NR 166.07(2)(c) (c) Bonus payments. Bonus payments not legally required for completion of construction before a contractual completion date.
NR 166.07(2)(d) (d) Certification. Fees for operator certification training.
NR 166.07(2)(e) (e) Conflict of interest. Costs incurred under a contract that creates a real or apparent conflict of interest. An apparent conflict of interest arises when an official or employee of a recipient participates in the selection, award, or administration of a contract supported by the SDWLP and any of the following conditions exist:
NR 166.07(2)(e)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 166.07(2)(e)2. 2. Any person identified in subd. 1. receives any contract, gratuity, or favor from the award of the contract.
NR 166.07(2)(f) (f) DBE noncompliance. The amount of project costs determined by the department to be appropriate for a sanction under s. NR 166.12 (4) (b) for noncompliance with DBE good faith effort requirements.
NR 166.07(2)(g) (g) 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 166.07(2)(h) (h) Grant administration. Any costs for administering or applying for funding from sources other than the SDWLP, 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-SDWLP federal or state government loan or grant programs, or other types of financial assistance programs.
NR 166.07(2)(i) (i) Hookup charges. Hookup charges imposed by one municipality on another for hooking into a water system, unless the charges are based on identifiable capital improvement costs incurred by the municipality imposing the charge, proportional to the capacity to be used by the municipality hooking up, and included in an intermunicipal agreement meeting the requirements of s. NR 166.10 (2) (h).
NR 166.07(2)(j) (j) Interim financing. Interest or principal payments on interim financing paid by the municipality out of its internal funds rather than capitalized funds.
NR 166.07 Note Note: The ineligibility of interest or principal payments in par. (j) is based on U.S. treasury reimbursement regulations 26 CFR 1.150-2.
NR 166.07(2)(k) (k) Lab fees. Laboratory fees incurred for activities related to monitoring, except when the monitoring is project specific.
NR 166.07(2)(L) (L) 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 166.07(2)(m) (m) Leases. Costs related to leasing land or buildings.
NR 166.07(2)(n) (n) 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 166.07(2)(o) (o) Negligence. Costs incurred due to negligence or error of a party contracted by the municipality.
NR 166.07(2)(p) (p) No construction. All costs of a project if the municipality does not finance some construction costs through the SDWLP, unless the department is cooperating with another governmental funding agency to put together an affordable financing package and the other agency is providing funding for the construction.
NR 166.07(2)(q) (q) O and M. Operations and maintenance expenses as defined in ss. NR 166.03 (41) and (32), respectively.
NR 166.07(2)(r) (r) 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 166.07(2)(s) (s) 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 eligible for SDWLP financial assistance.
NR 166.07(2)(t) (t) Outside of scope. Costs outside the scope of the scored project. The department may approve a de minimis amount of costs outside the scope of the scored project if the extra items or activities will improve the overall integrity, operation, or functionality of the water system.
NR 166.07(2)(u) (u) Personal injury. Personal injury compensation or damages arising out of the project, whether determined by adjudication, arbitration, negotiation, or otherwise.
NR 166.07(2)(v) (v) Post-closeout. Expenses incurred after the project completion date of the scored project.
NR 166.07(2)(w) (w) Service lines. Water service lines downstream of the curb stop.
NR 166.07(2)(x) (x) Sewer pipes. Storm sewer or wastewater sewer pipe construction, replacement, or repair, unless the work is necessary as a direct result of work performed for a scored project, such as moving a wastewater pipe to allow appropriate distance between it and a watermain being constructed as part of the core scope of work or repairing or replacing a sewer pipe damaged during construction of the scored project.
NR 166.07(2)(y) (y) Site acquisition. Site acquisition expenses other than those meeting the criteria established under sub. (1) (h) and (o).
NR 166.07(2)(z) (z) Source water protection. Land acquisition or easement costs incurred for land used for source water protection.
NR 166.07(2)(zg) (zg) Special districts. Costs of establishing special purpose districts or commissions, such as sanitary districts, utility districts, public inland lake protection and rehabilitation districts, joint local water authorities created under s. 66.0823, Stats., municipal water districts, and joint commissions.
