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.
NR 162.07(1)(d) (d) Items related to bids for each prime contract including all of the following:
NR 162.07(1)(d)1. 1. The proposal of the successful bidder.
NR 162.07(1)(d)2. 2. An engineer's evaluation of the bids, including bid tabulation, and a recommendation.
NR 162.07(1)(d)3. 3. If an applicant awards a construction or equipment contract to other than the lowest bidder, one of the following:
NR 162.07(1)(d)3.a. a. Written documentation of the reasons why the lowest bidder is considered nonresponsive or nonresponsible.
NR 162.07(1)(d)3.b. b. A legal opinion stating that the award to other than the lowest responsive, responsible bidder meets the requirements of municipal bidding law.
NR 162.07(1)(d)4. 4. Solicitation and utilization information regarding DBEs.
NR 162.07(1)(d)5. 5. Evidence of bid advertisement, including appropriate wage rate language, when applicable.
NR 162.07(1)(d)6. 6. A copy of the bid bond and the performance bond.
NR 162.07(1)(d)7. 7. Evidence of award of the construction contract by the municipality, which may be a notice of award, a municipal resolution, or minutes from the municipal meeting at which the determination of award was made.
NR 162.07(1)(d)8. 8. A bound copy of the executed construction contract with up-to-date copies of all addenda, attachments, appendices, appropriate Davis-Bacon or other wage rate information, and all other applicable documentation that makes the contract complete.
NR 162.07(1)(d)9. 9. Documentation of the construction start date and expected substantial and final completion dates.
NR 162.07 Note Note: A notice of award and a notice to proceed are preferred but not required for this documentation.
NR 162.07(1)(e) (e) A request for disbursement and required supporting invoices, payoff statements, and other applicable documentation of expenditures, including a copy of the title or deed for land purchased for the project if the applicant is requesting financial assistance for land purchase costs, and complete copies of any contract change orders for which costs are included in the request for disbursement.
NR 162.07(1)(f) (f) Evidence that a bond counsel is drafting legal documents related to the authorization and issuance of bonds for action at a municipal meeting prior to the scheduled loan closing.
NR 162.07(1)(g) (g) Completed federal forms, if applicable, including federal forms related to compliance with DBE solicitation and utilization requirements.
NR 162.07(1)(h) (h) Parallel cost percentage information.
NR 162.07(1)(i) (i) An executed intermunicipal agreement, if 2 or more municipalities will discharge to or through the same treatment works or BMP.
NR 162.07(1)(j) (j) Proof that applicable ordinances required under s. NR 162.08 or 216.06 (2) (c) to (e) have been adopted by the municipality.
NR 162.07(1)(k) (k) A copy of the adopted user charge system and proof that the municipality adopted the user charge system.
NR 162.07(1)(L) (L) A copy of the executed construction management contract with an architectural or engineering firm, if costs are requested for this activity.
NR 162.07(1)(m) (m) A resolution declaring intent to reimburse municipal accounts with financial assistance proceeds, as described in U.S. treasury reimbursement regulations 26 CFR 1.150-2.
NR 162.07(1)(n) (n) Documentation of compliance with federal requirements, when applicable, which may include certification of compliance with Davis-Bacon wage rate requirements, use of American iron and steel in the project, and cost, effectiveness, energy efficiency and water efficiency of the selected design.
NR 162.07(2) (2) The department has approved the plans and specifications and the parallel cost percentage for the scored project, and complied with the Wisconsin environmental policy act requirements pursuant to the procedures in ch. NR 150.
NR 162.07(3) (3) The scored project has met the priority requirements of subchs. III and V, as applicable.
NR 162.07(4) (4) The applicant has the legal, institutional, managerial, technical, and financial capability to ensure adequate construction, operations, and maintenance of the treatment works or BMP throughout the applicant's jurisdiction.
NR 162.07(5) (5) DOA finds that the municipality is likely to be able to meet the terms and conditions for receiving financial assistance under ch. Adm 35 and s. 281.59, Stats.
NR 162.07(6) (6) The applicant has received, or has applied for, permits required by the department for the scored project, including those under chs. 30 and 283, Stats.
NR 162.07(7) (7) For an runoff treatment works or BMP, the applicant agrees to do the following:
NR 162.07(7)(a) (a) Adopt local regulations for construction sites.
