement Fund website at dnr.wi.gov/Aid/EIF.html and from the Bureau of Community Financial Assistance, Department of Natural Resources, Box 7921, Madison, WI 53707-7921.
NR 162.05(2) (2) The department may waive the requirement in sub. (1) upon the written request of a municipality pursuant to s. 281.58 (8m) (c), Stats. A waiver shall be in the form of a variance to sub. (1) and shall be consistent with the rules established in s. NR 162.20 (1) for granting variances.
NR 162.05(3) (3) The department may waive the requirement in sub. (1) if the municipality has applied for a grant for which it is eligible under either s. 281.65 (4c) or 281.66, Stats.
NR 162.05 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.06 NR 162.06Application.
NR 162.06(1) (1)Procedures. A municipality shall apply for financial assistance in accordance with s. 281.58 (9), Stats., in the form required by the department.
NR 162.06 Note Note: An application form is available on the Environmental Improvement Fund website at dnr.wi.gov/Aid/EIF.html and from the Bureau of Community Financial Assistance, Department of Natural Resources, Box 7921, Madison WI 53707-7921. An interest rate subsidy application is a different form and must be submitted in accordance with s. NR 162.41.
NR 162.06(2) (2)Contents of application. The applicant shall submit a complete application. A complete application includes each of the following items, if applicable to the project:
NR 162.06(2)(a) (a) Evidence of an approved facility plan or other department approved plan.
NR 162.06(2)(b) (b) Construction plans and specifications submitted to the department in accordance with chs. NR 108 and 110 that are approvable under ch. 281, Stats.
NR 162.06(2)(c) (c) A completed financial assistance application form, including estimated or actual construction costs and information regarding assistance received or expected from another funding source.
NR 162.06 Note Note: The CWFP shall not provide any financial assistance for a project if construction costs are not included as part of the project costs to be funded by the CWFP, with the exception of some situations in which other funding sources are also participating in the financing of the project.
NR 162.06(2)(d) (d) Items or information for compliance with federal regulations, identified by the department on the application form as required for a complete application; these items may include documentation of compliance with wage rate laws, completed federal forms, and information regarding green project components or buying American iron and steel.
NR 162.06(2)(e) (e) Copies of executed engineering contracts for planning and design if costs are requested for planning and design.
NR 162.06(2)(f) (f) A copy of the executed engineering contract for construction management if funds are requested for construction management and the contract is available at the time of application submittal.
NR 162.06(2)(g) (g) A resolution authorizing an elected official of the municipality or an employee of the municipality to act as the applicant's representative in connection with the application and with any additional information required for financial assistance.
NR 162.06(2)(h) (h) A proposed or an executed intermunicipal agreement when 2 or more municipalities discharge to or through the same treatment works or BMP. The intermunicipal agreement shall do each of the following that is applicable to the project:
NR 162.06(2)(h)1. 1. Identify ownership for each individual portion of the treatment works or BMP, such as interceptors, sewage collection systems, MS4s, lift stations, and privately owned treatment works or BMPs.
NR 162.06(2)(h)2. 2. Establish a term of agreement that is at least for the life of the loan.
NR 162.06(2)(h)3. 3. For runoff treatment works or BMP projects, require each municipality to adopt local regulations for construction sites, and adopt a municipal storm water management plan for new development and redevelopment, consistent with the performance standards developed by the department under s. 281.33 (3), Stats.
NR 162.06(2)(h)4. 4. Demonstrate the basis for generating revenue for operation, maintenance, and replacement costs based on actual use, and state the parties that are responsible for paying these charges.
NR 162.06(2)(h)5. 5. Indicate the method for generating revenue for capital costs and indicate who is responsible for payment.
NR 162.06(2)(h)6. 6. Indicate that the owner of the regional facility shall accept the applicant's wastewater or runoff and identify the boundary from which the applicant's discharge originates.
NR 162.06(2)(h)7. 7. Require each entity to adopt a user charge and sewer use ordinance that is consistent with the requirements of s. NR 162.08.
NR 162.06(2)(h)8. 8. For runoff treatment works or BMP projects, require each municipality to adopt a storm water management zoning ordinance for new development and redevelopment, when required by the department.