NR 166.07(2)(zr) (zr) Violation penalties. Fines and penalties due to violations of, or failure to comply with, federal, state, or local laws.
NR 166.07(3) (3)Limitation on eligibility of interim financing costs.
NR 166.07(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 financial assistance.
NR 166.07(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 166.07(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 166.07(3)(c)1. 1. The date of the first disbursement of the financial assistance.
NR 166.07(3)(c)2. 2. One year following substantial completion of the project.
NR 166.07(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 SDWLP scored project, costs shall be prorated according to the proportion of the total debt that is for the scored project plus any approved de minimis costs.
NR 166.07(3)(e) (e) Maximum principal. The amount of interim financing principal that may be refinanced with SDWLP financial assistance shall not exceed the total amount of the interim financing that was spent on eligible project costs.
NR 166.07(4) (4)Reimbursement of previously paid project costs. The department may reimburse eligible project costs previously paid by the municipality from its internal funds, if the reimbursement is in compliance with applicable U.S. treasury reimbursement regulations in 26 CFR 1.150–2 and the criteria under s. NR 166.04 (intro.) are met.
NR 166.07 History History: CR 14-044: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (1) (w) 7. made under s. 35.17 Register June 2015 No. 714.
NR 166.08 NR 166.08Notice of intent to apply.
NR 166.08(1) (1) A municipality shall submit notice of its intent to apply for financial assistance in the form required by the department. The municipality shall submit the notice 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 166.08(1)(a) (a) The online intent to apply form is completed and submitted by October 31.
NR 166.08(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 submittal methods include any of the following:
NR 166.08(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 166.08(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 only if it is clear that the notice arrived at the department by the October 31 deadline.
NR 166.08(1)(b)3. 3. Hand-delivery and shipping without documentation of the shipping date are acceptable if the intent to apply form is received by the department prior to the close of business on October 31.
NR 166.08 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, Wisconsin 53707–7921.
NR 166.08(2) (2) The department may waive the requirement in sub. (1) upon the written request of a municipality pursuant to s. 281.61 (3) (c), Stats. Before waiving the requirement in sub. (1), the department shall consider special circumstances and factors consistent with those established in s. NR 166.22 (3) for granting variances.
NR 166.08 History History: CR 14-044: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 166.09 NR 166.09Engineering report.
NR 166.09(1) (1) A municipality shall submit an engineering report to the department for approval as required under s. 281.61 (4), Stats.
NR 166.09(2) (2) An engineering report shall comply with the applicable engineering report requirements contained in chs. NR 108 and NR 811 for the type of project being constructed.
NR 166.09(3) (3) The department shall determine whether there are activities included in the engineering report that fall outside of the scope of the project for purposes of this chapter.
NR 166.09(4) (4) If neither ch. NR 108 nor ch. NR 811 requires an engineering report for a specific project, or if either ch. NR 108 or ch. NR 811 allows submittal and review of the engineering report and plans and specifications simultaneously, and the department receives the plans and specifications with or prior to submittal of the SDWLP application, the municipality may submit an application for financial assistance prior to receiving department approval of the engineering report.
NR 166.09 History History: CR 14-044: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 166.10 NR 166.10Application.
NR 166.10(1) (1)Procedures. Municipalities shall apply for financial assistance in accordance with s. 281.61 (5), Stats., to be considered for financial assistance in the following state fiscal year. The application shall be in the form required by the department.
NR 166.10 Note Note: Section 281.61 (5), Stats., states “The applicant shall submit the application on or before the June 30 preceding the beginning of the fiscal year in which the applicant wishes to receive the financial assistance, except that if funds are available in a fiscal year after funding has been allocated under sub. (8) for all approved applications submitted before the June 30 preceding that fiscal year, the department of administration may allocate funding for approved applications submitted after June 30. The application shall be in the form and include the information required by the department and the department of administration and shall include plans and specifications that are approvable by the department under this section. An applicant may not submit more than one application per project per year."
NR 166.10 Note Note: An application form is available on the Environmental Improvement Fund website at dnr.wi.gov/Aid/EIF.html and in paper form from the Bureau of Community Financial Assistance, Department of Natural Resources, 101 S. Webster St., P.O. Box 7921, Madison, Wisconsin 53707–7921.