NR 162.07(7)(b) (b) Adopt a municipal storm water management plan for new development and redevelopment, consistent with performance standards developed by the department under s. 281.33 (3), Stats.
NR 162.07 Note Note: The performance standards are established in ch. NR 151.
NR 162.07(7)(c) (c) Adopt a storm water management zoning ordinance for new development and redevelopment, when required by the department.
NR 162.07 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (1) (j) made under s. 35.17, Stats., Register June 2015 No. 714.
NR 162.08 NR 162.08Requirements for a user charge system and sewer use ordinance.
NR 162.08(1) (1)General. Any user charge system and applicable ordinances adopted by a recipient shall be maintained in accordance with s. 281.58 (14) (b) 7., Stats., or s. NR 216.06 (2) (c) to (e), for the useful life of a treatment works or BMP. The applicant shall submit user charge information to the department and shall certify to the department that the user charge system meets all of the applicable requirements in this subsection.
NR 162.08(2) (2)Applicability.
NR 162.08(2)(a)(a) A user charge system and sewer use ordinance is required of any wastewater treatment works project receiving a loan under this chapter.
NR 162.08(2)(b) (b) A user charge system is required of any storm water project receiving a revenue pledge loan under this chapter.
NR 162.08(2)(c) (c) A user charge system is required of any storm water project that requires an intermunicipal agreement under s. NR 162.06 (2) (h). In this case, “users" means the municipalities covered by the agreement.
NR 162.08(3) (3)User charge system requirements. Any user charge system shall do all of the following:
NR 162.08(3)(a) (a) Require that each user or user class pays its proportionate share of operation and maintenance costs, including replacement costs, of the treatment works or BMP within the recipient's service area.
NR 162.08(3)(b) (b) Provide that the costs of operation and maintenance for all flow not directly attributable to users be distributed proportionally among all users of the recipient's treatment works or BMP.
NR 162.08(3)(c) (c) Require that the charges for users or user classes generate sufficient revenue to pay costs identified in par. (e) 2. and 3.
NR 162.08(3)(d) (d) Require that the recipient establish an equipment replacement fund, maintain the equipment replacement fund as a separate fund of the municipality, and make deposits to this fund on an annual basis or maintain a balance acceptable to the department. This fund is to be used for the costs of replacing equipment related to the treatment works or BMP, or conducting maintenance of a runoff treatment works or BMP. The municipality may also use the equipment replacement fund for unexpected unbudgeted costs incurred for continuing effective operations of the treatment works. The municipality shall periodically make appropriate adjustments to the equipment replacement fund deposit schedule or balance, including adjustments needed to bring the fund balance back up following an expenditure from the fund.
NR 162.08(3)(e) (e) Establish a financial management system that accounts for all of the following:
NR 162.08(3)(e)1. 1. Revenues generated.
NR 162.08(3)(e)2. 2. Costs of operation and maintenance of the treatment works or BMP, including an appropriate amount of money to be deposited annually into the equipment replacement fund.
NR 162.08(3)(e)3. 3. Debt service costs, including debt service reserves, and debt coverage requirements. Debt coverage means the ratio of net revenue available for debt service to the average annual debt service requirements of an issue of revenue bonds.
NR 162.08(3)(f) (f) Require the review, at least once every 2 years, of the wastewater or runoff contribution of users and user classes, the total costs of operation and maintenance of the treatment works or BMP, and the user charge system.
NR 162.08(3)(g) (g) Require that each user that discharges any toxic pollutants or high strength wastes to a wastewater treatment works pay for any increased costs associated with the discharge.
NR 162.08(3)(h) (h) Provide that each user be notified, at least annually, in conjunction with a regular bill, of the rate of charge attributable to service provided by the treatment works or BMP.
NR 162.08(3)(i) (i) Be based on actual or estimated use except as provided for under s. 281.58 (14) (b) 7., Stats.
NR 162.08(4) (4)Municipal responsibilities. The municipality shall do all of the following:
NR 162.08(4)(a) (a) Incorporate the user charge system in one or more municipal ordinances or other legislative enactments, and into intermunicipal agreements if the project serves more than one municipality.
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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.