NR 162.06(2)(i) (i) Financial information required by DOA to be used in determining the affordability of the proposed project, the financial capability of the municipality, and the adequacy of the pledge of revenues to repay the obligation securing the proposed financial assistance.
NR 162.06(2)(j) (j) A copy of the existing user charge system, if available, and information regarding the proposed user charge system and a sewer use or storm water management zoning ordinance, when required by the department, for the treatment works or BMP.
NR 162.06(2)(k) (k) Any existing or proposed contracts with users of the treatment works or BMP.
NR 162.06(2)(L) (L) Documentation applicable to U.S. internal revenue service tax information as indicated in the application form.
NR 162.06(2)(m) (m) A resolution declaring intent to reimburse municipal accounts with financial assistance proceeds, if required by U.S. treasury reimbursement regulations 26 CFR 1.150–2, and the local governmental unit passed a reimbursement resolution prior to the application submittal deadline.
NR 162.06(2)(n) (n) A copy of the debt instrument of any debt to be refinanced with CWFP financial assistance.
NR 162.06(3) (3)Application acceptance. The department shall accept an application as complete after all of the following occur:
NR 162.06(3)(a) (a) The department determines that it received all of the applicable items and information from sub. (2) for the scored project, either in the application form or separately.
NR 162.06(3)(b) (b) The department receives a certification worksheet documenting DOA's initial determination that there is a reasonable likelihood the municipality will be financially capable of repaying a loan from the CWFP.
NR 162.06(4) (4)Projects funded jointly with other agencies. If a project is receiving funding from another state or federal agency, and the department is unable to obtain typical documentation for the project due to differences between agencies in items or procedures, including a project that is let with a group of projects by the Wisconsin department of transportation or a project for which the contents of a contract includes language specific to the other agency, the department may determine what documentation is appropriate to satisfy the application requirements.
NR 162.06(5) (5)Application submittal deadline. In fiscal years for which the department sets an application submittal deadline for all or a specific type of funding, the applicant shall submit a completed application form and required attachments by the application submittal deadline in order to be considered eligible for the funding for which the deadline is set. If the department determines an attachment or some information is missing from an application and is, therefore, incomplete, the department may allow a reasonable amount of additional time for an applicant to submit the missing items. The department may refuse an application if it is missing multiple attachments or a significant amount of information, or if the applicant fails to submit missing attachments or information by the extended deadline date set by the department in correspondence sent to the applicant.
NR 162.06(6) (6)Intermunicipal exception. The department may waive the requirement of an intermunicipal agreement if an order under s. 281.43 (1), Stats., has been issued, or if the department has obtained executed intermunicipal agreements for subscribers whose design flows, design suspended solids capacities, annual debt payments, and wastewater projects' designed biochemical oxygen demand (BOD) capacities total at least 90% of the total for the regional treatment works or BMP.
NR 162.06(7) (7)Deadline for signing financial assistance agreement. An applicant shall sign the financial assistance agreement within 8 months after the date the department determines in writing the application is acceptable. An applicant shall time its submittal of the application accordingly. If a financial assistance agreement is not signed within 8 months of the department's determination of acceptance, the applicant's project shall lose its CWFP allocated subsidy. A municipality may not submit more than one application for any single project in any 12-month period, except for an application for additional costs for a scored project for which the department previously executed a financial assistance agreement.
NR 162.06 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (3) (a) made under s. 13.92 (4) (b) 7., Stats., Register June 2015 No. 714.
NR 162.07 NR 162.07Financial assistance requirements. Before executing a financial assistance agreement for any project under subch. II or III, the department shall determine that all of the applicable requirements of s. NR 162.06 are met and that all of the following are satisfied:
NR 162.07(1) (1) All of the following documentation, if applicable to the scored project, is submitted to the department:
NR 162.07(1)(a) (a) Certification for force account work as required by s. NR 162.09 (5).
NR 162.07(1)(b) (b) Initial flow documentation, if the scored project or a portion of the scored project is to construct a sewage collection system in or extend an interceptor to an unsewered area.
NR 162.07(1)(c) (c) Legal opinion regarding land ownership and acquisition of easements and rights–of–way necessary for the project.
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Published under s. 35.93, Stats. Updated on the first day of each month. Entire code is always current. The Register date on each page is the date the chapter was last published.