NR 166.10(2) (2)Contents of application. The applicant shall submit a complete application in accordance with s. 281.61 (5), Stats. A complete application includes each of the following items, if applicable to the project:
NR 166.10(2)(a) (a) Evidence of compliance with s. NR 166.09.
NR 166.10(2)(b) (b) A copy of biddable construction plans and specifications approvable by the department for all parts of the scored project for which the municipality is requesting financial assistance from the fiscal year applicable to the project. Well construction projects are an exception; if plans and specifications for the drilling of a permanent well are submitted with or prior to submittal of the application for financial assistance, the municipality may submit additional plans and specifications for the scored project, such as those for pumps or the wellhouse, after the department determines the application is complete.
NR 166.10(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 166.10 Note Note: The SDWLP cannot provide any financial assistance for a project if construction costs are not included as part of the project costs to be funded by the SDWLP, with the exception of some situations in which another funding source is also participating in the financing of the project.
NR 166.10(2)(d) (d) Items 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 166.10(2)(e) (e) Copies of executed engineering contracts for planning and design if funds are requested for planning and design, and a copy of the executed contract for construction management, if available at the time of application submittal.
NR 166.10(2)(f) (f) 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 municipality passed a reimbursement resolution prior to the application submittal deadline.
NR 166.10(2)(g) (g) A resolution authorizing a municipal official or an individual employed by the municipality to act as the applicant's representative in connection with the application and with any additional information required for financial assistance.
NR 166.10(2)(h) (h) A proposed or an executed intermunicipal agreement, if the project will serve more than one municipality. The intermunicipal agreement shall do all of the following:
NR 166.10(2)(h)1. 1. Identify ownership for each individual portion of the water system, such as distribution systems, storage, wells, and water treatment facilities.
NR 166.10(2)(h)2. 2. Establish the term of the agreement.
NR 166.10(2)(h)3. 3. Demonstrate the basis for generating revenue for operation and maintenance costs based on actual use, and state the parties that are responsible for paying these charges.
NR 166.10(2)(h)4. 4. Indicate the method for generating revenue for capital costs and indicate who is responsible for payment.
NR 166.10(2)(h)5. 5. Indicate that the owner of the regional facility shall supply water to the identified users of the system.
NR 166.10(2)(h)6. 6. Require each entity to comply with public service commission requirements, including rates and project approvals, or to adopt a user charge system if not regulated by the public service commission.
NR 166.10(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 166.10(2)(j) (j) Proposed water rates, if the public water system is not regulated by the public service commission.
NR 166.10(2)(k) (k) Any existing or proposed contracts with customers of the water system.
NR 166.10(2)(L) (L) Documentation applicable to U.S. internal revenue service tax information as indicated in the application form.
NR 166.10(2)(m) (m) A copy of the debt instrument of any debt to be refinanced with SDWLP financial assistance.
NR 166.10 Note Note: All forms necessary for financial assistance under this chapter may be acquired at no charge from the Environmental Improvement Fund website at http://dnr.wi.gov/Aid/EIF.html or from the Bureau of Community Financial Assistance, Department of Natural Resources, 101 S. Webster St., P.O. Box 7921, Madison, Wisconsin 53707–7921.
NR 166.10(3) (3)Application acceptance. The department shall accept an application as complete after all of the following occur:
NR 166.10(3)(a) (a) The department determines that it received all of the application items and information from sub. (2) for the scored project, either in the application form or separately.
NR 166.10(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 paying back a loan from the SDWLP.
NR 166.10(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, such as the project being let with a group of projects by the Wisconsin department of transportation or the contents of a contract having language specific to another agency, the department may determine what documentation is appropriate to satisfy the application requirements.
NR 166.10(5) (5)Missing items. The applicant shall submit a completed application form and required attachments by the application submittal deadline, or otherwise in compliance with s. 281.61 (5), Stats., in order to be considered eligible. 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 166.10 History History: CR 14-044: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 166.11 NR 166.11Financial assistance requirements. Before executing a financial assistance agreement for any project, the department shall determine that all of the applicable requirements of s. NR 166.10 are met and that all of the following are satisfied:
NR 166.11(1) (1) All of the following documentation is submitted to the department:
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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.